ALDOT Utility Manual - ALDOT - Home · ALDOT Utility Manual 3. Omitted 4. Expansion 5. Permit...

ALDOT Utility Manual

ALDOT Utilities Manual

Return to: ALDOT Home Page Publications Home Page

CHAPTER 1 - INTRODUCTION AND PURPOSE

1. GENERAL INTRODUCTION2. OBJECTIVES3. NATIONAL

PUBLICATIONS ADOPTED4. SCOPE

1. Authority2. Application3. Limit of Authority

5. ORGANIZATION1. Alabama Department

of Transportation2. Organization of This

Manual6. HOW TO USE THIS

MANUAL1. Permit of Agreement

7. REVISIONS TO THE MANUAL

CHAPTER 2 - GENERAL GUIDELINES AND PROCEDURES

1. INTRODUCTION2. LISTING OF GUIDELINES

AND PROCEDURES3. AS-BUILT DRAWINGS

1. No Significant Deviation

2. Deviation from Permit Agreement

4. ATTACHMENTS TO HIGHWAY STRUCTURES

1. Attachments Discouraged

2. Approval Process3. Utility Attachment to

Structures Committee

1.1 GENERAL INTRODUCTION

This manual has been prepared to outline the general practices, policies, and procedures which affect the relationship between the Alabama Department of Transportation, hereafter referred to as the Department, and those entities desiring to place utility lines and appurtenances within the rights-of-way (ROWs) of state highways. This manual attempts to outline and explain, in as simple a manner as possible, the many requirements and procedures necessary to accomplish utility relocation, maintenance, or new utility construction work in conjunction with highway-project construction.

Previous Section Next Section

file:///H|/Bureau/Design/utilities/UTMAN2/utman.html (1 of 11)10/27/2004 6:38:03 AM

http://www.dot.state.al.us/index.html

http://www.dot.state.al.us/pubwebpub.htm


4. General Requirements5. Pipelines Attached to

Structures6. Communication

Systems Attached to Structures

5. BLASTING AND ROCK EXCAVATION

1. Acceptance of Liability

2. Safety Emphasized3. Notification Required4. Blasting Near

Structures5. Rock Excavation

6. BOND REQUIREMENTS1. Blanket Bond2. Waving Bond3. Amount of Bond4. Suggested Amounts

of Bonds7. CLEAR ZONE

1. National Guidelines2. Desired Versus

Minimum Horizontal Clearance

3. Minimum Horizontal Clearances in Urban Areas

4. Minimum Clearances in Rural Areas

5. New Installation Versus Existing Facilities

6. Unusual Conditions7. Stored Materials and

Equipment8. Summary

8. COORDINATION AND COMMUNICATION

1. Notifications to the Department

2. General Notifications to the Department

3. Summary9. DESIGN – GENERAL

CONSIDERATIONS1. Industry Codes and

Standards2. Visual Quality



3. Omitted4. Expansion5. Permit Responsibility

10. DRAINAGE PIPES, DITCHES, AND CANALS

1. Storm Sewers11. INSPECTION

1. Department’s Inspector

2. Utility Required to Provide Inspector

3. Information at the

Job Site12. JOINT-USE AGREEMENT13. LOCAL GOVERNMENT

AGREEMENT TO REGULATE

14. LOCATION OF UTILITIES – GENERAL CRITERIA

1. Highway ROW2. Freeway ROW3. Additional Location

Criteria15. MAINTENANCE, SERVICE,

AND REPAIR1. Definition of

Maintenance2. Definition of Repair3. Freeways4. Notification5. Traffic Control6. Emergency

Conditions16. MUNICIPAL CONNECTING-

LINK ROADS1. Department Actions2. City/Town

Responsibility3. Utility Responsibility

17. NONCOMPLIANCE – ACTIONS BY DEPARTMENT

1. Failure to Comply2. Continued Failure to

Comply3. Failure to Secure

Permit or Agreement4. Order to Remove5. Restoration of

Damaged Facilities



6. Emergency Conditions

18. OCCUPANCY AND USE AGREEMENTS (PERMITS)

1. When Required2. When Not Required3. Expiration of Permit

Agreement4. Beginning of Work

on Weekends/Holidays Work - Notification

5. Final Inspection19. OVERHEAD POWER AND

COMMUNICATIONS LINES1. Type of Connections2. Vertical Clearance3. Location

20. PIPELINE GUIDELINES1. Location and

Alignment2. Bury of Pipelines3. Encasement4. Allied Mechanical

Protections for Encasement

5. Appurtenances6. Restriction Against

Varied Use7. Installation8. Retention and

Relocation of Existing Pipes

21. PRESERVATION, RESTORATION, AND CLEAN UP

1. Temporary Erosion Control

2. Disturbed Areas3. Vegetation4. Drainage

22. ROW ACQUISITION1. General2. Acquisition by Owner3. Acquisition by

Department4. Special Cases

23. SANITARY SEWERS1. General Provisions

for Sanitary Sewers



2. Special Considerations

24. SCENIC ENHANCEMENT1. New Installations

25. STAKING OF PROPOSED UTILITY FACILITY

1. Permit or Agreement Application

2. Prior to Construction3. Other Instances

26. TRAFFIC CONTROL PLAN1. Action Required2. Fundamental

Principals of Traffic Control

3. Training4. Control Devices5. Flagging6. Design of the Traffic

Control Plan7. Standard Traffic

Control Plans8. Processing of Traffic

Control Plans9. Available at Job Site

10. Changes to the Traffic Control Plan

27. UNDERGROUND ELECTRIC POWER AND COMMUNICATION LINES

1. General2. Location and

Alignment3. Cased and Uncased

Constructions28. VARIANCES29. VEGETATION

MANAGEMENT1. Erosion Control2. Tree Pruning3. Use of Herbicides4. Special

Considerations5. Summary

30. WETLANDS

CHAPTER 3 - LEGAL BASIS

1. INTRODUCTION2. CODE OF ALABAMA



3. UNITED STATES CODE4. CODE OF FEDERAL

REGULATIONS5. SUPPORTING FHWA

DOCUMENTS6. PERTINENT LOCAL

ORDINANCES

CHAPTER 4 - PERMITS AND AGREEMENTS

1. GENERAL1. Agreements2. Permits

2. PERMITS1. Types2. Normal Permit

Processing3. Permit Contents4. Distribution of Permit

Applications5. Bond requirements

3. AGREEMENTS1. General2. Categories of

Agreements3. Three-Tiered

Approach4. Types of Agreements5. Completing the

Agreement Form6. Agreement Processing7. Submission of

Agreement Applications

8. Distribution of Agreement Applications

4. UTILITY-CONSULTANT ENGINEER AGREEMENTS

1. General2. Required

Qualifications of Consultant Engineers

3. Content of Agreement4. Timing of Agreement

Submission5. Consultant Fee

Reimbursement and



Estimates6. Reimbursement

CHAPTER 5 - PLANNING AND DESIGN

1. INTRODUCTION2. GENERAL DESIGN

SITUATIONS1. Design—Guidelines

3. COORDINATING UTILITY DESIGN WITH HIGHWAY DESIGN

1. Early Consideration of Utilities on Highway Design Projects

2. Coordination Through Computer Review of Information

3. Each Utility Facility is Worthy of Early Design Consideration

4. Pre-Design Consultation

5. Coordination Continuity

4. DESIGN RESPONSIBILITIES1. Utilities'

Representatives2. Utilities' Consultants3. District Engineer's

Staff4. Division Engineer's

Staff5. Project Designer

5. UTILITY DESIGN CRITERIA AND STANDARDS

6. DESIGN SCHEDULE7. COST AVOIDANCE

1. Cost Avoidance During Design

2. Cost Avoidance Contributions y the Utility

8. CONFLICT RESOLUTION



CHAPTER 6 - CONSTRUCTION

1. GENERAL REQUIREMENTS1. Types of Construction2. Quality and

timeliness of Work3. Required

Communications4. Interpretation of

Permit or Agreement5. Inspection6. Bond Requirements7. Insurance

2. METHODS OF CONSTRUCTION

3. APPROVED UTILITY CONTRACTORS

1. Introduction2. Required

Qualifications4. UTILITY CERTIFICATE

1. Content of the Utility Certificate

2. Responsibility for Preparation of Certificate

3. Timing of the Utility Certificate

4. Coordination with construction personnel

5. AUTHORIZATION1. Applies to

Agreements, But Not Permits

2. Authorization Sequence

3. Central Office Letter of Authorization

4. Division Letter of Authorization

6. PRE-CONSTRUCTION CONFERENCES

1. Utility Pre-Construction Conference

2. Highway Pre-Construction Conference

7. TRAFFIC CONTROL PLAN



1. Compliance Required2. Copy of TCP at Job

Site3. Interference with

Traffic4. Urban Areas

8. INSPECTION AND RECORD KEEPING

1. Division Monthly Report On Utility Relocation Projects

2. Utility Record Keeping On Reimbursable Work

3. Department Record Keeping

4. Guidelines for Department Inspectors

9. CHANGES IN APPROVED WORK

1. Minor Changes2. Major Changes3. As-Built Drawings4. Changes in Force

Account Work5. Changes in Contract

Work6. Supplemental

Estimates10. OVERRUNS

1. Identification and Reporting Of Overruns

2. Minor Overruns3. Major Overruns

CHAPTER 7 - REIMBURSEMENTS

1. REIMBURSEMENTS2. DOCUMENTS

CONTROLLING PAYMENT3. REIMBURSABLE

PROJECTS, AGREEMENTS, AND ITEMS

1. Eligible Projects2. Eligible Agreements

and Construction Contracts



3. Reimbursable Items4. WHO, WHEN, AND HOW

PAID1. Payment Request

Format5. DEPARTMENT CREDITS

1. Betterment2. Temporary Utility

Relocation3. Salvage Credit4. Expired-Service-Life

Credit6. DEPARTMENT

PROCESSING PROCEDURES

7. COST OVERRUNS8. CONTESTING PAYMENT

APPENDIX G - FORMS, BM-174 CONSTRUCTION BOND

FORM

APPENDIX H - FORMS, OCCUPANCY AND USE

PERMITS

1. MB01a2. MB023. MB03

APPENDIX I - FORMS, STANDARD AGREEMENTS,

HD SERIES

1. SAHD 12. SAHD 23. SAHD 34. SAHD 45. SAHD 56. SAHD 67. SAHD 128. Exhibit N

APPENDIX K - FORMS, UTILITY-CONSULTANT

ENGINEER AGREEMENT



APPENDIX L - FORMS, U-10,

COST ESTIMATE


Ch. 1.1 GENERAL INTRODUCTION

1.1 GENERAL INTRODUCTION

This manual has been prepared to outline the general practices, policies, and procedures which affect the relationship between the Alabama Department of Transportation, hereafter referred to as the Department, and those entities desiring to place utility lines and appurtenances within the rights-of-way (ROWs) of state highways. This manual attempts to outline and explain, in as simple a manner as possible, the many requirements and procedures necessary to accomplish utility relocation, maintenance, or new utility construction work in conjunction with highway-project construction.


file:///H|/Bureau/Design/utilities/UTMAN2/ch1/utman1_01.html10/27/2004 6:38:04 AM

Ch. 1.2 OBJECTIVES

1.2 OBJECTIVES

The overriding goal for this document is to allow the user to locate and understand those regulations and procedures which are most pertinent to the portion of the utility process with which he is dealing. The highway-utilities process embraces a large and exceedingly complex series of issues. In this manual, those issues have been simplified and condensed so they may be located easily by the user.

This document has been prepared by the Department to meet several primary and specific objectives:

1. To provide standard arrangements for permitting the installation of utilities on existing rights-of-way and relocating utilities for highway construction, so that the work can be performed with the least delay and with the minimum interference with highway contractors or other utilities; to minimize service disruptions and damage to utility plant; to minimize hazardous conditions; to assure that standards, specifications, and environmental considerations are met; to reasonably preclude liabilities and claims of all types; and when necessary, to coordinate utility work with highway contractors' operations

2. To assure that utility work is done properly, is of high quality, and is done in a timely manner; and that utility owners are reimbursed (where appropriate) properly and promptly

3. To outline procedures and conditions which must be met for federal reimbursement, when utility work is a portion of a federal-aid project



CH 1.3 NATIONAL PUBLICATIONS ADOPTED

1.3 NATIONAL PUBLICATIONS ADOPTED

The Department hereby formally adopts and thereby makes a part of this document, by reference, the American Association of State Highway and Transportation Officials (AASHTO) publications, A Guide for Accommodating Utilities Within Highway Right-of-Way (also called AASHTO Accommodation Guide), latest edition, A Policy on the Accommodation of Utilities Within Freeway Right-of-Way (also called Freeway Policy), latest edition, and the Federal-Aid Policy Guide (also called FAPG) and 23CFR 645 Parts A and B. The appendix contains an AASHTO publications order form for those desiring to obtain their own copies of these publications, and a copy of the FAPG and 23CFR 645 Parts A and B.

Where any of the provisions of these adopted documents conflict with each other or with this manual, the following order of precedence shall apply. The FAPG and 23CFR 645 Parts A and B shall have primacy (for federal-aid or federally-funded projects). This manual shall be next in importance, followed by any adopted AASHTO documents.



CH 1.4 SCOPE

1.4 SCOPE

1.4.1 Authority

The Department has been provided, under Alabama code, the authority and responsibility to regulate the use of all utilities on state highway ROWs. For the benefit of the reader, applicable portions of Alabama law are reviewed in a latter chapter of this document. The Department has the legal authority to control the use of state highway ROWs. Vesting this control in a single agency was necessary to ensure the safety of motorists and the proper operation of highway facilities. The Department has formulated the guidelines, policies, and procedures in this document as tools for regulating and controlling utilities to achieve the stated purposes. 1.4.2 Application

This manual applies to all public and private utilities, including, but not limited to, electric power, telephone, telegraph, cable TV, lighting, water, gas, oil, petroleum, steam, chemicals, sewage, drainage, irrigation, and similar lines that are located, adjusted, or relocated within the ROWs of highways under the jurisdiction of the Department. Underground, surface, and overhead facilities, whether singular or in combination, are covered by this document.

1.4.3 Limit of Authority

This manual has been provided primarily for use by representatives of the Department in regulating and controlling utilities within state highway ROWs. It does not alter current regulations or authority for installing utilities or for determining financial responsibility for replacing or adjusting utilities.

The rules and regulations contained herein are limited to matters which are the responsibility of the Alabama Department of Transportation for preserving the integrity of the highway and its safe operation. Where laws, codes, rules or orders of the Alabama Public Service Commission, Alabama Department of Environmental Management, industry, municipalities, or counties prescribe a higher degree of protection than provided in this document, then the prescription of the higher degree of protection shall prevail.



CH. 1.5 ORGANIZATION

1.5 ORGANIZATION

1.5.1 Alabama Department of Transportation The Department establishes policies and practices with which to conduct its business. These are based upon specific acts of the Alabama Legislature, and upon the rules and regulations of the Department which have the force and effect of law. The Department also adopts guidelines, policies, and operating procedures with which to carry out its rules and regulations. This manual is one of the documents through which the Department publishes its established guidelines and policies.

The Transportation Director is responsible for enforcing the pertinent laws and Department policies. The Director has authorized the Chief Engineer to oversee day-to-day technical operations of the Department in carrying out Department policies. Several Assistant Chief Engineers assist in directing the efforts of Bureau Chiefs and Division Engineers (in the field) in implementing these policies. Department Central Offices The Department's Central Offices are located at 1409 Coliseum Boulevard, Montgomery, Alabama. This complex houses the offices of general administrators and Bureaus. The Bureaus provide policy and supervision of specific functional areas for the Department (e.g., Construction Bureau, Design Bureau, Legal Bureau, Maintenance Bureau, Transportation Planning Bureau).

Two offices of the Department primarily conduct Department utilities actions. They are the Utilities Section and the Maintenance Bureau.

The Utilities Section is a branch of the Design Bureau. The Department's Utilities Engineer heads it and represents the Design Engineer who represents the Chief Engineer. The Utilities Section is responsible for all utilities activity on active highway construction projects. Its responsibility includes all applications for agreements or permits for new installations when the work will take place after the beginning of a highway field location survey, and before the Department's final acceptance of the highway project for maintenance.

The Maintenance Bureau oversees maintenance of utilities and accommodations of new utilities within existing state highway ROW in all situations that do not fall under the jurisdiction of the Design Bureau. The Maintenance Engineer directs the Maintenance Bureau and represents the Chief Engineer.

Department Field Offices

The principal field offices of the Department are the offices of Division 1 through Division 9. They are located in (1) Guntersville, (2) Tuscumbia, (3) Birmingham, (4) Alexander City, (5) Tuscaloosa, (6) Montgomery, (7) Troy, (8) Grove Hill and (9) Mobile. The secondary field offices of the Department are the district offices. From three to six offices are located in each division. A District Engineer manages

file:///H|/Bureau/Design/utilities/UTMAN2/ch1/utman1_05.html (1 of 4)10/27/2004 6:38:05 AM

http://www.dot.state.al.us/Division/divs.htm


each district office. See the appendix for a map showing the Department's field offices and a list of key addresses and telephone numbers.

The Division Utilities Engineer operates from the Division Office, represents the Division Engineer, and is responsible for all utilities activities in the field. The Division Utilities Engineer coordinate their activities with the Utilities Section and the Maintenance Bureau of the Central Office.

Generally, the Division Utilities Engineer reviews and recommends approval or disapproval of utility permits and agreements, utility work, and reimbursement for utility work. He forwards the documents controlling utilities activities with his recommendations to the Division Engineer and then to the Central Office in Montgomery for their consideration for approval.

The District Engineers are normally responsible for the first level of processing of utility permits, and for inspection of utility construction and maintenance activities. They have the most direct contact with utilities field operations.

1.5.2 Organization of this Manual This document provides the user with direct access to necessary information. The manual's major headings and sections provide an overview of the utility process. Specific subsections and appendices present detailed procedures governing specific utilities actions.

The chapters of this manual have been arranged logically to address major components of utility work. Chapter contents are briefly discussed in the following paragraphs.

Chapter 1 — Introduction and Purpose

This chapter describes the Department's objectives in preparing this manual, the general scope of the manual, and the organization of the Department and the manual.

Chapter 2 — General Guidelines and Procedures

This is the longest chapter in the manual and will be the chapter most consulted by the frequent user. The most frequently used guidelines of the Department have been gathered into this chapter (by topic) so that the user may locate information quickly. Typical topics in this chapter include blasting, bonding, the clear zone, and inspection of utility construction projects.

Chapter 3 — Legal Basis

This chapter is devoted to the federal and state documents that govern utility-highway interactions in Alabama. The relationship between these documents is defined, and some of the more prominent



provisions are identified.

Chapter 4 — Permits and Agreements

This chapter describes the two major categories of approval documents, (1) permits for requests initiated by the utility during normal day to day highway operations and (2) agreements for relocations (caused by highway construction), or for installing new utility facilities during an on-going highway construction project. Utility-Consultant Engineer agreements are also discussed.

Chapter 5 — Planning and Design

The utility normally is responsible for the complete design of its facilities. This chapter explains how utility design fits within the highly-structured highway design process utilized by the Department. The responsibilities of the Department and utility are outlined to allow cost-effective design and minimization of conflicts. Chapter 6 — Construction

This chapter introduces the general requirements for construction of utility facilities on state ROW including the provisions for inspection, record keeping and pre-construction conferences.

Chapter 7 — Estimates and Payments

Provisions for payment to utilities for relocation (where appropriate) are included in this chapter.

Appendices

The appendices constitute almost half of the manual. They contain definitions, federal and technical documents pertinent to the utility process, example forms, and other useful information.

Index and Contents

The manual has been indexed and outlined thoroughly so that the user may locate pertinent materials by using key words (in the index), or by reviewing the table of contents. It has been the goal of the authors to present the guidelines and regulations in their simplest useable form and to provide clear and easy-to-follow instructions to minimize the time that a user must spend in locating instructions and procedures.


2.1 INTRODUCTION

2.1 INTRODUCTION The majority of the Department's general guidelines and procedures affecting utilities have been gathered into one chapter. They have been sorted alphabetically to make specific information easier to find.

The material in this chapter describes the most pertinent portions of the Department's printed guidance affecting utilities. Although many such guidelines and procedures are listed, this chapter is not all-inclusive. For example, it is more appropriate to discuss some major topics (such as agreements or reimbursement issues) in other portions of this manual.

Procedures which have only minor effects on utilities may not be discussed in this manual at all if they are covered more appropriately in other Department documents. The utility information which is included in this chapter is that which is used most frequently by highway and utility organizations.

In preparing these guidelines and procedures, the Department has leaned heavily upon documentation provided by the Federal Highway Administration, AASHTO, technical guidelines accepted by industry, its experience in dealing with utility entities within Alabama, local conditions, and other factors which support reasonable and appropriate guidelines.

The Federal-Aid Policy Guide and 23CFR 645 Parts A and B, the AASHTO Guide for Accommodating Utilities Within Highway Right-of-Way (hereafter called AASHTO Accommodation Guide), and the Alabama Department of Transportation Standard Specifications for Highway Construction, latest edition (hereafter sometimes called Guidelines and Procedures: Standard Specifications) were the major sources for the material contained in this chapter. The written policies, guidelines, and procedures of the Department; the suggestions of Department employees; and the comments of utility industry representatives were among the additional sources of information used in the preparation of this document.



1.7 REVISIONS TO THE MANUAL

1.7 REVISIONS TO THE MANUAL The manual has been designed in loose-leaf form for ease of update. The Department anticipates issuing periodic revisions and supplemental documents that will become portions of the manual. Owners of this manual may be placed on the Department's distribution list to receive periodic updates by completing the registration form and returning it to the Department's Utilities Engineer.

It is the responsibility of the utility (or the owner of this manual) to obtain and use the most recent utilities guidance of the Department. The Department will issue updates to this manual periodically. Amendments of utilities guidelines may become effective before they are published in the next revision of this manual. For such amendments, the Department will attempt to supply notice to utilities; however, it remains the responsibility of the utility (or the user of this manual) to contact the Department to request any updates or supplemental materials issued since the last update of the manual.



1.6 HOW TO USE THIS MANUAL

1.6 HOW TO USE THIS MANUAL A manual that adequately covers utility-highway transactions must be fairly complex. There are countless decisions that must be made to accommodate, safely and efficiently, all utilities on state ROW. The criteria for making these decisions and the steps for review and approval of these decisions are governed by the type of utility action. Several of the most frequent utility requests for activity on state ROW are shown in the following list:

1. Install a new utility facility2. Expand or alter an existing facility3. Relocate (or adjust line and grade of) utility facilities due to an upcoming highway construction project4. Retain in place existing utility facilities during an upcoming highway construction project5. Use herbicides for vegetation management6. Attach utility facilities to an existing bridge or highway structure7. Make emergency repair to a damaged facility that is endangering the public8. Request a variance when a utility concludes that the public interest would be served best through a type of installation normally not allowed by the Department9. Hire a consultant engineer because the utility lacks sufficient engineering resources to design its own facilities as part of a relocation project

The foregoing items are just a few of the many possible types of interaction between utilities and the Department. The procedure which the utility follows for requesting approval, the information which the utility must provide for the review by the Department, and other factors are dependent upon the specific type of request. This is illustrated by Figure 1-1 which is a flow chart descriptive of several common utility requests.

It is virtually impossible to write a manual to cover every possible situation. This manual instead has been written to provide guidelines for broad categories of utility requests. Within each category enough flexibility generally has been provided to allow the utility to utilize its own methods and procedures while safeguarding the interests of the public. For those rare instances when the utility concludes that the Department's guidelines do not support the best interests of the public, a procedure has been provided for the utility to request a variance.

Figure 1-1. Flow Chart for Several Common Utility Activities



This manual has been organized and written topically to the extent possible. Each topic has been placed in a separate portion of the manual. This arrangement should make it convenient for a user to quickly locate a topic and review the appropriate guidelines. The authors recommend that the user first review the entire manual to become familiar with its content and style. Future uses then could be restricted to those topics most pertinent to the particular needs of the user. 1.6.1 PERMIT OR AGREEMENT

One overriding consideration must be understood in order to efficiently use the manual, and that is the difference between a permit and an agreement. Both documents are used by the Department for the control of the erection and occupancy of utility facilities on, under, or across the ROW. The distinction lies in which office of the Department has control of the highway and thus of the approval process. Normally, the highway is under the control of maintenance forces, and a permit is used to secure the approval by the Maintenance Engineer. If the highway project is in the design phase or is undergoing construction, an agreement is used to secure approval by the Transportation Director, through the Utilities Engineer. Additional explanation of the difference in permits and agreements may be found in Chapter 4.


4.1 GENERAL

4.1 GENERAL

The Department is charged with controlling and protecting the ROW of state roads and utilizes a request-review-approval system for such control. Prior to any utility installation being located on or over the ROW, the utility must enter into a written accord with the Department. This accord between the Department and the utility owner is separated into two major categories, (1) agreements that are used whenever the proposed utility actions will occur during a Department highway construction project and (2) permits that are used for utility actions anytime other than during a highway construction project.

4.1.1 AGREEMENTS

An agreement is required whenever proposed highway construction conflicts with existing utility ROW or facilities (regardless of who is responsible for the cost or by what method the utility work will be accomplished), or when the utility desires to add new facilities during an ongoing highway construction project. Typically, agreements are initiated by the Department for utility relocation projects. 4.1.2 Permits

A permit is required for virtually all other utility actions on the ROW (except those that occur during highway construction projects). It is required for additions to or upgrades of existing utility facilities, for installing new utilities on existing ROW, and for changes in voltage or pressure of existing utilities. There are exceptions to these requirements, such as for routine maintenance, and for the connections of short-side service taps not requiring additional structural support within the ROW. For these exceptions no significant interruption of normal traffic flow is anticipated. Written notification by the utility and approval by the District Engineer will be required. A more complete listing of when a permit is, or is not, required may be found in chapter two of this manual under the discussion of occupancy and use agreements (§ 2.18).

A permit or agreement has two functions. It is a contract between the Department and the utility for construction or placement of utility facilities on the ROW, and is a permanent record indicating that the utility has permission for its installation to exist within, over, or across the state-controlled ROW. As contracts, these permits and agreements require that forms and supporting documents be prepared in a judicious manner, so that they are clear, concise, and in sufficient detail to describe completely the requested ROW usage.

It is recommended that prior to a utility seeking a grant or other financial aid for installation of a facility on the ROW, the utility contact the Department to determine if the project can be permitted.


4.1 GENERAL



2.18 OCCUPANCY AND USE AGREEMENTS (PERMITS)


2.18.1 When Required

Occupancy and use agreements are required for many purposes. The following listing is not all inclusive, but several of the most common conditions for which permits are required are illustrated by the following:

1. New installation of utilities2. Major modifications to existing utility facilities3. A change in transmittant, or increase in operating pressure above that originally approved by the

Department, or any change in type, function, or physical location of a facility4. Aerial service connections, or accessory equipment, or wire substitution, or addition to existing

poles, or to supporting structures crossing any traveled portion of a freeway or highway

Prior approval by the Department is required before any of these actions can be begun. 2.18.2 When Not Required

Occupancy agreements are not required for many types of common situations, however written notification by the utility, to the District Engineer, will be required. The exceptions below will be performed with no significant interruption of normal traffic flow, and must be approved by the District Engineer. Occupancy agreements are not required for the following list of example conditions:

1. Sub-surface service connections not paralleling or crossing any traveled portion of the highway (short side service) and aerial service connections not requiring additional supporting structures within the ROW on highways other than freeways (short side services)

2. Normal maintenance operations (work required to keep the existing facility in a state of good repair without adding to its physical makeup or changing it's functional capacity)

3. Passing through or in conduits or pipe encasements already in place where the additional installation does not require the physical disturbance of the surface or sub-surface of the ROW, and does not change the type, nature, or operating conditions of the originally approved facility

2.18.3 Expiration of Permit Agreement

In the event that a utility does not install a facility covered by a permit agreement within one year of the written authorization to proceed with such installation, the utility may request (in writing) an extension of up to one year without having to file a new permit application. If the extension is not approved, or if the extension is granted but the project is not accepted before the expiration of the extended period, then the original permit agreement is revoked and a new authorization for the installation of the facility must be obtained from the Department.



2.18.4 Beginning of Work or Weekend/Holiday Work — Notification

The utility will notify the District Engineer in writing at least 24 hours prior to beginning work on any installation covered by a permit or agreement with the Department. When the utility desires to work on highway ROW on weekends or holidays, it will secure permission of the Division Engineer 48 hours in advance of the time it plans to begin work. 2.18.5 Final Inspection

The utility will notify the District Engineer in writing when it considers the work to be completed. The Division Engineer or his representative will inspect the work promptly and either accept or reject it. When the Division Engineer or his representative considers the restoration and cleanup of the ROW to be satisfactory, he will notify the utility in writing. The utility's responsibility for the work will remain in effect for one year from the date of acceptance and will include all portions of the ROW affected by the utility's facilities. Typical concerns are settled trenches, erosion, and exposed pipe lines.



2.17 NONCOMPLIANCE — ACTIONS BY DEPARTMENT


The great majority of all utilities with which the Department deals take great care to operate in a manner that is cooperative and conducive to the Department's mission of protecting the public's interest within the highway ROW. On occasion, there arises a need for the Department to take administrative or corrective actions against a utility, and the following guidelines have been prepared for that purpose.

2.17.1 Failure to Comply

The District Engineer or Project Engineer may issue a written stop order to a utility where he finds that the utility has failed to act in compliance with the conditions of its approved permit or agreement. The stop order will state and describe in detail each condition or action not in compliance. Upon correction of the non compliance, the Division Engineer will rescind the stop order in writing. 2.17.2 Continued Failure to Comply

Where the Department finds that the utility has continued to abuse any of the conditions specified in the preceding paragraph, and upon recommendations of the Division Engineer, the Department's Maintenance Engineer may revoke the utility's permit, or the Director may revoke the utility's agreement. In drastic instances, the Department may refrain from issuing any additional permits to the offending utility until the situation is rectified. 2.17.3 Failure to Secure Permit or Agreement

Where the Department finds that a utility is relocating, adjusting, or making new installations within the ROW without having secured an approved permit or agreement, the Division Engineer will order, in writing, a complete and immediate stop of all unpermitted utility work. The stop of work will remain in effect until the utility has submitted a permit or agreement application, and the application has been completely approved. 2.17.4 Order to Remove

The Department through its Director is empowered to order the removal of utilities which have been installed without permit or agreement, which have been installed improperly, which have damaged the facilities of other utility entities, or which otherwise do not meet the provisions of this document. Should the utility fail to remove satisfactorily such facilities and to restore the ROW to its original condition, the Department may choose to conduct the removal and restoration process itself, and may then require compensation from the utility. 2.17.5 Restoration of Damaged Facilities



The utility is responsible for reconciling any conflict with the facilities and plant of any other utility within the ROW, considering the prior rights established by each. Damage inflicted to other utility facilities or physical plant must be corrected by the utility at fault. 2.17.6 Emergency Conditions

The Department recognizes that in emergency situations it may be necessary to immediately commence maintenance, repair, or other actions to protect the safety of the public. In these cases the utility will notify the Department as promptly as possible. When the emergency condition is under control, the utility will take actions to bring the situation into compliance with the provisions of this document. Once the emergency condition has subsided, the Department may stop the utility's actions, or otherwise enforce the conditions of this policy, if the utility fails to comply.



2.16 MUNICIPAL CONNECTING-LINK ROADS

2.16 MUNICIPAL CONNECTING-LINK ROADS In 1949 the State of Alabama Legislature devised a system to designate certain city and town streets as key routes to connect or extend certain State roads. This was done for the general benefit of the State, to allow the Department to provide funding and guidance for the design, construction, and maintenance of these highways. The Department was authorized and required to maintain and repair these designated city and town roads. State highway route numbers were consequently assigned to them.

The Legislature placed certain stipulations and conditions upon the Department, and upon the cities or towns. Example restrictions bearing upon utilities include the following:

1. The Department must maintain these roads, but the maintenance will not extend beyond the back of the curb and gutter (where curb and gutter sections exist), nor beyond the back of the highway ditch or the toe of the fill slope (where no curb and gutter sections exist) except that the Department may place and maintain such facilities as highway markers outside of these limits

2. The city or town is responsible for drainage that enters its own storm sewer system, but the Department maintains highway drainage structures that are not a part of the city or town system

3. The city or town has authority to make repairs to its underground or overhead facilities without asking the Department's permission, but they must notify the Department immediately if this work affects the free flow of traffic, and the city or town must repair the pavement in a satisfactory manner, if it is disturbed during this work

4. Any additions to city or town facilities that affect the part of the city street designated as a connecting link must be planned in a conference with Department officials

5. Any work that (a) affects the connecting link portion of the street, and (b) is performed by other than city forces, cannot be done until the Department has issued a permit, and these permits are subject to the approval of the city or town also

2.16.1 Department Actions

The Department will process permits for and exercise control over all utility work within the highway to the back of curb or to the toe of slope or to the back of ditch which is the area for which the State has maintenance responsibility. The requirements and guidelines contained in this document will be applied to all such utility actions. The Department recognizes that its jurisdiction outside the limits specified in the preceding paragraph is unclear; however, many of the requirements for proper and safe utility installation and operation do not end at the back of the curb. The Department anticipates that utility companies will comply with the provisions of this manual for all of its adjacent operations which extend beyond the above listed limits. 2.16.2 City/Town Responsibility

Cities and towns are required to control by permit the placement and operation of utilities within the


2.16 MUNICIPAL CONNECTING-LINK ROADS

ROW but outside of the Department's area of maintenance responsibility. The Department does not intend to replace or usurp municipal authority in this area.

Where the city or town repairs its underground or overhead facilities, the District Engineer will be notified prior to the beginning of repair, if the work affects the free flow of traffic. The Department also expects that any pavement repair necessitated by such city or town work will be in conformance with the Department's standards.

Where the city or town adds to its facilities, the Department's local Division office expects to participate in a joint planning conference to establish the details of the work. For utility work done by contract (or by other than the municipality's own forces) that affects the area maintained by the State, the Department will exercise permitting authority. 2.16.3 Utility Responsibility Utilities which perform work on or near municipal connecting-link roads should expect that greater-than-normal coordination will be required to obtain the approval of the Department, the municipality, or both. The separate but compatible requirements of the Department and the municipality may exceed the individual requirements of either of the two entities.



2.15 MAINTENANCE, SERVICING, AND REPAIRS

2.15 MAINTENANCE, SERVICING, AND REPAIRS All utility facilities will be kept in good states of structural repair and appearance. The utilities maintenance operations will conform to all other pertinent instructions in these guidelines, and to the conditions of its approved permit or agreement.

2.15.1 Definition of Maintenance

For the purpose of this document, maintenance is defined as that work required to keep an existing facility in a good state of repair without adding to its physical makeup or changing its physical capacity. 2.15.2 Definition of Repair

For purposes of this document, repair is defined as that work required because of a failure of a utility facility and consists essentially of replacement in kind and in place of components of the facility. 2.15.3 Freeways

Any utility facilities crossing the control-of-access limits of freeways will not be maintained, serviced, repaired, or operated from the through-traffic highways, or connecting ramps, except in times of extreme emergencies. 2.15.4 Notification

Utilities may perform routine maintenance on State ROW; however, they must supply advance notice to the District Engineer of the time, date, and location of the proposed maintenance, service, or repair activity. 2.15.5 Traffic Control For the safety of the public, its own employees, and the Department's employees, the utility is expected to utilize the provisions of Part VI, Manual on Uniform Traffic Control Devices (MUTCD), for traffic control in work zones during maintenance, service, and repair activities (see § 2.26).

2.15.6 Emergency Conditions

The Department recognizes that under emergency situations it may be necessary immediately to commence maintenance, repair, or other actions to protect the safety of the public. In these cases, the utility must notify the District Engineer as promptly as possible. When the emergency condition is under control, the utility will take actions to bring the situation into compliance with the provisions of this document. Once the emergency has subsided, the Department may stop the utility's actions, if the utility


2.15 MAINTENANCE, SERVICING, AND REPAIRS

fails to comply.



2.26 TRAFFIC CONTROL PLAN

2.26 TRAFFIC CONTROL PLAN MUTCD, Part VI, latest edition, covers in detail the required aspects of the Traffic Control Plan (TCP) during utility construction and maintenance operations on or adjacent to any public highway, road, or street. Public utilities, private utilities, contractors under contract with utility companies, and others engaged in utility construction, or maintenance, are specifically placed under the requirements of the MUTCD. The standards of the MUTCD are to be implemented by these utilities through official instructions to employees. In addition, responsible officials (including utility officials) will maintain supervision at all times to assure that work-zone traffic control devices meet the requirements of the MUTCD. 2.26.1 Action Required Companies that install, maintain, service, repair, operate, or otherwise work upon utilities within the highway ROW must give due regard to the safety of the general public. This includes providing appropriate traffic control within work areas.

Part VI of the MUTCD contains an extensive discussion of the requirements for proper design of TCPs including the need for an application of standards, the responsibilities of the various involved parties, required training of personnel, descriptions of the control devices, and examples of TCPs. Utility owners are encouraged to obtain and study Part VI of the MUTCD to meet these requirements. Copies of the document may be obtained from the Superintendent of Documents by requesting Stock Number 150-001-00001-3 at the following address:

Government Printing OfficeSuperintendent of DocumentsMail Stop: SSOPWashington, D.C. 20402-9328(202) 783-3238

2.26.2 Fundamental Principles of Traffic Control in Work Zones

Based upon its experience with traffic control in work zones, the Department has outlined five fundamental principles which have been shown to enhance the safety of motorists and workers in the vicinity of construction and maintenance zones.

An Integral Component of Utility Construction Traffic safety in work, construction, or maintenance areas, will be a high-priority, integral element of every project from the planning through the design and construction stages. The TCP will be a key portion of the project. It will be prepared by qualified individuals and understood by all responsible, affected parties before the work begins.



Minimal Traffic Inhibition Traffic movement will be inhibited as little as possible. The motorist does not always anticipate the types of activities that occur in construction and maintenance zones, and the violation of this "driver expectancy" may be a contributing factor to collisions. Unambiguous Traffic Control Devices Traffic movements will be guided in a clear and positive manner while vehicles are approaching, traveling through, and leaving work areas. This calls for adequate warning, delineation, and channelization devices, in conformance with Part VI of the MUTCD. Frequent Site Inspection Routine inspection of traffic control elements will be performed to ensure acceptable levels of operation. The inspections will be made by trained individuals, and will be performed with a frequency corresponding to the magnitude of the construction or maintenance activity, traffic volumes, and other pertinent factors, but never less than daily. When utility operations last longer than one day, the inspections will include night time inspections. Continuing Attention is Necessary The maintenance of roadside safety will require constant attention for the duration of a construction or maintenance project. 2.26.3 TRAINING Each person who directly affects safety in maintenance and construction work areas should receive appropriate training. The Department has previously sponsored a professional training course in traffic control in work zones. Contractors, utilities, and other affected individuals have been invited to participate in this training.

Utilities, contractors, and others performing utility design, construction, or inspection must be qualified by means of adequate training. Utilities may wish to institute their own training programs to meet this requirement, or to take advantage of any future offerings of the Department's training course. 2.26.4 Control Devices Traffic control devices appropriate to work zones include signs, signals, lighting, pavement markings, delineators, channelizing devices, barricades, hand signaling signs or flags, portable barriers and other approved devices. Instructions for the selection, design, and application of each of these devices may be found in Part VI of the MUTCD. These devices may not be used indiscriminately, and it is important



that the utility utilize the appropriate control device to give the right message to the motorist for each application. 2.26.5 Flagging For emergency or short term operations, flaggers frequently are used to warn and control motorists when vehicles traveling in opposite directions are required alternately to use the same lane. There are also other applications appropriate to utility work, including lane closures for equipment passage, pulling of cable crossings, and control of traffic speed.

The Department has specific requirements for flagger-warning signs, safety clothing, training, and other flagger issues. Utilities are expected to understand and abide by these requirements as found in Part VI of the MUTCD. 2.26.6 Design of the Traffic Control Plan Construction or maintenance zones are often unique, and TCPs are tailored to fit the local conditions at the site. The person who designs the plan should be familiar with the work site, MUTCD, the fundamental principles of work-zone traffic control, the use and design of the various traffic control devices, the key elements of the utility's work, and other factors which might influence the safety of workers and motorists. 2.26.7 Standard Traffic Control Plans Where a utility performs the same type of work on the same type of highway with great frequency, the Department encourages the utility to develop one or more standard TCPs. Such standard TCPs could then be used on various projects assuming they cover the specific conditions. However, the utility should be aware that all circumstances cannot be covered by standard plans and there will be many instances in which it will need to design a new or individual plan to suit the conditions of its intended work. The utility's responsibility will be to determine whether the TCP meets the MUTCD requirements. 2.26.8 Processing of Traffic Control Plans It is the utility's responsibility to design the appropriate TCP, whether for a permit or an agreement, to meet the current requirements of the MUTCD. The Department's Project or District Engineer may request a copy of the TCP for his own information purposes. 2.26.9 Available at Job Site The utility will maintain a copy of its TCP at the job site as well as a copy of Part VI of the MUTCD. 2.26.10 Changes to the Traffic Control Plan



The utility company should revise the TCP as site conditions require. The Department views this as part of the installation or relocation process and accepts no responsibility for the content of the TCP. The utility is responsible for assuring itself that the revised TCP meets the requirements of the MUTCD.



2.25 STAKING OF PROPOSED UTILITY FACILITY


2.25.1 Permit or Agreement Application During the permit or agreement application process, the utility may be required to stake the proposed location of any new facility, or relocated, or adjusted facility. For example, the utility may be asked to stake the proposed line when it requests the initial visit from the Department's representative for review of potential installations. The purpose of the staking is to facilitate the field review by showing the utility's proposed position with respect to the ROW line, the highway prism, highway structures, drainage facilities, other utility facilities, or other pertinent features.

2.25.2 Prior to Construction When it is likely that construction or maintenance activities could involve existing underground utilities, it may be desirable as an aid to work crews to locate and identify these facilities prior to the beginning of work. When it is required by the Division Engineer, the utility will identify the location of each underground facility. The location will be identified with stakes, paint, or other temporary on-the-ground markings, color coded by utility type. The color code system is as follows:

red Electric power lines or conduits — distribution, transmission, and municipal electric systems

yellowGas or oil pipelines — distribution and transmission — all pipelines carrying hazardous or dangerous materials including petroleum products, steam, and compressed air, or compressed gases

orange Communications lines including telephone and telegraph systems, police and fire communications, and cable television

blue Water systems and slurry pipelines

green Storm and sanitary sewers (gravity systems)

purple Radioactive material

2.25.3 Other Instances At any point during the permit or agreement acquisition process or construction activities, the Division Engineer may require the utility to restake the proposed utility location. The Department anticipates that such requests will be infrequent and will be limited to those conditions and occasions where difficult evaluations or decisions must be made by the Department.


2.24 SCENIC ENHANCEMENT

2.24 SCENIC ENHANCEMENT The type, size, and spacing of utility facilities can alter substantially the scenic quality, aesthetic appearance, and view of the highway roadside and adjacent scenic areas. Additional controls are justified and necessary in certain areas to preserve and enhance the scenic nature of designated locations. 2.24.1 New Installations New utility installations, including those inherent to highway purposes, such as for highway lighting, rest areas, or recreational areas, are not normally allowed on highway ROW or other lands, which are acquired or improved with Federal-aid or direct Federal highway funds and are located in or adjacent to areas of scenic enhancement or natural beauty. Such areas include public park and recreation lands, wildlife and aquatic refuges, historic areas as described in the United States Code (23 U.S.C. 138), scenic strips, overlooks, rest areas, and landscaped areas. The Department may allow exceptions to the above policy within the guidance established in the following paragraphs. New Facilities

New underground or aerial installations may be allowed only when they do not require extensive removal damage, or alteration of trees or terrain features visible to the highway user, or when they do not impair the aesthetic quality of the lands being traversed.

New Aerial Installations

New aerial installations will not be allowed at locations where there is a feasible and prudent alternative. When there is no such alternative, they may be allowed only when the following conditions exist:

1. Other locations are not available, or are unusually difficult and costly, or they are less desirable from the standpoint of aesthetic quality

2. Placement underground is not feasible technically, or is prohibitively costly3. The proposed installation will be made at a location and would employ suitable designs and

materials which give the greatest weight to the aesthetic qualities of the area being traversed (suitable designs may include but are not limited to, self-supporting, armless, single-pole construction with the configuration of conductors and cables in a vertical plane).

Freeways

For new utility installations within freeways, all other freeway provisions in this manual must be satisfied, in addition to the considerations in the preceding paragraphs. Longitudinal facilities are not allowed on the ROW.

Documentation Required


2.24 SCENIC ENHANCEMENT

Utility owners desiring to place utilities within the scenic areas outlined in this guideline bear responsibility for demonstrating to the Department that they have met the conditions for issuance of such a permit or agreement. Sufficient and appropriate documentation submitted by the utility is a necessary portion of demonstrating such conditions. This documentation must address each pertinent item in this policy statement.



2.23 SANITARY SEWERS

2.23 SANITARY SEWERS Sanitary sewers and other pipelines that operate by gravity flow require special consideration during the planning of accommodation or relocation of utilities for construction of new highways. Their horizontal and vertical locations are more fixed in nature than other utilities because of their dependence upon gravity to ensure adequate flow. During construction, it may be very difficult to raise or lower the grades of sanitary sewer lines to accommodate other utilities or highway facilities.

The restrictions for vertical location of gravity-flow sewers often require that they receive priority among placement of utilities within the highway ROW. Department employees and utility managers should be aware, that in congested areas, the location of gravity flow sewers must receive priority over other types of utilities, and storm sewers. 2.23.1 General Provisions for Sanitary Sewers The guidance in § 2.20 for pipelines is generally applicable to sanitary sewers. The Department will utilize the following portions of that topic in evaluating or providing for sanitary sewer pipelines:

Location and AlignmentAngle of Crossing Parallel Conditions Desired Maintenance Clearance

Bury of PipelinesUnder Ditches Under Pavement Other Situations

InstallationTrenched Construction and Backfill Untrenched Construction and Grouting

AppurtenancesManholes

2.23.2 Special Considerations NPDES Permit

Permit applications for locating sanitary sewer lines on Department ROW will be accompanied by a letter from the Alabama Department of Environmental Management (hereafter referred to as ADEM) stating that the proposed sanitary sewer lines will not cause the applicant to be in violation of its National Pollutant Discharge Elimination System (NPDES) permit.

Testing of Lines


2.23 SANITARY SEWERS

The installation will be subjected to low air pressure tests in accordance with the latest standards of ADEM.



2.20 PIPELINE GUIDELINES

2.20 PIPELINE GUIDELINES The Department has adopted the general guidance of the AASHTO Accommodation Guide for pipeline relocations, installations, and accommodations, supplemented, where necessary, by the Department to reflect its experience and the need for compatibility with local conditions.

2.20.1 Location and Alignment Angle of Crossing

The angle of all crossings will be based on economic consideration of practical options. The crossing will be located as nearly perpendicular to the highway alignment as practicable.

Unsuitable Conditions

Conditions which are generally unsuitable or undesirable for pipeline crossings will be avoided. Examples of these types of locations include deep cuts; locations near footings of bridges, culverts, and retaining walls; across at-grade intersections or ramp terminals; at cross drains where flow of water, drift, or stream bed load may be obstructed; within basins of an underpass drained by a pump if the pipeline carries a liquid or liquefied gas; and in wet or rocky terrain where it will be difficult to attain required bury. This list is illustrative and is not intended to be all-inclusive.

Parallel Locations Desired

On longitudinal installations, utility locations parallel to the pavement at or adjacent to the ROW line are preferable to minimize interference with (1) highway drainage; (2) structural integrity of the traveled way, shoulders, and embankment; and (3) the safe operation of the highway. As a minimum, their lateral location will, where practical, be offset a suitable distance beyond the slope, ditch, or curb line to ensure that the structural quality of the highway is not impaired.

Where the ROW line follows an irregular pattern, consideration will be given to reasonable alignment for pipelines and pole lines.

Near Row Line

Utility installations will normally be placed within 1.5 meters of the ROW line. In those situations where the utility believes that such location is not practicable and proposes another location, the permit plan or sketch must include a satisfactory explanation and reason for such placement.

Not in Shoulder or Median

Utility installations normally will not be allowed in the highway shoulder nor in the median. When a road is changed from two lane to four lane, all reasonable efforts will be made to clear the median of all utilities.



Maintenance Clearances

Vertical and horizontal clearances between a pipeline and a structure, a highway facility, or a utility facility will be sufficient to permit maintenance of the highway and the pipeline. A minimum clearance between the near edge of a structure and a pipeline is required to allow sufficient room for maintenance of the bridge or culvert footing. This dimension will be established on a project by project basis. In extreme cases where ROW is limited, the utility may be forced to go under the drainage facility. An underground utility's crossing of a stream or river will have a minimum horizontal clearance of 8 meters to any footing.

Review Required

The locations of all pipelines will be reviewed by the Department to ensure that the proposed utility installation will not interfere with existing or planned highway facilities, or with highway maintenance and operation processes.

2.20.2 Bury of Pipelines The critical controls of bury on a pipeline crossing are the low points in the highway cross-section. Usually these are the bottoms of the longitudinal ditches as shown on figure 2-2. In establishing the depth of bury below an unpaved ditch, consideration will be given to potential increases in ditch depth from scour, ditch maintenance operations, or the need to increase the capacity of the ditch. On longitudinal installations the critical controls for bury are usually the depths of lateral drainage facilities, landscaping, buried utility lines, bridge structures, and likely highway maintenance operations. The minimum required bury of pipelines within the highway right of way are explained in the following paragraphs.

Figure 2-2 Examples of Features for Pipeline Crossing



* minimum depth of cover is specified in section 2.20 of this document

Under Ditches The minimum bury under sod ditches will be 1 meter. A lesser bury depth may be considered under paved ditches on a project by project basis.

Under Pavement

Where ditches are not involved, such as on curb and gutter sections, the minimum required bury under pavement for new or relocated installations will be 1.2 meters.

Other Situations



The minimum bury for utility installation within the ROW in other situations will be 1 meter on all types of highways. When installations must pass beneath highway drainage facilities, clearances will be approved on a project by project basis depending on the type of utility involved.

Minimum Bury Not Possible

Where less than minimum prescribed bury is necessary because of other utilities, water table, ordinances, or similar reasons, the pipe will be protected with a casing or concrete slab not in contact with the pipeline, or other suitable measures acceptable to the Department will be used. Where less than minimum prescribed bury is desired, a variance must be filed and the utility bears the responsibility of justifying that minimum bury cannot be obtained and of supplying the Department with sufficient documentation to verify the pertinent circumstances in support of the request.

Hazardous Transmittants

Cover for pipelines carrying transmittants which are flammable, corrosive, expansive, energized, or unstable will not be granted a variance for the minimum prescribed bury outlined in these standards.

National And Local Codes

The utility will not place a facility with less than the minimum bury required by national, state, local, or other applicable industrial codes governing the particular type of transmittant. A partial list of accepted industrial codes may be found in § 2.9 and chapter 5 of this manual. 2.20.3 Encasement The Department requires the encasement of all utility facilities placed under the highway unless otherwise exempted within this manual, or unless a utility obtains approval to forego encasement. The encasement maximizes safety of traffic and structural integrity of the highway. Where a utility desires to place a facility under the highway prism without encasement, it must file a variance request. The Department places the burden of proof on the utility if it contends that encasement is unnecessary. The following controls are provided for encasement of pipeline crossings of the highway.

Where Required

Casings may be required for the following conditions and in other instances when indicated by the Department:

1. If expedient for the insertion, removal, replacement, or maintenance of carrier pipe crossings of freeways, expressways, and other controlled access highways, and at other locations where it is necessary in order to avoid open-trenched construction

2. As protection for carrier pipe from external loads or shock either during or after construction of the highway

3. As a means of conveying leaking fluids away from the area directly beneath the traveled way to a point



of venting at or near the ROW line, or to a point of drainage in the highway ditch or a natural drainage way

Encasement or other suitable protection may also be required for any pipeline (1) with less than minimum bury, (2) near footings of bridges or other highway structures or across unstable or subsiding ground, or (3) near other locations where there may be hazard.

Transmittants to be Encased

Where the utility cannot give satisfactory assurance to the Department that the highway user and the highway structure are adequately protected without the use of encasement, casing will be required for (1) pressurized carrier pipes crossing under major highways, and (2) carriers of transmittants which are flammable, corrosive, expansive, energized, or unstable, particularly if carried at high pressure or potential.

Joint Use of Encasements

The Department encourages joint use of a single encasement pipe where right of way is limited and utility relocation costs are extraordinary. The utility companies involved shall contact the Utility Engineer, for review and approval prior to beginning design work, where a joint use encasement is being considered. Under normal circumstances, two different utilities will not be allowed to place their pipeline in a single encasement.

Coated Pipe

If coated pipe is used for jacking or boring, the same pipe may not be used for a carrier pipe unless a method is devised to ensure that there is no damage to the pipe coatings.

Pavement Support

Rigid encasement or suitable bridging will be used where support of pavement would be impaired by depression of flexible carrier pipe. Figure 2-3 illustrates this process.

Structural Design

Casings will be designed to support the load of the highway plus any superimposed loads. They will equal or exceed the structural requirements for highway drainage facilities. Casings should be composed of materials of satisfactory durability for conditions to which they may be exposed.

Length of Encasement

Where encasements are used they will (where practical) extend (1) as far from the toe of the fill slope as the depth of the pit required to install or maintain the encasement and pipeline or (2) back of the ditch far enough to allow the ditch to function as a drain while the pit is open for the installation of the encasement and carrier pipe or (3) far enough to pull the carrier pipe and prevent water from the ditch from getting into the encasement or subgrade of the highway during construction or maintenance operation.



On curbed sections encasement will extend outside the outer curb to a point far enough that the face of the pit (to install or maintain the encasement or pipe) will not be closer than 2 meters from the face of curb. Where appropriate, the encasement will extend to the access control line, to the outside of frontage roads, or to an indicated line that allows for future widening of the highway.

Seal

Casing pipe will be sealed at the ends with an approved flexible material to prevent flowing water and debris from entering the annular space between the casing and the carrier.

Appurtenances

The installation will include necessary appurtenances such as vents and markers. Where possible on crossings the vents will be located at the ROW line so that they serve as markers for the pipeline crossing of the highway. See figure 2-2. 2.20.4 Allied Mechanical Protection for Encasement For a few situations, pipeline crossings may be installed without encasement. Normally such an installation is limited to open-trenched construction and service lines with inside diameter less than or equal to 50 mm. Examples of encasement and allied mechanical protection are shown on figure 2-4. The guidance in the following paragraphs applies when providing allied mechanical protection to uncased pipeline crossings of the highway.

Carrier Pipe Design

On uncased construction, the carrier pipe will conform to the material and design requirements of appropriate utility industry and governmental codes and specifications. In addition, the carrier pipe will be designed to support the load of the highway plus any superimposed loads when the pipe is operated under all of its intended ranges of pressure. The installation will employ a higher factor of safety in the design, construction, and testing than normally would be required for cased construction. On new installations, or for retention of existing utility facilities under proposed highway construction, the utility's engineer, in accordance with the provisions of the state laws and regulations that regulate the practice of engineering in the State of Alabama, will certify to the Department that these facilities provide maximum reasonable protection to the highway facility, and minimum potential maintenance of the utility and highway facilities.

Figure 2-3 Examples of Protection of Existing Pipelines



Protection of Existing Pipelines

Suitable bridging, concrete slabs, or other appropriate measures will be used to protect existing uncased pipelines if shallow bury or their location make them vulnerable to damage from highway construction or maintenance operations. Figure 2-3 illustrates an example of the protection methods. Existing pipelines may remain in place without further protective measures if they are of adequate depth and do not conflict with highway construction or maintenance operations provided that both highway and utility officials are satisfied that the lines are and will remain structurally sound and operationally safe.

In Lieu of Encasement

Uncased crossings of welded steel pipelines carrying transmittants which are flammable, corrosive, expansive, energized, or unstable, particularly if carried at high pressure or potential, may be permitted, provided additional protective measures are taken in lieu of encasement. These measures will employ a higher factor of safety in the design, construction, and testing of the uncased carrier pipe. Thicker-wall pipe, radiograph testing of welds, hydro-static testing, coating and wrapping, and cathodic protection are some of the features that will be included in the design. The utility bears the responsibility of documenting to the Department that such treatment provides safety equivalent to, or exceeding, that of a cased crossing.

In order to place an uncased carrier under a highway facility, a variance request is required for both reimbursable and non-reimbursable adjustments. A variance request is required prior to, or with a request for authorization of relocation assemblies and/or permits. Variance requests for uncased crossings will not be approved subsequent to authorization of relocation plans and permits which show cased crossings.

The utility bears the responsibility of demonstration, to the Department of Transportation, that an uncased crossing is in the best interest of the public, the Department of Transportation, and the utility. Consideration should be given to the cost of installation and the cost of future maintenance, as well as the interest of the utility’s facility. Each variance request shall be evaluated based upon individual merit.

Figure 2-4 Examples of Encasement and Allied Mechanical Protection



Each variance request must include, but may not be limited to, the following minimum requirements:

A. Design, Construction, Testing Additional measures shall be taken in the design, construction, and testing of uncased carriers. These shall



include additional protective measures to be taken in lieu of encasement. Measures shall include, but shall no be limited to:

1. Higher factor of safety in the design, construction, and testing of uncased carriers.2. Welded steel pipe.3. Thicker walled pipe.4. Radiographic testing of welds.5. Hydrostatic testing.6. Coating and wrapping.7. Protective concrete slabs under ditch lines.8. Cathodic protection.

B. Professional Engineer’s Certification

A qualified Professional Engineer shall certify the following:

1. The carrier will be designed to withstand all internal and external stresses, during and after construction operations, and during any subsequent maintenance operations.

2. The carrier will be designed, constructed and tested in accordance with all applicable federal and state requirements and in compliance with accepted industry standards.

3. The uncased crossing provides a degree of safety equal to or greater than a encased crossing.

C. Utility’s Certification

A certification will be required from the utility stating that the uncased carrier will be designed, constructed, tested, and maintained in accordance with all applicable federal, state, and local requirements. Additional requirements may be needed on a case by case basis. Uncased Service Lines

Uncased service-line crossings of continuous-roll, type "K" copper pipelines with inside diameter 50 mm or less may be permitted. Uncased service-line crossings with inside diameter not greater than 50 mm may be permitted for natural gas service lines provided wrapped or coated steel pipe is used. Otherwise all water and gas service lines will be encased. Joints in uncased service lines will not be allowed under the roadway prism. PVC or PE encasement, with nominal size less than or equal to 100 mm, will be allowed for water service lines. Such encasement shall be Class 200 or higher.

A water service line and a gas service line serves no more than two customers.

Uncased Pipe Materials

Where trenched construction and backfill is allowed by the Department, uncased water lines or sanitary sewers may be allowed within the highway structure provided that ductile iron pipe is used.



Maintenance of Uncased Lines

Where the utility justifies not casing its facilities crossing the highway structure and the Department issues a permit accordingly, the Department considers such approval to be prima facie evidence that the utility owner will not open cut the highway structure for the purpose of maintaining the facility except in emergency situations. An emergency is a situation which threatens the safety of the public. Where emergency situations require that the highway be open cut, the utility will promptly notify the Division Engineer, and at the same time exercise every reasonable means to ensure the safety and convenience of the traveling public.

If failure occurs in an uncased crossing, the Department may require the utility to abandon the failed crossing and to replace it by boring, jacking, or other methods to avoid damage to the pavement or base structure. 2.20.5 Appurtenances Vents, drains, markers, manholes, and valves are examples of appurtenances to pipeline installations. Controls for use of appurtenances include the following.

Vent Standpipes

Where used, vent standpipes will be located and constructed so that they do not interfere with maintenance or use of the highway and so that they will not be concealed by vegetation. Preferably they will be placed from 0 to 300 mm inside the fence or ROW line. An example is shown on figure 2-2(a). In urban areas vents will be allowed only where they do not affect pedestrian traffic.

In the situation where a gas pipe is lined (for example, a new plastic liner may be placed inside an existing galvanized pipe) and there is no space between the liner and the pipe, this pipe does not qualify as encased pipe and no venting is required.

Drains

The utility will provide drains for casings, tunnels, or galleries enclosing carriers of liquid, liquefied gas, or heavy gas. Drains may outfall into roadside ditches or at locations approved by the Department. The outfall will not be used as a wasteway for purging the carrier unless that is specifically authorized.

Markers

The utility will place readily identifiable and suitable markers along or within 300 mm of the ROW line to indicate the location of the underground utility crossing. Example markers are shown in figure 2-2(c). The marker will show an accurate offset to a longitudinal utility installation within the highway ROW. Markers will be placed at agreed-upon spacing, depending upon the type of installation and its potential hazard to the highway user, the highway structure, the highway ROW, maintenance personnel working on the highway ROW, or the facility itself. The spacing will be agreed upon by the utility company and the Division Engineer. Where curb-and-gutter highways are involved, an exemplary, suitable marker may be a metal plate or disc affixed to the curb. Vent pipes also may serve as a marker for these crossings. If free-standing markers are



used, they will be of sufficient height for visibility during mowing operations.

Manholes

The structures will be designed and located to cause the least interference to other utilities and future highway expansion. Every effort should be made to minimize manhole installations at street intersections and in the normal wheel path of driving lanes.

All access manhole rings and covers installed within the State ROW will be the traffic-bearing type. When manholes are allowed to remain inside the paved area, the utility will be responsible for adjusting manhole or valve-box covers in conjunction with resurfacing operations by the Department. Telephone junction boxes and similar appurtenances located outside the paved area should be able to withstand an HS-20 truck loading.

Valves

To isolate the crossing, valves will be installed in lines at or near ends of structures and near unusual hazards unless hazardous segments can be isolated within a reasonable distance by other readily available sectionalizing devices. Automatic shut-off valves are preferred unless the utility shows that such installation could be hazardous or have adverse effects on the utility system.

Cathodic Protection Location

Cathodic protection for pipelines will be placed by the utility owner at locations that preclude damage to highway bridges, reinforced concrete culverts, or other structures.

Detection of Non-Metallic Pipe

When installing non-metallic pipe underground the utility owner will install suitable markers that will enable the pipe to be located by electronic detection devices. Metallic tape or 12-gauge copper wire may be used for this purpose. 2.20.6 Restriction Against Varied Use Subject to safety regulations adopted by the State of Alabama or the Federal government, the following precautionary measures apply to pipeline installation.

Required Information

Pipeline installation, or relocation permits, or agreements will specify the class of transmittant; the maximum working, test, or design pressures; and the design standards for the carrier.

Changes

When it is anticipated that there will be a change in the class of transmittant, or an increase in the maximum



design pressure specified in the permit or agreement, the utility will give the Division Engineer advance notice and obtain approval for such changes. The notice will also specify the applicable codes to be used.

The operating pressure for gas and water systems will be allowed to vary as long as it does not exceed the design strength of the pipeline. Such variations as are reasonable will not be considered to be changes in pressure. 2.20.7 Installation Trenched Construction and Backfill

The integrity of the pavement structure, shoulders, and embankment slopes are the primary concern for this type of construction. The following guidelines have been prepared to address this concern. Trenches Where trenches are used, the shape and shoring will meet Occupational Safety and Health Act (OSHA) standards.

Bedding Bedding will be provided to a depth of 150 mm or half the diameter of the pipe, whichever is smaller. Bedding will consist of granular material free of lumps, clods, stones, or frozen materials and will be graded to a firm but yielding surface without abrupt change in bearing value. Unstable soils and rock ledges will be excavated from the bedding zone and be replaced by suitable materials, or be stabilized in place. The bottom of the trench will be prepared to provide the pipe with uniform bedding throughout the length of the installation. The Division Engineer may waive the bedding requirement if the existing material in the bottom of the trench is satisfactory to provide uniform bedding of the pipe. Backfill When placed under the highway prism, backfill will conform to the Department's Standard Specifications in force at the time of installation. If the Division Engineer is uncertain of the backfill density, he will notify the utility and have Department personnel perform appropriate density tests. The owner will be charged the actual costs of the tests.

Backfill inside the highway ROW but not under the highway prism will be compacted to a density at least equal to the density of the surrounding soil. This will be accomplished by the use of tools and methods approved by the Division Engineer. State Forces In some instances, the Department may require that backfill or paving be performed by its own forces, or under its direction, at the expense of the utility, when the Division Engineer considers it to be necessary for the protection of the traveling public or the highway structure.



Pavement Structure

The pavement structure will be restored in appropriate layers, utilizing materials at least equal in quality and thickness of layer as the original construction. Side Roads and Private Roads Underground installations placed parallel to highways under the Department's jurisdiction, and which cross side roads and private drives within the normal State ROW, will be installed and maintained under the same standards as State-controlled routes. Full consideration will be given to the highway user, property owner, side roads, and private drives so that they are not blocked without the consent of the Division Engineer, who may wish to take into consideration the desires of the property owner. In general, the standards or requirements for crossing side roads and private drives within the normal highway ROW will be the same as those crossing the highway itself except where written permission from the Division Engineer is given in particular cases.

For side roads and private drives the following criteria give the method of installation:

1. If the road or street is unpaved, the utility may be installed by open cut and backfill in accordance with these accommodation standards

2. If a paved road or street has an average daily traffic (ADT) less than 500, the utility will be installed by boring but it normally will not be encased

3. If a paved road or street has an ADT greater than 500, the utility will be installed by boring and encasing in accordance with the requirements found in these standards

4. Private driveways and wide commercial-establishment paved aprons (such as for convenience stores and gas stations) represent special cases. They may be open cut with permission of the Division Engineer, providing that access to the commercial establishment can be maintained during the process. In making the decision, the Division Engineer may wish to honor the desires of the property owner

Blasting Any blasting within the highway ROW will be in compliance with the blasting guideline in this chapter (§ 2.5) and will be approved in the permit or agreement. No blasting will be allowed near highway-structure footings. After obtaining approval, the utility will supply appropriate advance notice to the Department's inspector or the District Engineer of the date and time of each blasting action. A Department inspector will be on the project at all times when blasting operations are being conducted. Open Surface Roads When a utility facility is installed across or under the highway prism of an open surface road, the backfill and riding surface will be restored as specified by the Division Engineer.

Untrenched Construction and Grouting

The following guidelines have been prepared to control the placement of pipelines that are installed using



techniques other than trenched construction. Driving Pipe driving generally is possible only in very favorable soil conditions. This method may be permitted for pipes up to 75 mm in outside diameter. For depth of cover exceeding 2 meters driving may be permitted for pipes up to 125 mm outside diameter where soil conditions will permit. Coring No sluicing will be permitted within the highway prism during coring activities. Wet-Boring Wet boring or excavations which utilize high pressure fluid or hydro-jets is not currently an approved method for installation of pipelines underneath the highway. Utilities desiring to use this method must file a variance request. The addition of free water, which is not under pressure and is used as a lubricant to free an auger bit jammed in the borehole, will not be considered "wet-boring", and will not require a variance as long as the engineer is satisfied that the structural integrity of the highway will not be impaired. Trenchless Technology Methods of boring and tunneling which utilize the addition of environmentally safe lubricants, or drilling mud, will not be considered "wet-boring", and will not require a variance as long as the engineer is satisfied that the structural integrity of the highway will not be impaired. Portals Portal limits will be 2 meters back of the face of curb or outside the highway prism.

Oversize Boring and Grouting The utility will restrict the oversize of the boring excavation to a reasonable minimum. Grout backfill will be required for the following occurrences:

1. Overbreaks2. Unused holes3. Grout will be used where the oversized hole is under the pavement and is so much larger than the pipe

that the Department Inspector has reason to believe that earth might collapse into the void

Utility Tunnels and Bridges

Where these installations are justified, they will conform to the culvert and bridge practice of the Department. Since the need for these installations is very rare each request will be handled on an individual basis as a special case.



2.20.8 Retention and Relocation of Existing Pipelines The Department has provided the following controls to govern the disposition of existing pipelines that fall in the path of highway construction projects.

Retention

An existing facility may be retained provided that (1) it meets all the requirements of codes and standards for safety of the utility facility, the highway contractor, and the finished highway or (2) it can be protected in place. Figure 2-3 illustrates several acceptable types of protection.

Adjustment

An existing pipeline will be relocated in plan or grade where (1) the pipe bedding will be depressed by highway loads, (2) the top of the pipe is too close to the highway grade, or (3) the pipeline is too weak to support highway loads and cannot be adequately protected in place.

Highway Construction Operations

In cases where normal highway construction operation may endanger a pipeline to be retained in place, the Project Engineer will contact the utility and have the pipe line location identified precisely in line and grade. Temporary protection (such as steel plates, timber mats or earth bridges) may be required until sufficient cover has been constructed or the danger period has passed.



2.9 DESIGN — GENERAL CONSIDERATIONS


The utility owner is responsible for the design of the new or relocated utility facility and for ensuring that the design is in compliance with the codes and standards of appropriate technical organizations and jurisdictions.

The Department is responsible for review of the utility's proposed work as shown on their permit with respect to the location, manner of installation, or manner of attachment. The Department may scrutinize the measures the utility will take to preserve the safe and free flow of traffic, the structural integrity of the highway or the highway structure, the ease of highway maintenance, the appearance of the highway, and the integrity of the utility facility.

2.9.1 Industry Codes and Standards

Utility installations on, over, or under the ROW of state highways and the utility attachments to highway structures will (as a minimum) be of durable materials designed for long service life expectancy and minimum need for routine service and maintenance. Installations will meet the following requirements:

1. Electric power and communication facilities will conform with the current applicable National Electrical Safety Code

2. Water lines will conform with the currently applicable specifications of the American Water Works Association

3. Pressure pipe lines will conform with the currently applicable sections of American National Standards Institute (ANSI), Standard Code for Pressure Piping; Title 49 CFR, parts 192, 193, and 195; and applicable industry codes

4. Liquid petroleum pipelines will conform with the currently applicable recommended practice of the American Petroleum Institute for Pipeline Crossings under Railroads and Highways

5. Any pipeline carrying hazardous materials will conform to the rules and regulations of the U. S. Department of Transportation governing the transportation of such materials

2.9.2 Visual Quality Ground-mounted, utility facilities will be of a design compatible with the visual quality of the specific highway section being traversed. Additional restrictions may be found in the Department's policy on scenic enhancement (§ 2.24) in this chapter. 2.9.3 Omitted

2.9.4 Expansion

On new installations or relocation of existing utility lines, provision should be made for known or



planned expansion of the utility facility, particularly for those located underground or attached to bridges. They will be planned to minimize hazards and interference with traffic when additional overhead or underground lines are installed subsequently. 2.9.5 Permit Responsibility Any necessary permits, including the accommodation of utilities, highway ROW, and environmental controls, will be the responsibility of the utility. The Department disallows the practice of utility owners having their contractors secure permits. The guideline on Occupancy and Use Agreements (Permits) (§ 2.18) in this chapter contains additional responsibilities of the utility.



2.22 ROW ACQUISITION


2.22.1 General Where ROW is to be acquired, the Department will normally perform the acquisition. The acquisition will be in conformance with provisions of the Federal Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended, Public Law 91-646 and 100-17, and the current Code of Federal Regulations Titles 23 and 49 (23 and 49 CFR).

The requirements for acquisition of ROW for utility relocation should be determined as early as possible in the planning and design processes. Consideration will be given to the possible joint use of ROW by more than one utility in a given area outside of the planned highway. The Department encourages this joint use, and finds it to be in the public interest to purchase ROW in this instance for the use of multiple utilities. This is normally referred to as the "corridor concept". Where utility relocation requires acquisition of new ROW, either of two methods may be acceptable if found by the Department to be in the public interest.

2.22.2 Acquisition by Owner When a utility facility is located on the owner's private ROW, the Department may find that it is in the public interest to reestablish the facility on the utility's ROW (rather than upon the public ROW). In this case the utility may with prior Department approval, purchase "replacement ROW". This is the only condition under which the right or title will be vested in the utility. The decision to purchase by easement or fee is vested in the Department, and the utility must secure the approval of the Department prior to such purchase. When replacement right-of-way is acquired by the UTILITY, the requirements of 49CFR Part 24 do not apply. 2.22.3 Acquisition by Department When the Department has determined that it is in the public interest, it may purchase ROW for accommodating the relocation of a reimbursable utility. When this occurs by either easement or fee purchase, the rights and title are vested in the Department. This property and any occupancy by a utility is treated as normal highway ROW unless there is a special restriction in the terms of the easement. Infrequently there may be other conditions under which the public interest is best served through the Department's purchase of an easement or ROW for the temporary relocation of a utility outside of the highway ROW. Division highway employees or utility representatives who feel that such an accommodation is feasible should contact the Department's Utilities Engineer for additional assistance in performing the evaluation. 2.22.4 Special Cases



On occasion the requirements of a Department project may require the taking of real estate that is the property of the utility. The relocation of utility plants such as electrical power substations, telephone exchange buildings, pumping stations, and gas regulator stations are special problems requiring engineering analysis of large portions of the utility system. Department field personnel and utility representatives should contact the Utilities Engineer for advice and assistance in the location phase of a project where these types of takings are anticipated.

There may, on occasion, arise conditions in which it would be to the public's best interest for the Department to purchase and dismantle a portion of the utility's facility in lieu of relocation. Although this rarely occurs, it is a possibility in special cases, and the Utilities Engineer should be notified in the early stages of planning so that assistance may be provided.



2.21 PRESERVATION, RESTORATION, AND CLEAN UP

2.21 PRESERVATION, RESTORATION, AND CLEAN UP 2.21.1 TEMPORARY EROSION CONTROL When the Division Engineer determines that utility forces are causing erosion that may damage the highway ROW or adjacent property or streams or otherwise become a public nuisance, he may order the utility to perform temporary erosion control. The temporary erosion control will be maintained until the restoration and clean-up of the ROW can be accomplished satisfactorily in accordance with the provisions of this manual.

The temporary erosion control methods used by the utility will comply with the Department's Standard Specifications, applicable special provisions, and ADEM water quality requirements in effect at the time the work is performed. Prior to beginning temporary erosion control work the utility will present its plan of the proposed control method or procedure for the approval of the Division Engineer. 2.21.2 Disturbed Areas The areas disturbed by utility installation or relocation will be kept to a minimum. The Utility will conform to the regulations of the Environmental Protection Agency (EPA) and the Alabama Department of Environmental Management (ADEM) in the installation and maintenance of its facilities. The methods used for restoration will be in accordance with the Department's Standard Specifications, all applicable special provisions, including special provisions for utility use and occupancy agreements. All solid sod or other cover which is disturbed by the utility must be replaced in like kind by the utility. The vegetation will be maintained for a sufficient length of time by the utility to ensure a living and growing sod or cover.

The condition of the ROW at any time during (or after) the completion of the utility's installation or maintenance operation is subject to the approval of the Division Engineer. Where drainage ditches must be obstructed temporarily, they will be restored to a passable state at the end of each construction day. 2.21.3 Vegetation Trees or shrubs to be cut or trimmed during a utility installation or relocation will be specified on the utility's plans. No additional trees or shrubs will be cut, trimmed, sprayed, or damaged in the installation or relocation without the permission of the Division Engineer. Any damage to vegetation caused by the utility beyond the scope of permission will be restored or replaced by the utility. Where the utility does not restore or replace adequately, the Department may do so and require compensation from the utility.

Additional details of Department guidelines for spraying, cutting, or trimming vegetation may be found under the separate guideline for vegetation management (see § 2.29). Utilities must comply with this guideline.


2.21 PRESERVATION, RESTORATION, AND CLEAN UP

2.21.4 Drainage Care will be taken in utility installations to avoid disturbing existing drainage facilities. Underground utility facilities will be backfilled with pervious material, and outlets will be provided for entrapped water. Underdrains will be provided where necessary. No jetting or puddling will be permitted under the highway.



2.29 VEGETATION MANAGEMENT

2.29 VEGETATION MANAGEMENT The primary goal of a good vegetation management program is to provide maintenance practices for vegetation that will encourage economically the protection, environmental compatibility, operation, stability, continuance, aesthetics, and safety of the ROW.

The Department embraces this goal and practices vegetation management to provide a clear safety zone; to improve sight distance at curves and intersections; to increase overall safety; to ensure adequate drainage; to reduce and control erosion; to maintain or improve the appearance of the roadside; to protect desirable native vegetation, signs, markers, guard rails, and other appurtenances; to eliminate or control noxious weeds and brush; to reduce maintenance costs where possible; and otherwise to enhance the roadside.

To achieve these same objectives utilities will be required to conform to Department policies and practices for vegetation management for their operations within State ROW. The Alabama Department of Transportation Manual for Roadside Vegetation Management (hereafter called the Vegetation Management Manual) serves as the primary guidance document for these activities. The Department also utilizes provisions from its Maintenance Manual, its Guidelines for Operation, and the Laws of Alabama Relating to Agriculture for vegetation management. Copies of the Vegetation Management Manual may be obtained by contacting the Maintenance Bureau of the Department's Central Office in Montgomery.

The Vegetation Management Manual changes from time to time, and utilities are responsible for obtaining the most recent version, and for ensuring that their actions comply with it. The following sections contain examples of the contents of that manual. 2.29.1 Erosion Control Utilities are expected to conduct all of their activities using procedures that control or minimize erosion. The Vegetation Management Manual suggests a variety of methods which may be used for this purpose. Utilities are reminded that their erosion-control efforts must also meet ADEM water quality requirements. Where necessary, the Department may direct a utility to take certain steps to prevent or curtail erosion, or to protect water quality. 2.29.2 Tree Pruning The limited pruning of trees or other large vegetation on highway ROW for utility lines is an acceptable practice. The utility must obtain the written permission of the District Engineer, must utilize currently recommended practices of the International Society of Aboriculture, must meet the requirements of the Vegetation Management Manual, and must follow the Department's current standard specifications and special provisions for pruning of vegetation.



Where the utility intends to eliminate entirely vegetation through pruning, trees and brush will be cut flush with (maximum stump height of 75 mm) the ground surface. All cut branches, dead limbs, and other incidental dead vegetation will be cleared from the ROW within 48 hours of the pruning or trimming actions, or within 48 hours after notification by the District Engineer. 2.29.3 Use of Herbicides The use of herbicides by utilities to control vegetation within State ROWs will be in accordance with current procedures, guidelines, and administrative directives of the Department's vegetation management program. Utilities may learn more of this program by obtaining a copy of the Vegetation Management Manual from the Maintenance Bureau, or by contacting the Department's Landscape Architect. The following actions are among those required of utilities using herbicides on State ROW.

Approval to Use Herbicides

Utilities must apply in writing to the applicable District Engineer for permission to use herbicides for vegetation control within the ROW. The utility must receive written approval from the Division Engineer prior to beginning such work.

Products and Methods

Chemical vegetation control by utilities will be limited to recommended products, practices, and methods approved by the Department's Bureau of Maintenance at the time that the utility requests permission for use. Utilities are reminded that the list of approved practices, methods, and products changes from season to season and from year to year. A listing of approved products and practices may be found in the current version of the Department's Vegetation Management Manual and other pertinent documents such as Guidelines for Operation, directives, and letters from the Maintenance Engineer.

Herbicide Type

The herbicide used by the utility will be a type specifically approved in the current version of the Vegetation Management Manual and other pertinent documents. The list of herbicides approved by the Department will change from season to season and from year to year. The utility will list the name of the proposed chemical in its written application to the District Engineer.

Records

The Department has adopted a "Daily Herbicide Spray Report" for use by its own employees. Utilities applying for permission to use herbicides on Department ROW will adopt similar forms and will use this documentation to keep accurate records of herbicide use. Upon request the utility will supply these records for the Department's review.



Herbicide Application Pattern

The spraying program will normally be arranged so that long stretches of ROW, or both sides of the highway, are not treated at one time. Treatment of smaller, separated areas results in more pleasing aesthetic characteristics and is less likely to cause other damage. Herbicide applications are generally acceptable for heights up to 1.5 meters and for distances as long as 300 meters along the ROW with a subsequent 300 meters skip in herbicide treatment. Brush and trees taller than 1.5 meters normally will not be treated with herbicides but may be pruned by hand or other mechanical means.

Qualifications of Employees

Utility employees or agents applying herbicides will be certified or will work under the direct supervision of a person certified by the Alabama Department of Agriculture and Industries. These employees or agents will also receive annual training in herbicide and pesticide characteristics, applications, and safety.

Safety

The utility's herbicide application will consider and adequately provide for the safety of the public, its employees, and highway employees; and will avoid damage to the environment.

Restricted Use Pesticides

The Department will not normally allow restricted use pesticides to be applied to State ROW.

Herbicide and Pesticide Spills

The utility will have a plan for the cleanup of pesticide spills and will include standard cleanup procedures in the annual training of employees. For all major spills on State ROW, the utility will notify the District Engineer and all agencies required by State code, administrative regulations, or other provisions.

Disposal

The utility's procedure for disposal of containers and other items which have been in contact with herbicides or pesticides will comply with the regulations and provisions of the ADEM, the EPA, and other applicable federal, State, and local organizations.

Complaints

When the utility receives a public complaint, it will immediately notify the Alabama Department of



Agriculture and Industry, the District Engineer and the Department's Landscape Architect, in the Maintenance Bureau of the Department’s Central Office. This notification may be by telephone and will include: (1) the nature of the complaint, (2) the location, (3) the date, and (4) a brief description of the utility's herbicide application which led to the complaint. As soon as the utility has finished its investigation of the complaint, it will report its findings in writing to the Landscape Architect in the Central Office.

2.29.4 Special Considerations Endangered/Threatened Species

The Department cooperates with the U.S. Fish and Wildlife Service to minimize vegetative management impacts for endangered or threatened wildlife and plants. Utilities on State ROW will be required to operate in the same manner.

Wild Flower Preservation

Many native wild flower species in Alabama are beautiful and enhance the aesthetic quality of the roadside. The Department practices delayed mowing in the spring and fall and limits areas treated with chemicals to encourage the development of many of these native wild flower species. At the same time, there are many locations where these flowers must be considered a weed and must be controlled or removed. This is especially pertinent where row crops are adjacent to the ROW and wild flowers may spread to become noxious weeds. Utilities are expected to comply with Department policies in the treatment and preservation of wild flowers. 2.29.5 Summary

Vegetative management is a highly visible aspect of highway operations. Proper vegetation management is necessary, and utilities are encouraged to utilize an efficient mix of management techniques. When done correctly it is cost efficient and supports the continued growth of suitable types of vegetation. Where herbicides are utilized they should be controlled carefully to protect the environment, aesthetics, and safety of employees and the public while achieving the appropriate control over noxious and other vegetation.



2.28 VARIANCES

2.28 VARIANCES The Department recognizes that occasionally there may arise conditions for which the general guidelines and provisions of this manual do not best serve the public interest. Utilities may elect to request a variance when in their opinion such conditions are encountered.

The request for variance will be a portion of the permit or agreement application. The utility must clearly show the following:

1. The policy provision or guideline for which the variance is being requested2. The condition which the utility believes warrants the granting of a variance3. A thorough explanation including safety, aesthetic, economical, or other data which bear upon

the issue4. Sufficient and appropriate documentation of the utility's contention

The utility bears the full responsibility of demonstrating to the Department's satisfaction that the variance is the most appropriate way to serve the public interest. The utility is requested to provide early communication and coordination with the Department when such a request is anticipated.

The Department will conduct investigations as necessary to evaluate the utility's request for variance. This may include field visits, reviews of the utility company's practices and procedures, audits of the utility company's financial records, or other actions which may allow the Department to evaluate the request fairly and satisfactorily.

In addition to the requirements of this guideline, (outlined above) other and more specific requirements may be found in other guidelines in this chapter. For example, a request for attachment to a structure is a variance from normal Department policy. Detailed instructions for bridge attachments may be found in a separate guideline in this chapter.

In those situations where the utility contends that it is unable to provide relocation of its facilities economically, it may request to be relieved of this financial burden (pauper designation). This will involve filing a variance request. The Department anticipates that approval of such requests will be rare and will occur only after completion of thorough examination or audit of the company's complete financial records has been conducted.



2.27 UNDERGROUND ELECTRIC POWER AND COMMUNICATION LINES

2.27 UNDERGROUND ELECTRIC POWER AND COMMUNICATION LINES 2.27.1 General Electrical and Communication LINES

Underground utility construction will conform to all applicable codes, standards, and specifications.

Bury

The minimum required depths of bury (or cover) depends upon the type of highway facility, the type of utility, the location within the ROW, and other factors. Examples of minimum bury include the following:

1. Underground electric power lines will have a minimum cover under ditches and within the limits of the ROW of 1.2 meters. Minimum cover under pavement will be 1.2 meters. Installations within the highway prism will be encased.

2. Underground communication lines will have a minimum cover under ditches and within the ROW limits of 1 meter on conventional highways and freeways. Minimum cover under pavement will be 1.2 meters. These facilities may be uncased within the limits of the highway structure provided the utility agrees not to open cut to maintain these facilities except under extreme emergencies.

Appurtenances

Pedestals or other above-ground utility appurtenances installed as part of buried cable plant will be located just inside the ROW line, well outside the highway maintenance area and outside of the clear-roadside area.

Review Required

All proposed locations and utility designs will be reviewed by the Department to ensure that the proposed construction will not cause avoidable interference with the existing or planned highway facilities, or with highway operation or maintenance.

Spare Conduit or Duct

On both cased and uncased installations, particularly on crossings of the highway, consideration will be given to plans calling for the placement of spare conduit or duct to accommodate future expansion of underground lines.



Attachment to Structures

The Department's guideline (§ 2.4) for communication line attachments to highway structures will be followed.

General Controls

The general controls outlined in the Department's policy for pipelines (§ 2.20) as related to markers, installation, trenched or untrenched construction, and relocation, will be followed on underground installation of electric power and communication lines. Accurate markings of underground electric power lines are required.

Plowing Operations

Subject to the approval of the Department, a utility may be allowed to plow in a utility facility, provided it is able to maintain reasonable controls to ensure that the horizontal installation can be made within 300 mm of the approved location, and that the stipulated minimum cover can be obtained and maintained. It is the utility company's responsibility to provide the Department with a recommended procedure for restoring the highway ROW to its original state, or to an acceptable condition. Such installation will be allowed only between the highway prism and the ROW limits. No plowing operations will be allowed within the highway prism area.

Abandoned Lines

Where lines are abandoned in place, Department employees and other utilities have no way of knowing whether the abandoned lines are active. Often ROW that could be used for additional utility lines and carriers cannot be used. Therefore, when a utility abandons a line, it must notify the Division Engineer in writing. The Division Engineer may require removal of the abandoned line, and if so, the utility must secure a permit or agreement for the removal action. 2.27.2 Location and Alignment Parallel Locations Desired

On longitudinal installations, locations parallel to the pavement at or adjacent to the ROW line are preferable to minimize interference with (1) highway drainage; (2) the structural integrity of the traveled way, shoulders, and embankment; and (3) the safe operation of the highway. As a minimum, where practical, their lateral location will be offset a suitable distance beyond the slope, ditch, or curb line as the Department may stipulate.

Perpendicular Crossings



Crossings will be located as near perpendicular to the highway alignment as practical.

Unsuitable Conditions

Conditions which generally are unsuitable or undesirable for underground crossings will be avoided. These include locations in deep cuts; near footings of bridges, culverts and retaining walls; across at-grade intersections or ramp terminals; at cross drains where flow of water, drift, or stream bedload may be obstructed; within basins of an underpass drained by a pump; and in wet or rocky terrain where it will be difficult to maintain minimum bury. 2.27.3 Cased and Uncased Construction Uncased

Where it is acceptable to both the utility and the Department, underground communication cables crossing the highway may be installed without protective conduit or duct, provided the utility agrees not to open cut to maintain said facility, except in extreme emergency. An emergency is a situation that affects the health and safety of the public. Normally this type of installation will be limited to small bores for wire or cable facilities where soil conditions permit installation by boring a hole about the same diameter as the cable and pulling the cable through. Underground electric power lines will not be allowed to cross the highway without casing.

Length of Encasement

Encasements will extend a suitable distance beyond the slope or ditch line to allow installation or maintenance of the utility line without disrupting the highway. On curbed sections it will be extended outside the outer curbs by at least 2 meters. Where appropriate, the encasement will extend to an indicated line that allows for future widening of the highway.

Possible Encasement

Consideration will be given to encasement or other suitable protection for any wire or cable facilities (1) with less than minimum prescribed bury, (2) near the footings of bridges or other highway structures, or (3) near other locations where there may be hazard. PVC or PE encasement, with nominal size less than or equal to 100 mm, will be allowed for encasement of telecommunication lines. Such encasement shall be Class 200 or greater.

Documentation

The utility is required to furnish reasonable explanation and documentation for the control and construction methods to be employed for crossing of the highway before the proposed installations will



be considered by the Department. This is to ensure the necessary protection of the utility facility and the integrity and operation of the highway facility.

Protection

Where less than minimum cover is allowed across ditch sections, and where underground, encased electrical power lines cross ditch sections, a floating slab of concrete is recommended for protection of the facility and for highway maintenance operation. An example is shown in figure 2-4(g).



2.4 ATTACHMENTS TO HIGHWAY STRUCTURES

2.4 ATTACHMENTS TO HIGHWAY STRUCTURES 2.4.1 Attachments Discouraged There are inherent problems in the areas of liability, safety, maintenance, and future modifications that are created by attachments to structures. Therefore, the Department has adopted a general policy of prohibiting attachments to structures except in extreme cases. Under normal conditions where it is feasible and reasonable to locate utility lines elsewhere, attachments to highway structures will be avoided.

Utility lines may be attached to a highway structure only when all of the following conditions exist:

1. No other practicable alternative is available, including private easement2. The attachment will not create a hazard to the public3. The public interest will suffer if approval is not granted4. The structural integrity of the structure will not be threatened by the attachment5. None of the Department's basic interests will be substantially compromised by the attachment

For reasons of safety, the Department looks more favorably upon some types of utilities than upon others where attachments to structures are considered. In general the order of descending compatibility with highway structures are communications and water. Gas and electric power lines will not be considered for highway structure attachment.

Where similar, competing utilities (for example, long distance telephone companies) desire attachment to a structure, the Department normally requires that they share facilities. Shared facility use requires advanced planning and coordination on the part of the utilities.

2.4.2 Approval Process If the applicant desires to attach a utility facility to a structure, then each of the conditions listed above must be addressed in writing as a portion of the permit or agreement application. Details of the utility attachment must be provided, including plans, specifications, a thorough cost estimate for the proposed installation to the structure, and the cost for alternative methods of crossing at the same location. The original permit or agreement application package plus four additional copies of all information must be forwarded to the Department. Permit applications for attachment will be reviewed in the normal manner by District and Division Offices. Where the District and Division Engineer agree that a bridge-structure attachment may be justified, the application is then forwarded to the Maintenance Bureau at the Department's Central Office for further review. Where the request involves an agreement, the process also involves the Division Utility Engineer at the local level and the Utilities Section in the Central Office.



2.4.3 Utility Attachment to Structures Committee

The Director has established a standing committee to consider utility attachments to structures. The committee reviews and investigates attachment requests to identify those that meet the criteria for attachment, and to make recommendations to the Director. The Director then may approve or disapprove the request.

The Committee comprises four individuals selected to provide the appropriate level of expertise and management skill in the review process. They are (1) the Maintenance Engineer, (2) the Bridge Engineer, (3) the Division Engineer of the Division Office where the request originated, and (4) the Utilities Engineer. The Maintenance Engineer will chair the committee. During its deliberations, the Committee will consider factors such as the following:

1. Negative effects that the proposed attachment will have on the structure2. Availability of a suitable location on the bridge structure for the attachment3. Feasibility of alternative means of making the crossing without attachment4. Cost comparisons between attachment to the structure and use of alternative means

The applicant will be required to furnish relevant data to allow or facilitate the committee's deliberations. The data may be supplemented by the Department.

2.4.4 General Requirements

In addition to the specific requirements that concern communication systems and specific guidelines for pipelines which are presented in subsequent adjacent subsections, the following are examples of requirements generally applicable to utility attachments:

1. All utility attachments to structures will conform with the Department's bridge attachment drawing, U-2 (appended) although detailed drawings may be required

2. The attachment will be adequately supported and free to expand and contract independently of the structure

3. All utility installations will be isolated and insulated from the structure to avoid causing corrosion4. No utility facilities will be allowed in a location where they would be vulnerable to damage or

rupture by a traffic accident and thus create a traffic hazard5. Utilities attached to structures will maintain a vertical clearance to highways, railroads, and

waterways, or as otherwise needed, greater than the vertical clearance of the structure itself6. The plans for any requests for attachment to a structure will clearly indicate the type of

transmittant and maximum working pressure for which permission is being requested7. Any changes in the transmittant or pressure beyond that reviewed and approved in the original

installation must be subjected to an additional review process for approval from the Department8. Where appreciable live or dead loads (not provided for in the original design) are to be added to a



Department structure, stress calculations signed and sealed by a professional engineer registered in Alabama must show that the structure can safely withstand the additional stress

2.4.5 Pipelines Attached to Structures The following provisions have been adopted by the Department as guidance where pipelines are permitted for attachment to structures:

1. Pipeline attachments to bridges which cross over highways, railroads, or streets will not be considered

2. Pressure pipelines will have shut-off valves installed within a reasonable distance on each side of the bridge

3. Where a casing is not provided for a pipeline attachment to a bridge, additional protective measures will be taken and these measures will employ a higher factor of safety in the design, construction, and testing of the pipeline than would normally be required for cased construction

4. Where pipelines are attached to a highway structure, they will be sufficiently insulated and isolated from the structure

2.4.6 Communication Systems Attached to Structures

Communication line attachments will be insulated and grounded, and will be carried in protective conduit or pipe from their point of exit from manhole to manhole. The cable will be carried beyond the abutments of the structure to manholes at or reasonably close to each bridge end.



2.3 AS-BUILT DRAWINGS

2.3 AS-BUILT DRAWINGS The Department and other utilities must be provided accurate information about the location of existing utility facilities so that highway construction and maintenance, installation of additional utility facilities, and the safety of the motoring public might be provided for by the Department. For these purposes, the Department must maintain files of as-built utilities drawings.

2.3.1 No Significant Deviation

Where there has been no significant deviation from the plans, specifications, locations, and conditions covered by the original approved permit or agreement, the plans submitted by the utility with the original permit or agreement may be used as as-built drawings. In this case, the utility submittal will consist of a letter to the Division Engineer verifying that there has been no significant deviation from the approved conditions, that no additional as-built drawings will need to be submitted, and that the original drawings will be stamped "As Built" and signed by the engineer representing the utility. 2.3.2 Deviation from Permit or Agreement Occasionally construction conditions require deviations from the approved permit or agreement. When the utility desires to make deviations, permission must be secured from the Department authority that originally approved the permit or agreement. After construction, when there have been significant deviations, the utility will submit as-built drawings showing the actual locations (horizontal and vertical if necessary), types, sizes, transmittants, voltages, and other descriptive data. The as-built drawings will be prepared to the same scale as the Department's Plans for the highway section covered by the permit or agreement. The utility will submit the as-built drawings to the Department's District Engineer or Project Engineer within 90 days of the acceptance of the work by the Department.



2.2 LISTING OF GUIDELINES AND PROCEDURES


The body of this chapter contains a detailed discussion of the Department's guidance upon several key subjects as follows:

Section Title2.3 As-Built Drawings

2.4 Attachments to Highway Structures

2.5 Blasting and Rock Excavation

2.6 Bond Requirements

2.7 Clear Zone

2.8 Coordination and Communication

2.9 Design-General Considerations

2.10 Drainage Pipes, Ditches, and Canals

2.11 Inspection

2.12 Joint-Use Agreement

2.13 Local Government Agreement to Regulate

2.14 Location of Utilities-General Criteria

2.15 Maintenance, Servicing, and Repairs

2.16 Municipal Connecting-Link Roads

2.17 Non Compliance-Actions by Department

2.18 Occupancy and Use Agreements (Permits)

2.19 Overhead Power and Communication Lines

2.20 Pipeline Guidelines

2.21 Preservation, Restoration, and Clean Up

2.22 ROW Acquisition

2.23 Sanitary Sewers

2.24 Scenic Enhancement

2.25 Staking of Proposed Utility Facility

2.26 Traffic Control Plan (TCP)

2.27 Underground Electric Power & Communication Lines

2.28 Variances



2.29 Vegetation Management

2.30 Wetlands



2.5 BLASTING AND ROCK EXCAVATION


All use of explosives within or adjacent to State ROW will be in strict accordance with the provisions of the Alabama Department of Transportation Standard Specifications for Highway Construction, article 107.11, "Use of Explosives". Blasting will be included as a part of the permit application, or agreement as an amendment thereto. 2.5.1 Acceptance of Liability The utility must assume liability for all resulting damages when using explosives on State ROW. The utility's letter of notification must contain a statement accepting all responsibility and liability. 2.5.2 Safety Emphasized Article 107.11 of the Standard Specifications, "Use of Explosives," incorporated by reference above describes the minimal acceptable level for safety. The utility company shall provide protection in excess of these requirements when sound engineering judgment dictates. 2.5.3 Notification Required Prior to detonating explosives within State ROW, the utility will supply advance written notification to the District Engineer of the date, time, and location of blasting. The letter will include a statement that the utility accepts all responsibility and liability for damages resulting from the use of explosives. The utility will warn each other utility company with facilities in the vicinity prior to blasting. Warning signs will be placed on all roads in the immediate vicinity of blasting. Locator services such as "call before you dig" or "one call service" should be contacted where they are available. 2.5.4 Blasting Near Structures Blasting generally will not be permitted within 30 meters of a bridge or a major structure. 2.5.5 Rock Excavation

The following applies to all trenched construction including, but not limited to, water mains, sanitary sewer mains, gas mains, and other pipelines.

When rock excavation is specified, it will be an extra bid item in addition to the normal contract items. For contracts let by a utility, whether using company forces or a utility-consultant engineer as the designer, the utility will have the option of specifying all of the excavated material as "unclassified excavation" or of setting up a pay quantity for "rock excavation." If the utility work is in a known rock area or if other factors indicate that rock excavation will be required, the designer will specify a pay



quantity for rock excavation, and a minimum of 20% of the total anticipated excavation will be so specified. In the contract, nominal quantities will not be acceptable for rock excavation. It will be paid for on a lineal meter per meter of depth basis, the depth to be measured from the top surface of the rock to the required excavation depth. Thus, the width of the trench will not be considered.

If the excavated material is unsuitable for backfill, it will be disposed of as specified, and replacement material meeting the backfill specifications will be furnished by the contractor. Payment for the contractor-furnished backfill will be considered a part of the bid price for line-pipe installation (on a per meter basis).

At sites of utility relocation projects, rock excavation is hereby defined as material that cannot be removed with the normal excavation equipment used on the project. It is further defined as material requiring drilling and/or blasting prior to its removal from the trench site. The following do not qualify for rock excavation: (1) soft or disintegrated rock that can be removed with a hand pick, power-operated excavator, or shovel; (2) loose, broken, or previously-blasted rock or broken stone in rock fills or elsewhere; and (3) rock which has fallen into the excavation from outside of the minimum limits of measurement allowed.



2.6 BOND REQUIREMENTS

2.6 BOND REQUIREMENTS Any utility obtaining an approved permit is required to file a surety bond with the Department before any construction work can be started. The bond will meet the requirements of Article 103.05 of the Alabama Department of Transportation Standard Specifications for Highway Construction. The bond must be in the legal name of the utility. A cash deposit or certified check upon a solvent bank may be accepted by the Department in keeping with § 23-4-1, Code of Alabama 1975.

The bond will be issued on Department Form BM 174 (see example form in appendix) in a manner acceptable to the Legal Bureau of the Department.

The purpose of the bond is to ensure completion of the utility construction work, including restoration and clean-up of the ROW. The bond will cover the period from the beginning of construction until one year after the date of the Department's acceptance of the completed project. 2.6.1 Blanket Bond If a utility anticipates a continuing sequence of work and multiple permits and agreements with the Department, the Department may approve a blanket bond covering multiple projects in a single Division. The times of beginning and ending of the coverage must be clearly stated in the bond, and the Department may require that the amount of the blanket bond be higher than the amount of the bond for any individual projects would be. Each blanket bond can cover no more than one Division. 2.6.2 Waiving of Bond Surety bonds may occasionally be waived at the option of the Department. The decision to waive the bond requirement will be based upon factors such as the following:

1. The utility's record, taking into consideration past cooperation and the quality of work on previous installations

2. The type and extent of work to be performed (There is less inherent risk in some types of utility work than in others)

3. The utility shall prove the ability to reimburse the Department for any and all damages resulting from the utility's activities under the permit.

2.6.3 Amount of Bond The amount of the bond will vary from job to job and will result from a Department decision unique to each permit application. Items which may be considered in setting the amount of bond include, but are not limited to the following.

TYPE OF UTILITY



For example, a direct-burial telephone cable would generally not involve the same amount of risk as open-trench construction of a large water main.

OVERHEAD OR UNDERGROUND

Above ground installations normally will require less bond than underground installations.

THE SIZE OF THE UTILITY

An illustration is that a 50 mm water line will usually be bonded at a lower level than a 300 mm water line.

PROJECT SIZE AND COMPLEXITY

Generally, a utility project that is lengthy or large would require greater bond than a short or small project.

TYPE OF TRANSMITTANT

The degree of risk associated with the transmittant will affect the Department's decision on the amount of the bond.

The Division Engineer is authorized to establish the amount of the required bond, and will normally depend upon a recommendation from the District Engineer who is more familiar with local roads, other facilities in the ROW, the utility's day-to-day operations, and other local factors affecting bond requirements. 2.6.4 SUGGESTED AMOUNTS FOR BONDS The Department suggests the following guidelines to promote uniformity and consistency statewide.

The minimum surety bond is suggested to be the larger of $1,000 or 5% of estimated construction costs. For blanket surety bonds the minimum suggested is $10,000. The Department does not suggest a limit on the maximum size of required bond. The following ranges for the financial requirements are suggested for normal utility projects.

Construction Cost

Use 5% to 15% of the utility's estimated cost of construction for routine, low-risk utility work.



Unusual Location or Situation

Contact the Central Office (Maintenance Engineer for permits, Utilities Engineer for agreements) for guidance for bond requirements for river crossings, work in congested urban areas, significant amounts of blasting, or other unusual situations.

Normal Utility Work

The following guidelines are suggested as minimum values for the bond amounts for the following facilities:

1. Overhead Pole line1. Crossing highway $10002. Parallel to highway $2000 per kilometer

2. Buried Cable1. Crossing $50002. Parallel, Trench $3000 per kilometer3. Parallel, Direct Burial $1250 per kilometer

3. High-pressure, gas pipelines1. Crossing highway

1. 200 mm diameter and smaller $100002. 201 through 400 mm diameters $250003. Larger than 400 mm $50000

2. Parallel to highway1. 200 mm diameter and smaller $ 3000 per kilometer2. 201 mm through 400 mm diameters $16000 per kilometer3. Larger than 400 mm $12500 per kilometer

4. Low-pressure water, sewer, and gas pipelines1. Crossing highway $50002. Parallel to highway $3000 per kilometer



2.7 CLEAR ZONE

2.7 CLEAR ZONE The Department intends to provide reasonable protection to motorists through adoption of a clear roadside policy and establishment of a roadside clear zone. These actions are taken to provide a motorist who leaves the travelway a reasonable opportunity to recover control of his vehicle and avoid accidents.

The clear zone is that area beside the traveled way provided for vehicular recovery. Obstacles normally are removed to provide a lateral clearance. This clearance is not a fixed, mandatory dimension. It is site specific and varies with the type of obstacle, the category of highway, the allowed speed of vehicles, the presence of horizontal curves, the steepness of roadside slopes, and other factors.

The most desirable treatment is the removal of objects from the clear zone. Where this is not practical, acceptable treatments such as making the object breakaway or shielding the object so that vehicles will not hit it should be investigated. The criteria in this document are to be applied on a site-by-site basis for individual obstacles or conditions. The appropriate clearance and treatment will be based upon an evaluation of safety, economics, and other factors pertinent to an engineering analysis. In all cases, the clearance and treatment are guidelines rather than absolute standards. 2.7.1 National Guidelines The basis for the Department's clear-zone policy as applied to utilities within State ROW may be found in the AASHTO Roadside Design Guide (hereafter called the AASHTO Roadside Guide) and the AASHTO Geometric Design of Highways and Streets (hereafter called the Green Book). These AASHTO documents contain a comprehensive discussion of the clear-zone concept, pertinent portions of which are summarized in this document.

For a normal highway situation, the calculation process to determine the minimum clearance has been simplified. Charts and tables have been provided in the AASHTO Roadside Guide to assist in selecting the appropriate lateral clearances. One of these charts, figure 2-1, has been selected for use in utility locations within State ROW. The figure does not dictate exact values which must always be used. Instead, the figure suggests the approximate center of a range to be considered. Engineering judgment of factors affecting the site should be applied to determine the applicable value within this range.

For horizontal curves the minimum clearance may need to exceed the values shown on figure 2-1. The designer may choose to increase the clear zone width by using the expansion factors found in table 2-1. The factors from the table are multiplied by the normal clear zone clearance to provide an increased clearance width. This modification is especially applicable where accident histories or site investigations show that accident potential could be significantly lessened by using the increased clear zone width and that such an increase is cost effective.

Figure 2-1 Minimum Clear Zone Distances


2.7 CLEAR ZONE


2.7 CLEAR ZONE

2.7.2 Desired Versus Minimum Horizontal Clearances

The Department desires that utility facilities be placed as far from the traveled way as practicable. The optimum position is near the ROW line and will be required in normal situations. When the ROW line follows an irregular pattern, consideration may be given to a reasonable alignment for facilities.

Table 2-1 Horizontal Curve Adjustments for Clear ZoneKcz (Curve Correction Factor)

RADIUS DESIGN SPEED (km/h)

(m) 60 70 80 90 100 110

900 1.1 1.1 1.1 1.2 1.2 1.2

700 1.1 1.1 1.2 1.2 1.2 1.3

600 1.1 1.2 1.2 1.2 1.3 1.4

500 1.1 1.2 1.2 1.3 1.3 1.4

450 1.2 1.2 1.3 1.3 1.4 1.5

400 1.2 1.2 1.3 1.3 1.4

350 1.2 1.2 1.3 1.4 1.5

300 1.2 1.3 1.4 1.5 1.5

250 1.3 1.3 1.4 1.5

200 1.3 1.4 1.5

150 1.4 1.5


2.7 CLEAR ZONE

100 1.5

CZc = (Lc)(Kcz)

Where: CZc = clear zone on outside of curvature,

meter Lc = clear zone distance, meter.

Kcz = curve correction factor

Note: Clear zone correction factor is applied to outside of curves only. Curves flatter than 900 m do not require on adjusted clear zone. Multiply the appropriate factor from Table 2-1 by the normal clear zone dimension.

The Department recognizes that under some situations it may not be realistic to place utilities near the ROW line and that reduced clearances may be necessary. Where reduced clearances must be used, the minimum clearances, which are normally acceptable to the Department, may be found in Section 2.7.3 and 2.7.4. 2.7.3 Minimum Horizontal Clearances in Urban Areas Urban conditions are characterized by low-speed highways that usually have curbs and gutters. The Department encourages that above-ground utilities and appurtenances in urban areas be placed as close to the ROW line as practicable. SPEED NOT GREATER THAN 60 km/h

CURBED HIGHWAY Above-ground utility appurtenances will be constructed a minimum of 2 meters behind the face of the curb. If the lane adjacent to the curb is a parking lane, the minimum dimension may be reduced to 0.6 m behind the face of the curb.

WITHOUT CURB

For these conditions, the minimum distance from the traveled way to an above-ground utility appurtenance will be derived from the clear-zone nomograph (figure 2-1). The values from the nomograph may be expanded if necessary by use of the factors in table 2-1.

SPEED GREATER THAN 60 km/h

High-speed, urban arterials are considered to be the same as high-speed rural highways for clear-zone considerations. For the normal situations the minimum lateral clearance will be taken directly from figure 2-1, as modified (if necessary) by table 2-1. 2.7.4 Minimum Clearances in Rural Areas Rural conditions are characterized by lower traffic volumes operating at higher speeds. Collisions involving vehicles and fixed objects are likely to be more severe than similar accidents in urban areas. Lateral


2.7 CLEAR ZONE

clearances, therefore, generally are wider than those of corresponding urban areas. RURAL COLLECTORS AND LOCAL ROADS FOR SPEED NOT GREATER THAN 60 km/h The minimum horizontal clearance will be 3 meters between the edge of the travel way and the utility appurtenance. The 3 meters general dimension might be expanded in certain instances, as shown by the clear-zone clearance graph, figure 2-1, as modified (if necessary) by table 2-1. HIGH-SPEED RURAL HIGHWAYS See figure 2-1, the clear-zone clearance graph, for the minimum lateral clearance dimensions applicable to these roads. The expansion factors of table 2-1 may additionally be applicable.

FREEWAYS AND EXPRESSWAYS High-speed, limited-access facilities will have a high level of clear-zone safety treatment. The minimum horizontal clearance for above-ground utility facilities normally will be 9.2 meters and may be greater for steep slopes or higher traffic volumes. Figure 2-1 and table 2-1 furnish guidance for minimum clearances. 2.7.5 New Installations Versus Existing Facilities For all new utility facilities, the provisions of these guidelines will apply in full. Greater safety for the motorist may be obtained with relatively little increase in cost for the utility. For relocation of existing facilities, clear zone decisions are more difficult because this work is relatively more expensive and often does not provide a commensurate decrease in accidents. The Department considers an engineering analysis based on accident history, accident potential, safety cost effectiveness, and other pertinent factors as the appropriate method for clear zone determinations on relocated existing facilities.

When existing facilities are completely replaced as part of routine maintenance activities, or when utility facilities are upgraded in capacity, changed in function, or otherwise modified significantly, these clear zone guidelines will be implemented in the same manner as for new facilities. 2.7.6 Unusual Conditions Limited or irregular ROW, existing utility facilities, sharp horizontal curves, or other conditions may make selection of appropriate clearances difficult. The AASHTO Roadside Guide and the Green Book provide detailed guidance for these cases. The State will conduct an engineering analysis of individual locations or conditions to identify the most appropriate clear-zone treatment.

Where the utility feels that the identified clear zone treatments are not practicable, the utility bears the responsibility of demonstrating that alternative clearances or treatments are more appropriate.

2.7.7 Stored Materials and Equipment


2.7 CLEAR ZONE

Permanent or temporary storage of materials and parking of vehicles and equipment (when not used in actual placing of the utility within the State ROW) will be as far from the edges of pavements as practical. As a minimum, the stored material, the parked vehicles and equipment will conform to clear-zone criteria. Generally, such materials, vehicles, or equipment will not be permitted within 9.2 meters of the rural travel way or 3 meters of the urban travel way. 2.7.8 Summary In all cases when new facilities are to be installed, or existing utilities are to be relocated, the Department recommends that the maximum practicable lateral clearance be utilized. The dimensions outlined in this clear-zone guideline will be utilized where placement at the ROW line is not otherwise feasible or practicable.



2.8 COORDINATION AND COMMUNICATION


All parties benefit from early and frequent communication regarding utility work within the ROW. Many of the utility conflicts and difficult construction situations encountered by the Department, utilities, and highway contractors, might have been prevented or minimized through advanced coordination and communication. 2.8.1 Notification to the Department Many of the policies and guidelines in this manual call for communications between the utility and the Department, or for communication to third parties.

The following listing outlines many of the requirements or suggestions for coordination and communication. It does not represent all of the communications possible or required; however, it does illustrate the types of instances in which coordination and communication enhance the highway-utility process. 2.8.2 General Notifications to the Department Table 2-2 is an alphabetical listing of frequently addressed topics, which are covered in this manual, concerned with utility work on ALDOT ROW. Included in this table are the section reference and corresponding reference title of the appropriate guidelines. The user should consult the full guideline to ensure that he comprehends its purpose and content.

TABLE 2-2 Examples of Required Notification

TOPIC REFERENCE REFERENCE TITLE

Abandoned Lines 2.27 Underground Electric Power and Communication

As-Built Drawings 2.3 As-Built Drawings

Beginning of Work, or of Weekend/Holiday Work - Notification 2.18

Occupancy and Use Agreements (Permits)

Blasting 2.5 Blasting




City/Town Facilities - Adding To


City/Town Facilities - Repair Of 2.16 Municipal Connecting-Link Roads

City/Town Facilities - Work by Other Forces


Emergency Notification 2.11 Inspection

Erosion - Temporary Control 2.21 Preservation, Restoration, and Clean Up

Final Inspection 6.8 Inspection and Record Keeping

Herbicide and Pesticide Spills 2.29 Vegetation Management

Herbicides - Approval to Use 2.29 Vegetation Management

Herbicides - Complaints 2.29 Vegetation Management

Inspection 2.11 Inspection

Inspector - Part TIme 2.11 Inspection

Inspector's Identity 2.11 Inspection

Maintenance - Routine Chapter 4 Permits and Agreements

2.15 Maintenance, Servicing, and Repairs

Pavement Open Cut in Emergency Conditions


Pipeline - Change in Use 2.20 Pipeline Guidelines

ROW Acquisition 2.22 ROW Acquisition

Scenic Areas 2.24 Scenic Enhancement

Service Tap - Short Side Chapter 4 Permits and Agreements

Traffic Control Plan - Changes 2.26 Traffic Control Plan

Traffic Flow - Interruption of 6.7 Traffic Control Plan



Three Pruning 2.29 Vegetation Management

Variances 2.28 Variances

2.8.3 Summary The Department strongly encourages full and free communication and coordination between its own employees, utilities, and third parties affected by utility construction, operation, or maintenance.



2.30 WETLANDS

2.30 WETLANDS The installation of privately owned lines or conduits on the highway ROW, for the purpose of draining adjacent wetlands onto the highway ROW, is prohibited. This practice is considered to be inconsistent with Federal Executive Order 11990, Protection of Wetlands, dated May 24, 1977.



3.1 INTRODUCTION

3.1 INTRODUCTION

The basic authority of the Department derives from the sovereignty of the State of Alabama within the federation of like states that is the United States of America. Its sovereignty and that federation are defined and described in the current versions of the United States Constitution, the Alabama Constitution of 1901, and their amendments.



3.2 CODE OF ALABAMA 1975

3.2 CODE OF ALABAMA 1975

The specific authorities and responsibilities of the Department under the provisions of the current state constitution, as amended, have been assigned by state law and through interpretation of the state law by the courts. That body of law resides in published form in the Code of Alabama 1975 and is updated routinely.

The majority of the provisions of the code that apply specifically to the Department are in the six chapters of title 23. Its designation is Title 23, Highways, Roads, Bridges and Ferries. Section 23-1-20 provides for the creation of the Department and § 23-1-40 specifies its general duties and powers. Several following paragraphs refer as examples to some of the individual sections that are particularly pertinent to Department relations with utilities.

Section 23-1-4 requires that the utility owner obtain permission from the Department for work within Department ROWs, and empowers the Department to regulate that work. It requires bonding for work and against possible damages. Section 23-1-5 requires the utility owner to make necessary facility relocations. It specifies by whom the appropriate portions of the costs of such relocation will be borne, authorizes the Department to enter contracts for the purposes of the section, and defines pertinent terms. The provisions of this portion of Alabama Code have been followed closely in establishing the Department's policies and procedures for reimbursement for utility relocation work (see § 7.1 - 7.8).

Pursuant to §23-1-85, the Department allows utilities, including, but no limited to, electric transmission, telegraph and telephone lines, fiber optic cables, high-pressure gas pipelines, water lines, sewer lines and storm sewer lines, to be constructed or buried or placed on its ROWs.

Section 23-1-110 through 113 provides for various legal responsibilities in connection with municipal connecting-link roads.



3.3 UNITED STATES CODE

3.3 UNITED STATES CODE

Title 23, Highways, of the U.S.C. and pertinent supplements comprise the majority of federal law concerning highways, state highway departments, affected utilities, the FHWA, the U.S. Department of Transportation (DOT), and the Secretary of Transportation (Secretary). Two sections of the title are of particular importance as they relate to utilities on ROWs. Title 23, U.S.C., § 315 is the portion of the code that invests the Secretary with very broad powers to regulate and to enter agreements in order to carry out the purposes of that title of the code.

Title 23, U.S.C., § 123 is the section specifically devoted to utilities within highway ROWs. It specifies the principles that govern FHWA participation in the costs for the relocation of utilities within highway ROWs.



3.4 CODE OF FEDERAL REGULATIONS

3.4 CODE OF FEDERAL REGULATIONS

The Code of Federal Regulations (CFR) in its fifty titles comprises the regulations promulgated by the administrative and regulatory agencies of the national government. Title 23—Highways is the pertinent portion of the code. The CFR and the FR are published by the Government Printing Office, Washington, D.C. They are available also in many public libraries. The majority of regulations pertinent to utilities in highway ROWs appear in Subchapter G—Engineering and Traffic Operations of Chapter I—FHWA, DOT of Title 23. Some parts of the title are of particular application to utilities.

Section 630.1010 of 23 CFR Part 630 among other provisions requires that each state highway department (SHD) require the preparation and implementation of a traffic control plan for each section of highway along which construction operations are planned.

23 CFR Part Part 645—Utilities, comprises eighteen sections in subparts A and B which specify conditions respectively for utility relocations, adjustments and reimbursement and for accommodation of utilities, respectively.



3.5 SUPPORTING FHWA DOCUMENTS

3.5 SUPPORTING FHWA DOCUMENTS

The FHWA has prepared some documents based upon the CFR both to provide for economical routine distribution to those concerned, and to provide explanation and interpretation of the policies and provisions published in the regulations.

The Federal-aid Policy Guide (FAPG) and 23CFR 645 Parts A and B are published and updated periodically by the FHWA. It is a compilation of regulations and policy for the Federal-Aid highway program, and is distributed by FHWA to all its offices and all State Highway Agencies. FAPG, subchapter G, part 645 comprised of subpart A — Utility Relocation, Adjustment, and Reimbursement and subpart B — Accommodation of Utilities, respectively. This part, Utilities, is contained in subchapter G, Engineering and Traffic Operations, of the policy guide. More than ninety-five percent of their contents are quotations from pertinent portions of 23 CFR. The policies and procedures presented in the Federal-Aid Policy Guide and 23CFR 645 Parts A and B have been adopted by the Department as its own policy. A copy of the appropriate section of the FAPG is appended to this manual for your convenience.



3.6 PERTINENT LOCAL ORDINANCES

3.6 PERTINENT LOCAL ORDINANCES

In addition to all the national and state laws and regulations, the reader should be warned and should remember that counties and municipalities have the authority under state law to adopt ordinances, and in any such jurisdiction, there may exist ordinances containing utility-related provisions that are more stringent than those of the nation or state. When such ordinances exist, the more stringent provisions must be honored.



2.14 LOCATION OF UTILITIES —

2.14 LOCATION OF UTILITIES - GENERAL CRITERIA

The Department has adopted the general location recommendations from the AASHTO Accommodation Guide and the AASHTO Policy on Accommodation of Utilities Within Freeway Right-of-Way; (called AASHTO Freeway Policy hereafter). These two documents provide criteria on location of utilities which serve the best interest of the Department and utility companies, and thus the citizens of the State of Alabama. 2.14.1 Highway ROW The following statements govern the location and design of utility installations within highway ROWs in this State: later adjustment/traffic interference Utility lines will be located to minimize need for later relocation to accommodate future highway improvements and to allow the servicing of lines with minimum interference to highway traffic. longitudinal installations Longitudinal installations will be located on uniform alignment as near as practicable to the ROW line to provide a safe environment for traffic operation and to preserve space for future highway improvements or other utility installations. crossings Utility line crossings of the highway will cross generally perpendicular to the highway alignment where it is feasible and practicable. clear zone The horizontal and vertical location of utility lines within the highway ROW limits will conform with the clear-zone policies applicable to the system, type of highway, and specific conditions for the involved highway section; and the location of above-ground utility facilities will be consistent with the clearances applicable to all roadside obstacles for the type of involved highway (see § 2.7). other considerations In all cases full consideration will be given to the measures reflecting sound engineering principles and economic factors necessary to preserve and protect the safety of highway traffic, efficiency of maintenance, integrity of the structure, and quality of the highway esthetics.


2.14 LOCATION OF UTILITIES —

urban streets Location of utility installations on urban streets with closely abutting improvements are special cases which must be resolved in a manner consistent with the prevailing limitations and conditions. 2.14.2 Freeway ROW new utilities

New utilities will not be permitted to be installed longitudinally within the control-of-access lines for any interstate or other controlled access highway.

utilities crossing freeways

In order to cross a freeway, new utility installations and reallocations of existing utilities must be authorized by a permit or agreement. The Department expects that the number of such crossings will be minimized, and that where approved, they will occur (to the extent practicable) at right angles to the freeway.

Where authorized, utility crossings or utilities along roads or streets crossing freeways will be in compliance with the AASHTO Freeway Policy and the provisions of this manual. 2.14.3 Additional Location Criteria Individual types of utilities such as pipelines, electric power, or communication lines, may be subject to additional location restrictions. This supplemental information may be found in the discussion of the specific utility in other guidelines contained in this chapter.

All utilities, new and relocated, are subject to the restrictions of the clear-roadside policy and clear-zone lateral clearance dimensions. This information is contained in § 2.7 of this chapter. The Department also may find it necessary from time to time to impose additional location restrictions for safety, traffic maintenance, or other reasons.



2.13 LOCAL GOVERNMENT AGREEMENT TO REGULATE

2.13 LOCAL GOVERNMENT AGREEMENT TO REGULATE

A city or county must agree to regulate the ROW use within its jurisdiction by utilities or private lines on federal-aid projects authorized after November 29, 1968, on a continuing basis in accordance with the guidelines and utility accommodation policies approved by the Department and the Federal Highway Administration (FHWA) for the type of highway involved.



2.12 JOINT-USE AGREEMENT

2.12 JOINT-USE AGREEMENT Where a utility has a compensable interest in the land occupied by its facilities and such land is to be used for highway and utility purposes with separate property interests of the parties, the Department and the utility will agree in writing as to the obligations and responsibilities of each party. The interest to be vested in the Department in any portion of the right-of-way (ROW) of a highway project to be vacated, used, or occupied by utilities or private lines will be of a nature and extent adequate for the construction, safe operation, and maintenance of the highway project.



2.11 INSPECTION

2.11 INSPECTION Both the utility and the Department normally have inspectors at the utility construction project, as explained in the following paragraphs. Additional references to inspectors may be found in § 6.1.5 and § 6.8 of this document.

2.11.1 Department's Inspector

For utility projects constructed under an approved permit, the Department's field representative (inspector) is usually the District Engineer. When the utility project is constructed under an approved agreement, the Department's field representative is usually the Project Engineer or an employee designated as a construction inspector. The utility interfaces with either the District Engineer, Project Engineer, or designated Department construction inspector, depending upon the type of project and whether the Department's approval was by permit or agreement. 2.11.2 Utility Required to Provide Inspector

It is the responsibility of the utility to maintain a full-time inspector on any major relocation or new installation within the ROW. The inspector will ensure to the utility and to the Department that the installation is made in full compliance with the provisions of this manual and the conditions and locations contained in the approved permit or agreement. Utility's Own Employee or Consultant? The Department encourages utilities to use their own employees for inspection of utility erection work. On those occasions where the utility must secure the services of an engineer-consultant for the design of the facilities, it is permissible to have the field inspection performed by the consultant. However, the Department desires that the utility use its own employees for the inspection of utility construction projects even if the design was performed by an engineer-consultant.

Part-Time Inspector Where the relocation or installation is of short duration or reasonably limited size, the inspector may serve on a part-time basis or may rotate among several such projects. If the use of a part-time inspector is desired the utility must request specific approval by the District Engineer or Project Engineer. A part-time or rotating inspector must visit each authorized location each day in which the utility undertakes work actions and must be present a sufficient amount of time to assure compliance with standards and locations outlined in the approved permit or agreement. If the inspector is not full-time, the District Engineer or Project Engineer must be notified of the times and dates that the inspector will visit each site.

Name and Address


2.11 INSPECTION

The utility is required to supply the District Engineer or Project Engineer with the name of the individual who will serve as the inspector, along with this person's address and telephone number. The utility must also supply the name, address, and 24-hour-per-day telephone number at which a designated person may be reached in case of an emergency.

Qualifications and Duties

The utility's inspector will have adequate training and experience to execute assigned duties. The inspector will maintain records of the times and dates of visits, observations, the status of the utility contractor's work, and other information which might be pertinent to documenting that the utility satisfactorily is meeting the conditions, standards, and approved locations contained in the approved permit agreement. 2.11.3 Information at the Job Site For purposes of inspection the utility must have the following items at the job site at all times: (1) a copy of the approved permit or agreement, (2) copies of plans and specifications which accompanied the permit or agreement, (3) a copy of Part VI of the Manual on Uniform Traffic Control Devices, (4) the Traffic Control Plan (TCP), and (5) the name, telephone number, and address of the utility's designated person to be contacted in case of an emergency.



6.1 GENERAL REQUIREMENTS


This chapter outlines the general requirements for utility actions during the construction phase of a project. The requirements discussed in this chapter are not intended to be all inclusive, but to provide examples of the most common situations. The utility must also comply with other requirements of this manual, with the Department's Standard Specifications for Highway Construction, and with the Department's other policies and guidelines.

6.1.1 Types of Construction

This chapter covers all types of utility construction projects. It outlines procedures and practices for utility construction projects necessitated by highway construction such as relocations and retentions in place, new installations initiated by utilities, and other types of construction. The following material is intended to cover both reimbursable and non-reimbursable utility work. 6.1.2 Quality and timeliness of Work

Conformance with Plans

The utility's completed facilities will be in substantial conformance with the plans which constitute a part of their approved permit or agreement.

Timing of Work

Upon receipt of the Division Engineer's letter of authorization, the utility will be expected to commence work. The utility will actively pursue completion of the work to reach the earliest possible completion date, and to minimize subsequent interference with the highway contractor.

Schedule Required

Prior to initiating construction, the utility will provide a written time schedule of its planned activities.

Work Standards

All work completed as a portion of the work authorized by the approved permit or agreement will be done in a neat and workman-like manner to the satisfaction of the District Engineer, the Project Engineer, and the Department's inspector. All utility installations will conform with the applicable portions of this manual and with the current edition of the Alabama Department of Transportation Standard Specifications for Highway Construction, rules and regulations of the Public Service Commission, applicable national professional and technical organization codes, and any special provisions or specifications which the Department has made a part of the permit or agreement.



Maintenance and Repairs During Construction The utility will be responsible for the care and maintenance of its partially completed work on the ROW. Any repairs to the ROW or other facilities arising out of the utility's construction or maintenance activity will be performed immediately upon notification by the Department.

Warranty of Work

The utility will warrant its work for a period of one year following the Department's acceptance. The utility is expressly responsible for the condition of pavement, shoulders, patches, and vegetation following patching, tunneling, boring, trenching, or excavation operations. 6.1.3 Required Communications

Notice to Department

The utility will provide written notice to the District Engineer at least 24 hours before starting work authorized by a permit and written notice to the District Engineer at least 24 hours before starting work authorized by an agreement. Upon completion of the work the utility will supply written notice to the Department within 30 days. There are several other specific instances in which the utility must notify the Department. Examples may be found in the guideline on "Coordination and Communication" in Chapter 2 of this manual (§ 2.8).

Contractors, Subcontractors, and Agents

Utility companies often use consulting engineers, independent contractors, subcontractors, or other agents to perform their construction work and inspection. The utility will inform its agents of the conditions of the letter of authorization, the approved permit or agreement, and the Department's utility regulations and guidelines.

Coordination with Highway Contractor

Items of utility relocation or retention work that must be coordinated with the highway contractor's operations will be indicated in the utility's permit or agreement application. Utility actions cannot be undertaken concurrently with highway contractor operations without the prior approval of the Department. The utility will perform all work in a manner that causes a minimum of disturbance to highway contractors, or other utilities working in the ROW.

6.1.4 Interpretation of Permit or Agreement



The authority to decide all questions as to the intent of the permit or agreement documents, and to the required compliance with the agreement, or permit, or agreement documents, rests with the Department's approval authority (Maintenance Engineer for permits, Utilities Section for agreements). The approval authority may choose to delegate such decisions to the Division Engineer or other field representatives. 6.1.5 Inspection

The utility is required to maintain an inspector at the job site. The Department will also have an inspector at the job site who may be the District Engineer, a Project Engineer, or an individual whose only duties involve inspection. The types of inspectors, their qualification, and their duties are discussed in more detail in § 2.11 of this document. Procedures for inspection and record keeping are found in § 6.8 of this document.

Occasionally, the Department may incur additional or unusual expense of inspection, or testing, to ensure compliance with the terms of the permit due to inadequate control on the part of the utility. When this occurs, the utility will be required to reimburse the Department the actual cost of the inspection or testing. 6.1.6 Bond Requirements

The utility will be required to provide to the Division Engineer a suitable surety bond prior to initiating construction. A special guideline on bonding requirements is included in Chapter 2 of this manual (§ 2.6). It should be consulted for a more detailed description of the required bond. 6.1.7 Insurance A utility is expected to have full insurance coverage prior to initiating construction. Insurance coverage must satisfy the provisions of Section 107.15 of the Alabama Department of Transportation Standard Specifications for Highway Construction.



6.8 INSPECTION AND RECORD KEEPING


A description of Department and utility inspectors, their qualifications, and their duties may be found in § 2.11 and § 6.1.5 of this document.

The proper inspection and inventorying of work, and the preparation of accurate daily records, is a necessity for any Department utility-construction project. These records are the documents from which invoices are prepared, verified for accuracy, and used to reimburse the utility. Alabama and federal statutes require that payment of any invoice be based upon the Department's records of the contractor's work, and the importance of these records cannot be over emphasized.

Both the utility and the Department are encouraged to review the work carefully, and to keep accurate and timely records as construction activities occur. A helpful rule of thumb is to document every decision and the facts that led to the decision as if you were going to have to recall the facts five years and 40 jobs from now.

Records are maintained at several locations in several forms. For example, the contractor keeps his own records. The District Engineer, the Project Engineer, and the Department's inspector maintain their own records. Other files may be maintained by the Division Utilities Engineer and by the Department's Central Office. The most prominent of the record keeping requirements are reflected in the following comments.

6.8.1 Division Monthly Report On Utility Relocation Projects

For utility projects approved by agreement, a monthly report is required. On the first day of the month, after the Division Engineer's letter of authorization to the utility, and at intervals of one month, the Project Engineer will prepare and submit to the Division Office a "Utility Relocation Progress Report." The Department's standard Form SP-3 (see appendix) will be used for this purpose. A copy of the form is appended. All reporting will be on original copies of the form, which may be obtained from the Supply Room of the Central Office.

Content of the Form

Form SP-3 is a simple document, which is used to convey to the Division Engineer and then to the Utilities Engineer in the Central Office the status of each utility working on a relocation project. The form identifies whether work and project records are satisfactory, and the percentage of completion for each utility.

Unsatisfactory Progress

While gathering information to complete Form SP-3, the Department's representative must determine



whether each utility is making satisfactory progress. In those cases where the utility is not progressing satisfactorily in the prescribed work, or is not serving adequately the interests of the public or the Department, the Division should take action. Typically, the Division Utilities Engineer will try to determine the cause of the unsatisfactory progress and resolve the issue, if possible. The Division is encouraged to contact the Utilities Section in the Central Office for assistance where the utility continues to fail to make satisfactory progress.

Completion of Work

When form SP-3 indicates that a utility has completed its reimbursable work, the Division Utilities Engineer requests that the utility submit its invoice for reimbursement at the earliest possible time. If the invoice is delayed more than 60 days following completion of the work, the Division Utilities Engineer reminds the utility that the reimbursement agreement requires submission of complete and final billing within six months following the date of completion of the work. 6.8.2 Utility Record Keeping On Reimbursable Work

On reimbursable work, the utility will keep records that show materials, labor, and incidentals applied during each construction day. These records will be utilized for preparation of invoices for submittal to the Department. The Department does not prescribe the format or content of the utility's daily records; however, the following items are suggested as useful topics:

1. Weather conditions, including average temperature and amounts of precipitation (this is especially important if work is prohibited because of inclement weather)

2. A narrative description of work performed by the utility or the utility's contractor3. Conflicts, changes, problems, and instructions encountered during the day4. Periods of non-work5. Names of supervisors on the project6. Names of employees and the hours worked7. Type of work (e.g., force account, contract, or sub-contract), and the hours worked8. Equipment used on the job by type and number of hours used9. Major materials consumed including a description of quantity; size; and whether new, removed,

salvaged, reused, or scrapped10. Notifications given to the Department's representative (by name)11. Materials received and stockpiled for the project12. Actions by the Department, other utilities, or the highway contractor that might lead to delays in

the progress of utility construction13. Damages incurred to utility facilities14. Photographs of damages or unusual conditions15. Any unexpected conditions encountered during the construction project and not shown on the

approved permit, or agreement, or highway construction plans16. Verbal instructions received from the Department, the highway contractor, or other officials



17. Circumstances or matters which may require further investigation, decisions, or documentation

The utility has an opportunity to reconcile its daily records with those of the Department. This will assist the Department in verifying invoices submitted by the utility and will speed the processing of invoices, which should lead to quicker reimbursement for the utility. 6.8.3 Department Record Keeping

The District Engineer and project inspection personnel normally keep detailed records of the progress of all utility projects. This is necessary to verify properly utility requests for reimbursement resulting from relocation projects. The Department is responsible for inspection of work; for compliance with plans, specifications, and the requirements of this manual; for inventorying the work for material used and other issues of reimbursement; for carefully checking invoices to ensure that they can withstand an audit; and for otherwise maintaining the best interests of the public and the Department during utility construction projects.

Daily Utility Relocation Report

The Department's District Engineer, or designated inspector, completes Form SP-1 "Daily Utility Relocation Report" (appended) at the close of each work day. Normally, this form is checked against the records of the utility. The two sets of documents should be compatible, although it is not necessary that they agree in every detail.

A Form SP-1 is completed each day for each utility working on the project. This degree of reporting detail is necessary to provide accurate records for verification of utility activities during a project. 6.8.4 Guidelines for Department Inspectors

This portion of the manual outlines general suggestions for record keeping by Department personnel. These are to be considered as minimum levels and frequently, it may be necessary to expand record keeping to fit the requirements of individual projects.

The suggested topics outlined above for record keeping by the utility (§ 6.8.2) are pertinent to the diary of Department inspectors in addition to the following activities.

Initial Familiarization

When first assigned to a project, the Department's Project Engineer, District Engineer, or inspector should familiarize himself with the permit or agreement, project plans, and cost estimates. This will help to form an understanding of the utility's proposed activities and sequence of work.



Communication

The Department's inspector, or project representative, is encouraged to make early contact with the utility, and to maintain liaison throughout the course of the construction project. The name of the utility's representative, dates and locations at which the utility will work, anticipated difficulties, coordination with the highway contractor, and other topics may be discussed to assist the Department's inspector in reviewing the work.

Daily Records

The Department's representative will complete Form SP-1 daily on reimbursable projects. It is suggested the inspector mark the utility's daily progress on a set of plan sheets from the approved permit or agreement, and that the markings be in contrasting colored pencils showing the date of each action by the utility.

Upon his completion of the daily Form SP-1, the project inspector will request that the utility compare daily records. The Department's inspector should ask the utility's representative to sign Form SP-1 in the designated location. The utility is not required to sign this form, and if the representative declines, the inspector should note such in the space provided on the form.

Effect of Utility'S Work Method

The Department's inspectors should be aware of the utility's work method, i.e., own forces, low bid contractor, or continuing contract forces. The utility also may use options with any of these methods. For example, it may use the low bid contract method for labor and equipment, but furnish its own materials.

Regardless of the construction method, the inspector should locate in the contract documents, or the utility's estimate, the method of billing and payment for construction items, and should prepare daily records that reflect accurate assessments of the work done under each of the items listed in the approved estimate.

Regardless of the utility's construction methods, the Department's individual assigned to inspection of utility relocation work should have a copy of the cost estimate and plans from the utility's approved permit or agreement in his possession when performing inspection work.

Compliance with Approved Plans and Estimate The Department's inspector will check to see that the work is being performed as specified in the approved permit or agreement, plans, and estimate. If not, the non-compliance should be reported immediately to the Department's District Engineer, Project Engineer, or Division Utilities Engineer as appropriate. Examples of non-complying items include units of work or materials which are not included in the approved estimate, changes in the construction plans, or deviation in quality or procedure from the



approved permit or agreement. Location of Utilities

The Department's inspector may check, from time to time, the horizontal and vertical locations of any utility facility for faulty location, and may require that the facility be corrected, or removed, and replaced at the appropriate location.

Knowledge of FAPG

Department personnel responsible for utility relocation work should become familiar with applicable portions of the current Federal-Aid Policy Guide and 23CFR 645 Parts A and B governing utility construction, betterment, salvage credits, and billings. An understanding of these items is essential to ensuring that utilities comply with federal requirements on reimbursable projects.

Cooperation

The Department's intent is to provide the highest level of cooperation and communication with the utility. This role falls upon the inspectors of all parties. It is to the advantage of both the Department and utility to compare and reconcile daily job records, to notify each other of expected difficulties, to investigate methods to save time or funds, and otherwise to pursue mutually the successful completion of the project.

Should the Department's inspector fail to receive a satisfactory level of cooperation, the Division Utilities Engineer will notify the Utilities Engineer in the Central Office to request assistance and guidance.





The safety of the motoring public, the Department's employees, and the utility's employees, necessitates that the contractor have and utilize a properly designed TCP.

The utility, at all times, will maintain signs, lights, barricades, pavement markings, flagmen, and other traffic control devices in its TCP to guide and protect traffic, and to warn and safeguard the public in a manner that is reasonable. A separate guideline in this manual, § 2.26, lists other requirements for TCPs.

6.7.1 Compliance Required

The preparation and use of TCPs are covered in a separate guideline found elsewhere in this manual (§ 2.26). The contractor will be required to abide by the provisions contained in that guideline. 6.7.2 Copy of TCP at Job Site

The utility will be required to have at the job site the following items:

1. a copy of its approved permit or agreement2. a copy of the plans and specifications which accompanied the permit or agreement3. a copy of its TCP4. a copy of Part VI of the Manual on Uniform Traffic Control Devices5. the name, telephone number, and address of the utility's designated person to be contacted in case

of an emergency

6.7.3 Interference with Traffic Except in emergencies, the Department will not allow closure of a highway lane unless the utility has obtained an approved plan for the closure. The Department also reserves the right to prohibit utility work during peak-traffic flow when this work may seriously interfere with traffic movements. Where the utility anticipates that work activities will be conducted during peak-traffic-flow hours, its proposed TCP should indicate the times of work and the proposed traffic control measures.

6.7.4 Urban Areas

The congested character of urban locations and commercial signs which compete for the driver's attention may require special TCPs for urban utility work. Utilities may choose to supplement their normal signing with vehicles equipped with flashing lights, rotating beacons, or flags.


6.6 PRE-CONSTRUCTION CONFERENCES


Pre-Construction conferences are held to improve coordination and communication among the parties involved on a construction project. The Department schedules a conference for each highway construction project. The Department also may call additional conferences with the utilities involved. Both types of conferences are discussed in the following paragraphs.

6.6.1 Utility Pre-Construction Conference

When a utility project is extensive or complicated, the Department may call for a pre-construction meeting before allowing the utility to begin its work on the ROW. The utility will be required to attend this conference.

Attendees

This meeting normally will include the Division Construction Engineer; the Department's Project Engineer; the District Engineer; the Division Utilities Engineer; Department utility inspectors; the utility that holds the permit or agreement; the utility's engineer, inspector, and contractor; and other utilities in the vicinity of the utility work.

Agenda

The conference will be chaired by the Division Engineer or his representative. Typical agenda for a pre-construction conference may include, but not be limited to, the following:

1. Technical aspects of the utility work2. Required coordination between the parties3. Department utility policies4. Required approval for changes during construction5. Work schedules6. Traffic control plan7. Sequence of construction8. Safety of the public and employees9. Affected property owners

10. Drainage provisions11. Record keeping12. Invoices and reimbursements (where appropriate)

Topics may be added or removed, as necessary, to reflect the complexity and details of the utility construction project. All parties may suggest topics for the meeting.



6.6.2 Highway Pre-Construction Conference

It is the practice of the Department to convene a pre-construction conference with the highway contractor before the contractor is allowed to begin work. Utilities within the limits of work will be among the affected parties notified of the conference, and will be expected to attend. Ideally, a majority of the utility relocation work will have been completed by the time that the project is awarded to the highway contractor; however, this is not always the case. The attendance of the utility is particularly important where utility work has not been completed in advance of highway construction, but must be coordinated closely with the highway contractor's work. Examples include projects on which extensive grading must be completed prior to utility placement, or where utilities cannot be placed prior to the highway contractor's clearing and grubbing operations.

Attendees

The highway pre-construction conference will include the highway contractor and his representatives, Department construction personnel, and the parties who are normally invited to a utility pre-construction conference.

Agenda

The conference will be chaired by the Division Engineer or his representative. At the conference, the utility will indicate the type and location of its existing facilities. It will also explain proposed relocations, retention, or new work. The highway contractor will outline his proposed schedule of operations and construction procedures. The Department's role will be to coordinate the scheduling of contractor and utility operations, to encourage the utmost cooperation by all parties, and to facilitate the timely completion of the work.

The topics which will be of interest include those listed previously for utility pre-construction conferences. All parties will be encouraged to discuss fully any pertinent point of interest.



6.5 AUTHORIZATION

6.5 AUTHORIZATION

6.5.1 Applies to Agreements, But Not Permits

The authorization process applies to all utility actions approved by agreement. It does not apply to utility actions approved by permit.

Formal authorization is required before relocation work can be begun. The utility may not initiate relocation work without an approved agreement and the Division Engineer's letter of authorization for construction. The following information outlines the classifications of authorization involved in the utility-relocation process and typical contents of letters of authorization. 6.5.2 Authorization Sequence

There are normally three separate steps in the authorization process for utility relocation work. In descending order of authority they occur at the FHWA, the Department's Central Office, and the Department's Division Office. FHWA For selected federal-aid projects, the FHWA Division Administrator will issue a letter of authorization to the Transportation Director of the Alabama Department of Transportation. This letter will contain dates and conditions which allow the Department to proceed with any phase of a project that has previous or concurrent program approval. On other federal-aid projects, the letter of authorization is issued by the Department’s Office Engineer. On non-federal-aid projects, this step is omitted. Central Office The Department's Central Office issues authorization to the appropriate Division for work on all projects, whether federal-aid or state funded. The authorization document allows utilities to proceed with any phase of a project, whether previously or concurrently under agreement. The date of authorization in this letter establishes the date of eligibility for reimbursable construction expenses incurred in the relocation work. For federal-aid projects the date will conform with the date of authorization granted by FHWA. Division Office The appropriate Division of the Department will issue a letter of authorization (notice to proceed) to the utility for work on any phase of a project which has been authorized previously by the Department and the FHWA, for which the Department has "right of entry" on the real estate involved. 6.5.3 Central Office Letter of Authorization


6.5 AUTHORIZATION

Generally, the letter of authorization issued by the Central Office will consist of a letter of transmittal, four copies of the cost estimate, four copies of the agreement, and one set of approved relocation plans. For federal-aid projects, four copies of the FHWA's letter of authorization will also be included. For non-reimbursable utility work, the cost estimate and the FHWA letter may be omitted.

The distribution of the Central Office letter should provide one complete assembly each of the authorization documentation for the utility, the Division Engineer, and the District Engineer, and one complete assembly for the Project Engineer. 6.5.4 Division Letter of Authorization

The Division Engineer's letter of authorization includes a letter of transmittal, plans, cost estimate (where appropriate), the FHWA letter of authorization (where appropriate), and the fully executed agreement.

Six basic topics normally will be included in the Division's letter of authorization. There also may be conditional authorizations or special conditions in either the FHWA or Central Office letters of authorization. The Division Engineer will reflect these conditions and may also include his own special conditions or provisions in the letter in addition to the items discussed in the following paragraphs.

Right of Way

The letter will review the status of the Department's ROW acquisition for the project, especially where it affects the utility relocation work. The Division Engineer may point out where the utility will be relocated onto new ROW.

Occasionally, the Department's ROW acquisition will not be completed and may interfere with a utility's relocation work. In this case, the Division Engineer may, at his discretion, issue a conditional authorization. The condition might allow the utility to conduct limited actions, order materials, and purchase its own ROW, while not beginning actual relocation work until complete authorization is received from the Division.

Contract Let by Owner Where the utility intends to let a contract for the relocation project, the Division's letter of authorization should outline the steps required. These requirements include submission to the Department of detailed construction plans, proposal for bids, and the public advertisement for bids. Where the owner is not going to advertise publicly for bids, the submission will include a list of five or more qualified contractors from whom the owner plans to solicit bids. After the acceptance of public or solicited bids, the Department will review the results of the three lowest bidders, and if appropriate, authorize the award of a contract.


6.5 AUTHORIZATION

Liaison with Department

The representative of the utility, who is in responsible charge of the work, must initiate communication and maintain liaison with the District Engineer, Project Engineer, or the Department's designated inspector.

Notification

The Division letter should remind the utility that it must notify the Division Engineer in writing 24 hours prior to the beginning of work and the completion of work. The utility must supply notice of when and where it will be working on the job, when its part-time inspector (where approved by the Department) will be on the job, and when special activities, such as blasting, will be taking place. This is necessary to allow the Department to inspect and inventory the work, to keep daily records, and to facilitate coordination and communication among the involved parties.

Pre-Construction Conference

The letter of authorization should state that the utility's attendance at the pre-construction conference is required. When the Division is aware of special actions included in the highway or utility project, or believe that there are unique conditions requiring close coordination, this may be stated in the Division's letter of authorization.

The letter of authorization is the tool that the Department uses to grant authority to the utility to begin its work on state ROW. In general, the letter will contain the date that the contractor may first begin his work, and other special provisions which allow the Department to protect the safety of the public, ensure the integrity of the highway, and properly reimburse the utility.



6.4 UTILITY CERTIFICATE


A utility certificate is issued by the Design Engineer prior to receiving bids for construction of a highway project. The certificate clarifies the status of each utility involved in relocation efforts, or certifies that no utilities are involved or impacted by the construction activities within the highway project area. The certificate is issued prior to the bid letting date for the highway project. It is published in the Special Provision portion of the Highway Contract Specifications and becomes part of the Contract.

The utility certificate process applies to relocation actions (or to utility work approved by the agreement procedure). It does not apply to the permit approval procedure.

6.4.1 Content of the Utility Certificate

The certificate includes enough material to reflect the status of utility work within the construction limits of the proposed highway construction project. Knowledge of the current status and the projected time frames for completion of each utility relocation is important to contractors who are bidding on the highway contract.

Dates Entered On The Certificate

For all dates entered on a utility certificate, use the actual date for past events. Use estimated time frames for future events.

Where the time frame is estimated, it will be identified as such and that it is based upon the utility firm's written estimate of design and construction times, and the Division Utility Engineer's knowledge of the probable dates of authorization of utility work and letting of the highway contract. It will be referenced to the bid letting date of the highway contract, i.e., "estimated to be completed within 30 calendar days after highway project bid letting."

Content

The utility certificate will normally contain, as a minimum, the following topics: Status of Agreement The dates that agreements, plans, and other documents received approval by the Department will be provided in the certificate if they have not been approved, list the estimated time frames of approval referenced to the bid letting date. Notification of Utility



List the dates on which utilities were notified of approval. If they have not yet been notified, list anticipated time frames of notification referenced to the bid letting date. Authorization List the dates on which utilities were authorized to begin their construction activities. Describe in detail any conditions attached to the letters of authorization. For example, utilities sometimes may be allowed to purchase materials, or to purchase their own ROW, pending completion of the Department's purchase of ROW. If the authorization has not yet been issued, list the anticipated time frames of authorization referenced to the bid letting date. Beginning of Work List the date that each utility began its work, or the time frame within which work will begin, will be listed and it will be referenced to the bid letting date. Completion of Work The elapsed time required for utility relocation work is important. The Division Utilities Engineer will take particular care to obtain and note the utilities' estimated time frames for completion referenced to the bid letting date. Coordination with Highway Contractor When the Department cannot avoid extending utility relocation work into the highway contract period, the certificate will state the utility actions that will occur during highway construction, and require mutual coordination between the utility and the highway contractor. The certificate will also include an estimate of the number of days of utility work that will occur during the highway contract.

Division personnel should encourage a prompt completion of utility relocation work in order to minimize conflict with highway construction activities. 6.4.2 Responsibility for Preparation of Certificate

The basic information for the certificate originates with the Division Utilities Engineer, who conducts discussions with both the utility and Department design personnel in order to verify the key dates and work steps in the utility relocation process. The Division Utilities Engineer frequently begins this work by conducting a detailed interview with the utility, and maintains liaison with the utility throughout the design and construction period. 6.4.3 Timing of the Utility Certificate



The certificate is completed by the Utilities Engineer and is supplied to the Department's Construction Engineer during the seventh week before the letting date for a highway construction contract. The Division Utilities Engineer must begin his work prior to this time and transmit the certificate information to the Utilities Engineer in the Central Office no later than Thursday of the eighth week prior to bid letting. The utility-certificate information must be transmitted in writing. 6.4.4 Coordination with Construction Personnel

The Division Utilities Engineer will have early knowledge of the utility relocation-plans and schedules because he reviews these documents prior to forwarding them for review by the Central Office. These reviews are parts of the design process discussed in detail in the chapter on planning and design. He normally obtains first-hand knowledge of the proposed utility construction-sequence and time schedule along with any special features to be incorporated into the utility work. The Division Utilities Engineer should advise both the Division Construction Engineer and Pre-Construction Engineer of any unusual circumstances anticipated in the utility relocation work.

Occasionally, the Division and the utility cannot arrive at a mutually acceptable time schedule for completion of utility relocation work. When this occurs, the Division Utilities Engineer should contact the Utilities Engineer in the Department's Central Office for advice and assistance.



6.3 APPROVED UTILITY CONTRACTORS

6.3 APPROVED UTILITY CONTRACTORS

6.3.1 Introduction

The Department is charged with maintaining the integrity of the state highway system, including the oversight of work performed by utilities on ROW of the system. As a condition for performing construction activities, the Department requires that a firm must be a properly licensed contractor. This action is taken to ensure that those working within the ROW are knowledgeable of the principles of this manual, have demonstrated that they can execute high quality work, and are familiar with the intricacies of such work, and coordination required for utility construction projects. 6.3.2 Required Qualifications

Utility construction firms must be regularly licensed to conduct construction in Alabama, as required by the State Licensing Board for General Contractors. Contractors interested in becoming licensed may contact:

State Licensing Board for General ContractorsExecutive Secretary125 South Ripley StreetMontgomery, AL 36130phone: (334) 261-2839

Loss of License Any firm which has possessed a license from the State Licensing Board for General Contractors, but which has been rescinded, is ineligible to conduct utility construction on Department ROW until such license is restored.



6.2 METHODS OF CONSTRUCTION

6.2 METHODS OF CONSTRUCTION

Utilities may choose any of several methods for construction of their facilities on State ROW. The Department recognizes the following construction procedures:

1. Construction with utility's own forces2. Utility's continuing contract with construction firm3. Utility advertises for bids and accepts low bidder4. Inclusion of utility work in Department highway contract5. A combination of any or all of the above

Some of these procedures are more suitable to certain utilities than are others. Normally, the Department does not exercise preference over the method that the utility chooses to execute construction; however, there may be occasions in which it is in the interest of the public for the Department to specify the method which will be used.

The Department desires early notice of the utility's preferred construction method. Early notice will assist the Department in the planning and designing of the highway construction project.



6.9 CHANGES IN APPROVED WORK


6.9.1 Minor Changes

The Department's Project Engineer (or District Engineer, as appropriate, for the type of utility work) has the right to approve minor alterations in plans or character of work when such are necessary or desirable during the progress of the work. Generally, these changes will be made when they assist in obtaining satisfactory completion of the proposed construction. The alterations will not be considered as a Department waiver to any of the conditions of the agreement or permit.

It is the responsibility of the utility to notify the Project Engineer (or District Engineer, as appropriate) of any needed changes on the job that are beyond the scope of the original permit or agreement. If the need for minor changes to the project arise, both the Department's inspector and the utility's representative should provide adequate documentation in their daily records of the nature of the change, the reasons for it, and the final action. 6.9.2 Major Changes

Approval for a major change from the approved conditions of the permit or agreement will be made at the Central Office level. It requires the submission of a written request from the utility complete with design drawings, cost estimate, written explanation, and justification for the modification. The Department also may require the utility to submit additional information to allow evaluation of the recommended change. This submission is made to the Division Engineer, who will forward it to the Department's Central Office along with his recommendation for approval or disapproval.

The Division Engineer will decide whether changes are major or minor in character when the issue is disputed.

6.9.3 As-Built Drawings

Where changes from conditions of the permit or agreement occur during construction, the utility will be required to reflect these changes on as-built drawings at the conclusion of construction. Where there are no changes from the conditions of the approved permit or agreement, the utility may submit a letter to certify that the original plans accurately reflect as-built conditions. (See § 2.3.1) 6.9.4 Changes in Force Account Work

Where the utility is performing force account work, and desires to use personnel or equipment not included in the approved estimate, plans, and agreement, changes must be approved by the Division Engineer and the Central Office prior to performance of the additional work. This will be considered a major change, and the utility's request for the change will utilize the corresponding procedure.



Utilities occasionally desire to assign or sublet specialty items like blasting or x-ray work. Approval for such assignment must be secured from the Central Office. This will require that the owner demonstrate that the prices of the sublet work are reasonable and would be the same prices that the utility would use for its own operation. Solicitation of bids or utilization of a continuing contract are examples of ways that the utility may demonstrate reasonableness of price.

6.9.5 Changes in Contract Work

Where the utility desires changes to its contract work, it will initiate a written request to the Division Engineer for the Department to issue a change order. The Department will treat the change request in the same manner as changes to contracts for highway and bridge projects. The only difference in utility contracts and bridge/highway contracts is that the change order and the supplemental cost estimate are separate documents for utility work, and they must be treated as such.

The utility will prepare a written request which will include seven sets of plans, seven copies of a supplemental cost estimate reflecting the changes, and written justification for the change. The request will be sent to the Project Engineer for processing through channels. 6.9.6 Supplemental Estimates

If for any reason there is a deviation from the approved estimate of the cost of the project, the utility must obtain an approved supplemental estimate prior to receiving reimbursement. The types of changes which require a supplemental estimate include, but are not limited to, additions of new items of work, changes in equipment, subletting, work not included in the original estimate, utilization of categories of personnel not previously approved for force account work, and similar items.

Seven copies of the supplemental estimate and seven sets of prints must be submitted to the Division. If the Division Engineer approves the change in the supplemental estimate, two copies of the estimate and three sets of plans are forwarded to the Central Office for review and possible approval.



6.10 OVERRUNS

6.10 OVERRUNS

On a construction project an "overrun" is an increase in the quantity of the work item above the amount in a previously approved cost estimate or supplemental cost estimate. Overruns are not rare and occur on many construction projects. They do occur because construction plans, at best, are only estimates of the required work. Once the project is begun, unforeseen, or changed conditions, or other issues may necessitate a change in the work which results in overruns.

Overruns in work items lead to difficulties in reimbursing the utility, and in accounting for funds expended on utility projects. Department inspectors frequently locate overruns through the tabulation of contract items based upon daily project records. When found, they should be reported promptly to superiors.

6.10.1 Identification and Reporting Of Overruns

It is important for both the utility and the Department's representative to identify and report overruns as early as possible. This will help minimize problems with inspection, documentation, and reimbursement throughout the remainder of the project. Utilities will report suspected overrun items to the Department's representative as soon as they are aware of the prospect of overrun. Department inspectors should be aware of the importance of overruns, and promptly call them to the attention of the District Engineer, Project Engineer, or Department Utilities Engineer as appropriate.

6.10.2 Minor Overruns

The Department normally does not place significance upon overruns which are no greater than 10 percent of the approved estimate for a specific item. As a general rule, these minor overruns do not require an explanation by the utility; however, the Central Office may occasionally require justification for a particular item when the overrun is less than 10 percent. In these cases, the Department's Utilities Section will identify the item and request that the utility justify the minor overrun. 6.10.3 Major Overruns

In the event that an overrun exceeds 10 percent of the approved estimate for any major item, the Department considers it a major overrun. The utility, the Division Utilities Engineer, and the Project Engineer (or District Engineer, as appropriate) jointly, will review the work and determine the cause of the overrun. After the investigation, project records should be updated to reflect the cause, the anticipated total overrun, and any other pertinent facts. If the utility desires reimbursement for a major overrun, the invoice must be accompanied by the utility's explanation and justification, and by a statement of concurrence by the Project Engineer (or District Engineer, as appropriate), and the Division


6.10 OVERRUNS

Utilities Engineer.



7.1 REIMBURSEMENTS

7.1 REIMBURSEMENTS Reimbursements are made by the Department to the utility for completed work on reimbursable projects. The utility may request a single payment after completion of the project, or may request partial payments at intervals of not less than 30 days, beginning 30 or more days after formal notification of Agreement approval from the Department, and after engineering, or relocation, has begun.

This section of the manual will describe reimbursable projects and reimbursable items, the format and method to be used by utilities to request payments, and the Department's reimbursement method and schedule. Credits to the Department for items such as salvage value, betterment, and temporary relocation are described, as are cost overruns, and the method of contesting payments.



7.2 DOCUMENTS CONTROLLING PAYMENT

7.2 DOCUMENTS CONTROLLING PAYMENT This manual and the appended Federal-Aid Policy Guide and 23CFR 645 Parts A and B contain the guidelines controlling payment from the Department to utilities for relocation of utility facilities located on existing or proposed highway ROW under the jurisdiction of the Department.



7.3 REIMBURSABLE PROJECTS, AGREEMENTS, AND ITEMS


This subsection describes the types of projects, agreements, and line items which are eligible for reimbursement. 7.3.1 Eligible Projects PRIVATE ROW

If a utility is located on its own existing private ROW, the utility is automatically eligible for reimbursement for utility facility relocation. The reimbursement will include both relocation costs and payment for new private ROW, unless relocated to public ROW. If the utility moves to public ROW and is required to relocate again, the new private ROW, if required, would be at the Department's expense.

INTERSTATE PROJECTS

Any relocation of utility facilities required by the Department in relation to an Interstate highway project is eligible for reimbursement.

FEDERAL-AID PROJECTS

Utility relocation required by the Department on highway projects receiving any federal participation (with the exception of the Interstate system) is eligible for reimbursement if the gross receipts of the utility involved are less than $75 million annually.

STATE PROJECTS

To be eligible for reimbursement for state financed highway projects, the utility involved must be certified by the Department's External Audit Section to be a "pauper." The utility must file a variance request (§ 2.28), must undergo a financial audit, and must otherwise demonstrate that it is economically unable to provide relocation of its facilities before it can be certified as a pauper.

LAND OWNED BY UTILITIES

On all projects, State or Federal, where the utility facilities are located on utility property or on land where the utility has property rights, the utility is eligible for reimbursement.

FURTHER INFORMATION

For further information concerning reimbursements, see Section 23-1-5, Code of Alabama, 1975, as amended.



7.3.2 Eligible Agreements and Construction Contracts Payment will be made by the Department to the utility for relocations made under master agreements, special agreements, and Agreement SAHD No. 2 (see § 4.3 and table 4-2). Payment will be made under either Agreement SAHD No. 2 or Agreement SAHD No. 3 for engineering work performed by the utility or by the utility-consultant engineer.

Payment will be made for the following construction-completion methods if other requirements for reimbursement eligibility are satisfied:

1. lump sum contract2. continuing contract; invoices submitted to the Department under continuing contracts must refer

to a specific continuing contract on file with the Department or must attach the contract to the invoice; a statement such as "the continuing contract will follow" is unacceptable

3. low bid contract4. company forces5. combinations of the above

7.3.3 Reimbursable Items

The list of line items normally eligible for reimbursement follows:

1. Preliminary engineering (all engineering performed after receipt of the Department's notice to proceed and prior to contract letting; including phase I—concepts and phase II—plans, specifications and estimate if performed under the three-tier engineering arrangement; if in-house engineering is used, reimbursable work begins when the Department authorizes the utility to begin phase I (see Figure 4-1); if a utility-consultant engineer is used, reimbursable work begins after Department approval of the utility-engineer contract)

2. Construction engineering (such items as stake out, inspection, testing, and preparation of as-built construction drawings, known as phase III under the three-tier plan)

3. Relocation work4. Stored materials (the Department will pay the utility's or contractor's cost for stored materials

purchased for the project, once stored at a secure site and verified by the Project Engineer or his representative, as per Federal-Aid Policy Guide and 23CFR 645 Parts A and B)

5. Private ROW (as described in § 7.3.1)



REIMBURSABLE AGREEMENT

REIMBURSABLE AGREEMENTFOR RELOCATION OF UTILITY FACILITIES

ON PRIVATE OR PUBLIC RIGHT-OF-WAY

PROJECT NUMBER

____ Private Right-of-Way Utilities______________________________________

____ Public Right-of-Way Construction __________________________________

THIS AGREEMENT is entered into by and between the State of Alabama Department of Transportation acting by and through its Transportation Director, hereinafter referred to as the STATE, and ___________________ ____________________________________________________________________________________________, hereinafter referred to as the UTILITY.

WITNESSETH:

WHEREAS, the STATE proposes a project of certain highway improvements in ______________________

County, Alabama, said project being designated as Project No. ________________________________________ and consisting approximately of the following:_______________________________________________________ ____________________________________________________________________________________________

________________________________________________________________________________________ ; and

WHEREAS, the UTILITY is the owner of certain facilities located on private or public right-of-way, as applicable, at places where they will interfere with the construction of said project unless said facilities are relocated; and

WHEREAS, the Transportation Director has determined that the relocation of the facilities hereinafter referred to is necessitated by the construction of said project and has requested or ordered, as applicable, the UTILITY to relocate same; and

WHEREAS, under the laws of Alabama, the STATE is required to compensate the UTILITY for all or part of such relocation;

NOW, THEREFORE, the parties hereto agree as follows:

1. The UTILITY will relocate its facilities presently located within the right-of-way limits of the above referenced project in accordance with the UTILITY'S plans and specifications as approved by the STATE, so as to occasion the least possible interference with the progress of the project. The UTILITY'S plans, specifications and estimate of relocation cost are transmitted herewith and made a part hereof by reference.

2. The estimated cost for Engineering required by the relocation of utility facilities will be included in the total estimated cost of relocation set forth hereafter in this Agreement, and will be divided into three (3) phases: (a) Phase I - Concept; (b) Phase II - Design; and (c) Phase III - Construction. Each Phase of the Engineering work must be estimated and performed independently of the other. The three Engineering Phases will apply to work performed by the UTILITY'S Engineering Personnel and/or Consultant Engineers. The UTILITY will not proceed with any additional Phase of the required engineering work until it has received written notification from the STATE approving the completion of the previous Phase and written instruction to proceed with the next Phase.

3. The STATE has the right to notify the UTILITY, in writing, to cease Engineering work at any time it deems necessary. If so notified, the UTILITY shall cause all work to cease within four (4) working days and will invoice the STATE for the reimbursable work completed to date.

4. The UTILITY will conform to the provisions of the latest edition of the State of Alabama Department of Transportation Utility Manual, as the provisions thereof are applicable hereto, for both installation and maintenance of such facilities. Such Utility Manual is of record within the Alabama Department of Transportation at the execution of this Agreement and is hereby made a part hereof by reference.

5. The UTILITY will conform to the provisions of the Federal Highway Administration Manual on Uniform Traffic Control Devices (MUTCD), latest edition, as the provisions thereof are applicable hereto, for both installation and maintenance of such facilities. Such manual is of record within the Alabama Department of Transportation at the execution of this Agreement and is hereby made a part hereof by reference.

6. Code of Federal Regulations 23 CFR 645 is hereby made a part hereof by reference and will be conformed to by the UTILITY as the provisions thereof are applicable hereto.

7. The UTILITY will observe and comply with the provisions of all Federal, State and Municipal laws and regulations as the provisions thereof are applicable hereto in the performance of work hereunder, including the Clean Water Act of 1987, the Alabama Nonpoint Source Management Program of 1989, and the regulations of the Environmental Protection Agency (EPA) and the Alabama Department of Environmental Management (ADEM). The UTILITY will procure and pay for all licenses and permits that are necessary for its performance of the work.

8. The UTILITY will perform the work of relocation: (a)________________ by UTILITY'S own forces; (b) ______________ by contract let by the UTILITY; (c) ______________ by an existing written continuing contract where the work is regularly performed for the UTILITY; or (d) ______________ by combination of the preceding (as shown in detail on the estimate).

9. The detailed relocation cost estimate will be prepared on the State's Form U-10 or the UTILITY'S own form giving the same type of information and attached to this agreement. With respect to facilities located on the UTILITY'S private right-of-way, the STATE will reimburse the UTILITY for the actual cost of relocation, as may be adjusted below. With respect to facilities located on public right-of-way, the STATE will reimburse the UTILITY for all or part of the actual cost of relocation as required by the laws of Alabama, as may be adjusted below.

a. The STATE’S share of the engineering charges shall be limited to the "in-kind" work only.

b. The total actual cost of relocation, including Engineering, whether the facilities are on private or public right-of-way, shall be adjusted for betterment, if any, as defined and provided for in 23 CFR 645 above noted. Excluding betterment costs, the total estimated cost of relocation, including Engineering, is $_________________________. The total estimated cost including betterment is $_________________________.

c. If an adjustment for betterment is applicable, the STATE will reimburse the UTILITY for __________ percent of the actual cost of relocation and the remaining __________ percent thereof shall be for the account of the UTILITY for betterment. If there are changes during construction and/or the actual construction cost percentage becomes substantially different from the construction estimate, the STATE reserves the right to recalculate the percentages at any time.

10. The method to be used for the development of relocation costs for this project is: (a) ______ as established by Federal or State regulatory body; (b) ______ as previously approved by the STATE; or

file:///H|/Bureau/Design/utilities/UTMAN2/appendix/SAHD2.html (1 of 4)10/27/2004 6:38:24 AM


(c) ______ Lump Sum Amount ($100,000 maximum). The UTILITY will furnish the STATE, in writing, six (6) weeks prior to the State's project letting date a time frame for beginning and ending the required relocation work.

11. The UTILITY will keep accurate and true records of all expenditures made by it in the process of such relocation. Records will be kept in accordance with 23 CFR 645 above noted, or in accordance with Part 30 and 31, Federal Acquisition Regulations, or in accordance with accounting practices acceptable to the STATE.

12. The UTILITY will, during the progress of the work and for three years from the date final payment is made, make its records available during normal working hours for examination and audit by representatives of the STATE and of the Federal Highway Administration to verify amounts and items covered in the reimbursement for relocation of facilities covered herein. Said records will be available for examination at

______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________.

13. The UTILITY will, within six (6) months following completion of the relocation, furnish the STATE such papers, records, supporting documents and invoices as may be required by the State showing the cost of said relocation. The UTILITY will furnish the STATE a copy of its "as built" plans for the STATE'S records.

14. Upon receipt of such documents and accounts as may be required by the preceding paragraph and upon completion and acceptance of such verification as the STATE may deem necessary, the STATE will reimburse the UTILITY for the actual cost of such relocation as verified by the STATE. In the event the actual verified cost, as accepted, exceeds the estimated cost, the STATE may require a Supplemental Agreement to be executed between the parties prior to reimbursement of any amount in excess of the estimated cost.

15. Paragraphs numbered 16 through 20 set forth below are applicable to this Agreement only if some or all of the UTILITY facilities to be relocated hereunder are located on private right-of-way of the UTILITY; otherwise, such paragraphs are considered inapplicable to this Agreement and null and void.

16. Where the UTILITY has a compensable property interest in its existing location (herein referred to as private right-of-way) by reason of holding the fee, an easement or other property interest, evidence of such compensable property interest will be submitted to the STATE by the UTILITY for review and approval.

17. If the UTILITY is required to move all of its facilities from a portion of its private right-of-way, upon completion of the relocation provided for herein, the UTILITY will convey to the STATE by Quitclaim Deed the portion of its private right-of-way located within the right-of-way limits of the above referenced project.

18. In the event the UTILITY is not required to relocate any of its facilities which are located on its private right-of-way, the following provisions shall apply:

a. To the extent the UTILITY has the right to so agree the STATE will have the right to construct, operate and maintain a highway over and along the portion of the UTILITY'S private right-of-way located within the right-of-way limits of the above referenced project.

b. The subordination of the UTILITY'S private right-of-way to the right of the STATE to construct, operate, and maintain said highway will be effective and operative only to such air, surface and sub-surface rights as may reasonably be required and are necessary for the construction, operation, and maintenance of said highway, and to enable the STATE to control access to the highway where such control is established; otherwise this subordination agreement will in no wise affect and impair the rights of the UTILITY, its successors and assigns, in or to its private right-of-way, including but not limited to the right to install additional facilities over, under and across the highway; provided, however, that any installation of additional facilities will be subject to the STATE'S responsibility and right to make prior determination that any such additional facilities are located so as not to impair the highway or any planned highway improvement and so as not to interfere with the free and safe flow of traffic thereon.

c. It is mutually understood that the terms of this Agreement do not subordinate, affect or impair the rights of the UTILITY for reimbursement of the cost of such future relocation as may be required and necessitated by highway construction at some future date, as fully as if no subordination existed; however, such relocation will be in accordance with an additional agreement to be entered into at that time between the UTILITY and the STATE.

19. If the UTILITY is required to relocate any of its facilities which are located on its private right-of-way to a new location on the same private right-of-way, the following provisions shall apply:

a. To the extent the UTILITY has the right to so agree, upon completion of the relocation provided for herein, the STATE will have the right to construct, operate and maintain a highway over and along the portion of the UTILITY'S private right-of-way located within the right-of-way limits of the above referenced project.

b. The subordination of the UTILITY'S private right-of-way to the right of the STATE to construct, operate and maintain said highway will be effective and operative only to such air, surface and sub-surface rights as may reasonably be required and are necessary for the construction, operation and maintenance of said highway, and to enable the STATE to control access to the highway where such control is established; otherwise this subordination agreement will in no wise affect and impair the rights of the UTILITY, its successors and assigns, in or to its private right-of-way, including but not limited to the right to install additional facilities over, under and across the highway; provided, however, that any installation of additional facilities will be subject to the STATE'S responsibility and right to make prior determination that any such additional facilities are located so as not to impair the highway or any planned highway improvement and so as not to interfere with the free and safe flow of traffic thereon.

c. It is mutually understood that the terms of this Agreement do not subordinate, affect or impair the rights of the UTILITY for reimbursement of the cost of such future relocation as may be required and necessitated by highway construction at some future date, as fully as if no subordination existed; however, such relocation will be in accordance with an additional agreement to be entered into at that time between the UTILITY and the STATE.

20. If the UTILITY is required to relocate any of its facilities which are located on its private right-of-way to a new location on public right-of-way or if any such facilities are to be retained in place within the public right-of-way due to this project, the following provisions will apply:

a. The cost of relocation will include reimbursement for acquisition of right-of-way by the UTILITY to place necessary guy wires and anchors on private lands adjacent to the highway right-of-way and the rights to cut, trim and remove, initially and from time to time as necessary, trees on private lands adjacent to the highway right-of-way which might then or thereafter endanger the facilities of the UTILITY.

b. Reimbursement for future relocation of the UTILITY'S facilities will be in accordance with State laws in effect at the time such relocation is made; provided, however, the UTILITY will be reimbursed for the cost of any future relocation of the facilities, including the cost of acquisition of equivalent private right-of-way if such future relocation is outside the highway right-of-way and such relocation is required by the STATE, and provided that the prior relocation from private right-of-way to public right-of-way was without compensation to the UTILITY for its compensable property interest in its private right-of-way.

21. The UTILITY will be obligated for the payment of damages occasioned to private property, public utilities or the general public, caused by the legal liability ( in accordance with Alabama and/or Federal law) of the UTILITY, its agents, servants, employees or facilities.

22. In the event a Utility - Consultant Engineering Agreement for this project is entered into between the UTILITY and a Consulting Engineer, the following provisions will apply:

a. The UTILITY has complied or will comply with and fulfill and will require the Consultant Engineer of the UTILITY to comply with and fulfill, all obligations, requirements, notifications, and provisions of the Utility - Consultant Engineering Agreement executed for this project work which are for the benefit or protection of the STATE.

b. The UTILITY has obtained or will obtain all approvals and authorizations required by the STATE which are provided for in the Utility - Consultant Engineering Agreement.



c. No reimbursement payments will be due and none will be made by the STATE until such Utility - Consultant Engineering Agreement is complied with faithfully by the UTILITY and Consulting Engineer.

23. The UTILITY will have a copy of this Agreement on the project site at all times while work is being performed under this Agreement.

24. Nothing contained in this Agreement, or in its execution, shall be construed to alter or affect the title of the STATE to the public right-of-way nor to increase, decrease or modify in any way the rights of the UTILITY provided by law with respect to the construction, operation or maintenance of its facilities on the public right-of-way.

25. Paragraph 26 set forth below is applicable to this Agreement only if Federal appropriated funds are available or will be available in the project by which the relocation required by this Agreement is necessitated.

26. In the event any Federal Funds are utilized for this work, the following certification is made:

The undersigned certifies, to the best of his or her knowledge and belief, that:

(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.

(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.

(3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

27. Exhibit N is attached hereto and made a part hereof.

IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed by their respective officers, officials and persons thereunto duly authorized, and the agreement is deemed to be dated and to be effective on the date hereinafter stated as the date of its approval by the Governor of Alabama.

WITNESS:

APPROVED AS TO FORM:

BY:

Jim Ippolito, Jr.

Chief Counsel,Alabama Department of Transportation

To the best of my knowledge this document complies with the laws, rules, and regulations of the State of Alabama.

RECOMMENDED FOR APPROVAL:

BY:

(Typed Name)

Division Engineer

BY:

Robert G. LeeUtilities Engineer



STATE OF ALABAMA DEPARTMENT OF TRANSPORTATION ACTING BY AND THROUGH ITS TRANSPORTATION DIRECTOR

Jimmy Butts

Transportation Director

(Legal Name of Utility)

BY:

(Signature and Title)

(Typed Name)

(Typed Title)

(Address)

(Telephone)

Dykes T. RushingOffice Engineer

Funding for this utility work has been appproved. Funds will be obligated at the appropriate time following the execution of this document.

The within and foregoing Agreement is hereby approved on this _____ day of ______________________, 19____.

Fob James

GOVERNOR

STATE OF ALABAMA



NON-REIMBURSABLE AGREEMENT


FOR RELOCATION OF UTILITY FACILITIES ON PUBLIC RIGHT-OF-WAY

PROJECT NUMBER

Utilities________________________________

Construction____________________________

THIS AGREEMENT is entered into by and between the State of Alabama Department of Transportation acting by and through its Transportation Director, hereinafter referred to as the STATE, and ___________________ ____________________________________________________________ hereinafter referred to as the UTILITY.

WITNESSETH:

WHEREAS, the STATE proposes a project of certain highway improvements in ____________________ County, Alabama, said project being designated as Project No. __________________________________________ and consisting approximately of the following: _______________________________________________________ ____________________________________________________________________________________________________________________________________________________________________________________; and

WHEREAS, the UTILITY is the owner of certain facilities located on public right-of-way at places where they will interfere with the construction of said project unless said facilities are relocated; and

WHEREAS, the Transportation Director has determined that the relocation of the facilities referred to is necessitated by the construction of said project and has ordered the UTILITY to relocate same; and

WHEREAS, under the laws of Alabama, the UTILITY is required to relocate said facilities at its own expense;


1. The UTILITY will relocate its facilities presently located within the right-of-way limits of the above referenced project in accordance with the UTILITY'S plans as approved by the STATE, so as to occasion the least possible interference with the progress of the project. The UTILITY'S plans are transmitted herewith and made a part hereof by reference. The UTILITY will furnish the STATE a copy of its "as built" plans at the completion of the relocation.

2. The UTILITY will conform to the provisions of the latest edition of the State of Alabama Department of Transportation Utility Manual, as the provisions thereof are applicable hereto, for both installation and maintenance



of such facilities. Such Utility Manual is of record within the Alabama Department of Transportation at the execution of this Agreement and is hereby made a part hereof by reference.




6. Reimbursement for future relocation of the UTILITY'S facilities will be in accordance with State law in effect at the time such relocation is made.


8. The UTILITY will have a copy of this Agreement on the project site at all times while work is being performed under this Agreement.

9. The UTILITY will furnish the STATE, in writing, six (6) weeks prior to the State's project letting date, a time frame for beginning and ending the required relocation work.


IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed by their respective officers, officials or persons thereunto duly authorized on this __________ day of _____________________ 19____.

WITNESS: _____________________________________________




BY: ____________________________________________


APPROVED AS TO FORM: _____________________________________________

(Typed or Printed Name)

BY: _____________________________________________

Mr. Jim Ippolito, Jr., Chief Counsel, (Typed or Printed Title)

Alabama Department of Transportation

_____________________________________________

(Address)


_____________________________________________

(Telephone)



BY:______________________________________ STATE OF ALABAMA DEPARTMENT OF

Division Engineer TRANSPORTATION

ACTING BY AND THROUGH ITSTRANSPORTATION DIRECTOR

BY: BY: _____________________________________________

Utility Engineer Transportation Director



ALABAMA DEPARTMENT OF TRANSPORTATION

ALABAMA DEPARTMENT OF TRANSPORTATIONPermit Agreement for the Accommodation ofUtility Type Facilities on Public Right-of-Way

Permit No. _______________________________________________

Maintenance Section _______________________________________

Kilometer post ___________________ to ______________________

Length of Facility __________________________________________ Amount Due Annually ______________________________________

THIS AGREEMENT is entered into this the________ day of _________________, 19____ by and between the Alabama Department of Transportation acting by and through its Transportation Director hereinafter referred to as the STATE and __________________________________________ hereinafter referred to as the APPLICANT.

WITNESSETH:

WHEREAS, the APPLICANT desires to have its facilities accommodated on public highway right-of-way in______________________________________ County, Alabama, on the maintenance section being designated as ___________________________________________________, and consisting approximately of the following: ____________________________________________________________________________________________________________________________________________________________________________________; and

WHEREAS, the STATE hereby grants to the APPLICANT approval to cross or locate its facilities on the public right-of-way at the location and in the manner hereinafter set forth:

NOW, THEREFORE, it is agreed by and between the parties hereto as follows:

1. The APPLICANT will install its facilities on public right-of-way in accordance with plans and specifications of APPLICANT as approved by the STATE which plans and specifications are hereby made a part hereof by reference. Any variation from the approved plans will require approval from the STATE.

2. In the installation of facilities and performing work under this Agreement, the APPLICANT will conform to the provisions of the latest edition of the Alabama Department of Transportation Utility Manual, which manual is of record in the Department of Transportation and is hereby a part hereof by reference.

3. The national Manual on Uniform Traffic Control Devices, latest edition, is hereby made a part hereof by reference and will be conformed to as the provisions thereof are applicable to such work. Such Manual is of record in the Department of Transportation at the execution of this Agreement.

file:///H|/Bureau/Design/utilities/UTMAN2/appendix/MB03Permit.html (1 of 4)10/27/2004 6:38:26 AM


4. The Clean Water Act, 1987 and the Alabama Nonpoint Source Management Program, 1989 are hereby made a part hereof by reference and will be conformed to by the APPLICANT as the provisions thereof are applicable hereto.

The APPLICANT will conform to the regulations of the Environmental Protection Agency (EPA) and of the Alabama Department of Environmental Management (ADEM), latest edition, for both installation and maintenance of such facilities.

5. If hazardous materials, wastes, substances, or as otherwise defined by Code of Alabama § 6-5-332.1 (a)(2) (1993 Repl.Vol.) are encountered in the execution of this Agreement it will be the responsibility of the APPLICANT to notify the proper agency responsible for said hazardous materials and to comply with any and all environmental regulations as established by the Environmental Protection Agency (EPA), Alabama Department of Environmental Management (ADEM), and of the Occupational Safety and Health Administration (OSHA) in the proper disposition of the hazardous materials encountered.

6. The APPLICANT will file with the STATE an acceptable certified check or bond in the penal amount of $__________________________ to guarantee the faithful performance of this permit contract in its entirety. Upon satisfactory completion and acceptance of all work provided for in this permit contract, the check or bond, as applicable, will be returned to the APPLICANT; otherwise, the proceeds from the check, or any amount received by the STATE as a result of the bond, will be applied to complete and fulfill the permit contract terms.

7. If at any time it is determined by the STATE that any or all of the APPLICANT'S facilities covered by this Agreement need to be relocated, repaired or removed within or from the STATE right-of-way, the APPLICANT will accomplish such relocation, repair or removal, within one hundred eighty days from the date of written notice therefor from the STATE. Relocation, repair or removal will be at the sole expense of the APPLICANT, and the APPLICANT hereby waives any claim to any payment for cost and expense incurred therefor.

8. In the event the APPLICANT fails to commence the relocation, repair or removal of its facilities within or from the State right-of-way within thirty (30) days from the date of written notice from the STATE to the APPLICANT seeking any such relocation, repair, or removal or in the event it is determined by the STATE that the APPLICANT will not accomplish the relocation, repair or removal within the time period of one hundred eighty days from commencement, the STATE may in the discretion of the Transportation Director, on the happening of either event above stated, cause the relocation, repair or removal to be accomplished in a manner acceptable to the STATE and the APPLICANT will promptly reimburse the STATE for any and all sums actually expended for and in any way connected with such relocation, repair or removal by the STATE. The APPLICANT does hereby release the STATE, its officers, officials, employees, and agents from any and all loss, claims, and liability arising or resulting to the APPLICANT from the acts by the STATE above stated.

9. The APPLICANT will be obligated for the payment of damages occasioned to private property, public utilities or the general public, caused by the legal liability ( in accordance with Alabama and/or Federal law) of the APPLICANT, its agents, servants, employees or facilities.

10. The APPLICANT will have a copy of this Agreement on the project site at all times while said work is being performed.

11. The APPLICANT will pay the STATE the sum of $________________ annually, for each kilometer of___________________________ placed on the STATE right-of-way. The first payment will be made at the time of execution of this Agreement and subsequent payments will be made annually on the anniversary date of the Agreement. The APPLICANT will pay an additional ten percent (10%) of the amount due for each month that the scheduled payment is delinquent. Should the payment be delinquent by more than twelve months the facilities will be considered abandoned by the APPLICANT and the APPLICANT does hereby on the happening of such event relinquish all rights to the facilities, including ownership, and the STATE will have and is hereby granted the authority and right to dispose of the facilities as deemed appropriate by the STATE.

12. This Agreement does not constitute or grant to the APPLICANT any right, title, property interest, claim or control in or to any part of the highway right-of-way.



13. The installation of the facilities and related work covered by this Agreement shall be completed within one year from the date shown on this Agreement, otherwise this Agreement becomes null and void. Once work is begun the APPLICANT shall pursue the work continuously and diligently until completion.

14. The APPLICANT will perform or cause to be performed the work applied for in this permit contract and will restore the highway in the work area in as good condition as the same was prior to the work and will maintain the accomplished work and highway work area in a condition satisfactory to the Alabama Department of Transportation for a period of one year from acceptance by the Department of the completion of work applied for by APPLICANT.

IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed by their respective officers, officials and persons thereunto duly authorized, to be effective on the day and year first above stated.

WITNESS: _____________________________________________

(Legal Name of Applicant)

BY:________________________________________


APPROVED AS TO FORM: _____________________________________________


BY: _____________________________________________

Chief Counsel, (Typed or Printed Title)




_____________________________________________

(Address)


_____________________________________________

(Telephone)

BY: ALABAMA DEPARTMENT OF TRANSPORTATION

District Engineer ACTING BY AND THROUGH ITS

TRANSPORTATION DIRECTOR

BY: BY:_______________________________________

Division Engineer Maintenance Engineer



REIMBURSABLE AGREEMENTFOR RELOCATION OF UTILITY FACILITIES

ON PRIVATE OR PUBLIC RIGHT-OF-WAYWORK TO BE PERFORMED BY STATE CONTRACTOR

PROJECT NUMBER

____ Private Right-of-Way Utilities______________________________________

____ Public Right-of-Way Construction __________________________________

THIS AGREEMENT is entered into by and between the State of Alabama Department of Transportation acting by and through its Transportation Director, hereinafter referred to as the STATE, and ___________________ ____________________________________________________________, hereinafter referred to as the UTILITY.

WITNESSETH:



________________________________________________________________________________________ ; and

WHEREAS, the UTILITY is the owner of certain facilities located on private or public right-of-way, as applicable, at places where they will interfere with the construction of said project unless said facilities are relocated; and



WHEREAS, the Transportation Director has determined that the relocation of the facilities hereinafter referred to is necessitated by the construction of said project and has requested or ordered, as applicable, the Utility to relocate same; and

WHEREAS, under the laws of Alabama, the STATE is required to compensate the UTILITY for all or part of such relocation;


1. The UTILITY, not being staffed or equipped to perform the relocation, requests that the relocation work be included in the State's Highway Construction Contract. The relocation of the facilities will be accomplished in accordance with and as shown by the UTILITY'S reproducible mylar plans, specifications, and estimate transmitted herewith and made a part hereof by reference. The estimated cost of the "In-Kind" relocation including engineering is $_________________________________.

a. The actual cost of relocation will not be reimbursed to the UTILITY but will be paid directly to the STATE'S contractor by the STATE as a part of its contract.

b. In the event a Consultant Engineer acceptable to and approved by the STATE is utilized by the UTILITY, the actual cost of such Engineer under contract approved by the STATE will be reimbursed by the STATE to the UTILITY. If the UTILITY, with approval of the STATE, designs the relocation work with company employees, the STATE will reimburse the UTILITY for the actual cost of such design. Payment for actual cost in either instance will be made upon receipt and verification of appropriate invoices from the UTILITY provided the actual cost is established by the records of the UTILITY when kept in accordance and in compliance with general accounting practices acceptable to the STATE and in compliance with Parts 30 and 31, Federal Acquisition Regulations.

The detailed cost estimate will be prepared on the State's Form U-10 or the UTILITY'S own form giving the same type of information. The estimated cost for Engineering required by the relocation of utility facilities is included in the total estimated cost of relocation set forth hereafter in this Agreement, and will be divided into three (3)



phases: (a) Phase I - Concept; (b) Phase II - Design; and (c) Phase III - Construction. Each Phase of the Engineering work must be estimated and performed independently of the other. The three Engineering Phases will apply to work performed by the UTILITY'S Engineering Personnel and/or Consultant Engineers. The UTILITY will not proceed with any additional Phase of the required engineering work until it has received written notification from the STATE approving the completion of the previous Phase and written instruction to proceed with the next Phase.

The STATE has the right to notify the UTILITY, in writing, to cease Engineering work at any time it deems necessary. If so notified, the UTILITY shall cause all work to cease within four (4) working days and will invoice the STATE for the reimbursable work completed to date.

The STATE'S share of the engineering charges shall be limited to the "in-kind" work only.

c. ___ If the relocation plan contains betterment, the foregoing blank will by checked. Two (2) estimates will be required, an "in-kind" and a "betterment" estimate. After opening of bids in accordance with 23 CFR 635 and applicable State law and prior to award of the State's Contract, the STATE will invoice the UTILITY for the low-bid Contractor's price for the betterment items. This invoice will be paid by the Utility prior to contract award, or the "betterment" items will be deleted from the contract and it may be awarded without betterment. At the completion of the project, a final accounting will be held. At this time any funds due the UTILITY will be returned or if funds are due the STATE, the UTILITY will be sent a Final Invoice for the amount due and the UTILITY will promptly pay such amount to the STATE.

The total actual cost of relocation, whether the facilities are on private or public right-of-way, shall be adjusted for betterment, if any, as defined and provided for in 23 CFR 645. Excluding betterment costs, the total estimated cost of relocation, including Engineering is $_________________________. The total estimated cost including betterment is $___________________________.

If an adjustment for betterment is applicable, the STATE shall reimburse the UTILITY based on the percentage ratio of "in-kind" cost and "betterment" cost and being __________ percent of the total actual cost of relocation, as "in-kind", and the remaining __________ percent thereof shall be for the account of the UTILITY for betterment. If there are changes during construction and/or the actual construction cost percentage becomes substantially different from the construction estimate, the STATE reserves the right to recalculate the percentages at any time.





4. The UTILITY will be notified by the STATE Project Engineer, twenty-four (24) hours in advance of the commencement of the facility adjustment by the STATE Contractor. The State Project Engineer shall have final authority in all matters affecting the work of the State's Contractor. In the event the UTILITY has an Inspector on the project, such Inspector will not issue any instructions to the State's Contractor. All instructions to the State's Contractor with regard to the work provided for under this agreement will be issued by the State Project Engineer, after consultation with the UTILITY Inspector or Representative if found necessary by the State Project Engineer.



7. Where the UTILITY has a compensable property interest in its existing location (herein referred to as private right-of-way) by reason of holding the fee, an easement or other property interest, evidence of such compensable property interest will be submitted to the STATE by the UTILITY for review and approval.



8. If the UTILITY is required to move all of its facilities from a portion of its private right-of-way, upon completion of the relocation provided for herein, the UTILITY will convey to the STATE by Quitclaim Deed the portion of its private right-of-way located within the right-of-way limits of the above referenced project.

9. In the event the UTILITY is required to relocate any of its facilities which are located on its private right-of-way to a new location on public right-of-way or if any such facilities are to be retained in place within the public right-of-way due to this project, the following provisions will apply:

a. The cost of relocation will include reimbursement for acquisition of right-of-way by the UTILITY to place necessary guy wires and anchors on private lands adjacent to the highway right-of-way and the rights to cut, trim and remove, initially and from time to time as necessary, trees on private lands adjacent to the highway right-of-way which might then or thereafter endanger the facilities of the UTILITY.

b. Reimbursement for future relocation of the UTILITY'S facilities will be in accordance with State law in effect at the time such relocation is made; provided, however, the UTILITY will be reimbursed for the cost of any future relocation of the facilities, including the cost of acquisition of equivalent private right-of-way if such future relocation is outside the highway right-of-way and such relocation is required by the STATE, and provided that the prior relocation from private right-of-way to public right-of-way was without compensation to the UTILITY for its compensable property interest in its private right-of-way.


11. In the event a Utility - Consultant Engineering Agreement for this project is entered into between the UTILITY and a Consulting Engineer, the following provisions will apply:

a. The UTILITY has complied or will comply with and fulfill all obligations, requirements, notifications, and provisions of the Utility - Consultant Engineering Agreement executed for this project work which are for the benefit or protection of the STATE.



b. The UTILITY has obtained or will obtain all approvals and authorizations required by the STATE which are provided for in the Utility - Consultant Engineering Agreement.

c. No reimbursement payments will be due and none will be made by the STATE until such Utility - Consultant Engineering Agreement is complied with faithfully by the UTILITY and Consulting Engineer.


13. Paragraph 14 set forth below is applicable to this Agreement only if Federal appropriated funds are available or will be available in the project by which the relocation required by this Agreement is necessitated.

14. In the event any Federal Funds are utilized for this work, the following certification is made:



(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or



cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.





WITNESS:


BY:



Jim Ippolito, Jr.

Chief Counsel,




BY:

(Typed Name)

Division Engineer

BY:

Robert G. Lee

Utilities Engineer

STATE OF ALABAMA DEPARTMENT OF TRANSPORTATION ACTING BY AND THROUGH ITS




Jimmy Butts



BY:


(Typed Name)

(Typed Title)

(Address)

(Telephone)



Dykes T. Rushing

Office Engineer

Funding for this utility work has been approved. Funds will be obligated at the appropriate time following the execution of this document.

The within and foregoing Agreement is hereby approved on this ________ day of ____________________ , 19___.

Fob James

GOVERNOR

STATE OF ALABAMA


4.3 AGREEMENTS

4.3 AGREEMENTS

4.3.1 General

An agreement is the approval mechanism for relocation of existing utility facilities when changes are initiated by the Department because of proposed highway or bridge construction, or when the utility desires to construct new facilities during a highway construction project. This written agreement defines the Department's and the utility's separate responsibilities for financing and accomplishing the relocation work. The circumstances under which the Department may be liable for such costs and the method for developing relocation costs are covered in chapter seven of this manual. Agreements fall into several general categories listed and briefly described in the next portions of this manual. 4.3.2 Categories of Agreements

Standard Agreements

Standard agreements are those entered into by the Department and the utility addressing normal utility situations, when utility construction is not covered by an existing master agreement and when not complex enough to require a special agreement. Standard agreements are formulated by completing a set of standard forms and furnishing exhibits. Examples of standard agreements are included in the Appendix.

Master Agreements

Master agreements may be entered into between a utility and the Department to cover multiple individual relocations. These agreements contain the regulations and provisions required in conjunction with work performed on all highway projects. The Department strongly encourages the use of master agreements by any utility which requires frequent relocations. Both the utility and the Department stand to benefit from the use of master agreements.

A master agreement is, by necessity, specific for each individual utility and varies depending upon the individual utility's needs. A utility desiring to execute a master agreement should contact the Utilities Engineer for guidance. Although it is the responsibility of the utility to prepare the master agreement, the Utilities Engineer will assist. Throughout the initial preparation, it is necessary that close coordination between the utility, the Utilities Engineer, and the Department's legal staff be maintained. After the master agreement has been approved, documentation and supporting data for individual projects are the same as for a standard agreement except that an agreement form is not necessary and the supporting information is submitted with a letter of transmittal.

Special Agreements

Special agreements are reserved for the most complex situations. Examples are relocating major transmission facilities, main energy sources, and pumping stations and modifications that have a zone of influence within the utility system greater than the immediate project area. Decisions on whether a special agreement will be required will be made by the Department's Utilities Engineer in consultation with the Department's legal counsel, the utility's engineer, and the utility's legal advisor. 4.3.3 THREE-TIERED APPROACH

All agreements regardless of type (standard, master, or special) will be made along the same format. The Department prefers that utility relocations by utility companies for the accommodation of highway construction projects be done in three distinct phases. The general actions for agreement processing and the contents of the phases are shown on figure 4-


4.3 AGREEMENTS

1, and are briefly listed as follows:

Phase One-Concepts

This phase will be originated by the utility company upon notice that it must relocate its facilities due to highway or bridge construction or modification by the Department. Notice normally will consist of a letter from the Division Engineer and prints of partial highway plans as they exist at completion of step 19 of the Department's GDCP, a copy of which is included in the Appendix. On reimbursable projects, time charges for company employees are reimbursable after the date of receipt of the letter and partial plans. A preliminary engineering study will be conducted by the utility company to complete Phase I. The results will be furnished to the Department and will include but not be limited to the following:

1. The initial concept design of the relocated utility facility (this may be as simple as a series of one line sketches drawn to approximate scale delineating each conflict between the existing utility and the Department's plans, showing the existing and proposed locations of the utility in plan view only, and using the Department's Standard Legend of symbols and codes)

2. A cost estimate broken down into categories of projects costs including the following:1. Construction2. Engineering3. Right of Way4. Legal5. Administrative

3. A completed copy of the utility-consultant engineer agreement, if appropriate

Figure 4-1 Coordination of Highway/Utility Relocation Design Efforts


4.3 AGREEMENTS

Phase Two-Plans, Specifications, and Estimates for Utility Work This phase will be initiated by the utility company upon written notification of the Division Engineer and after the Department's Plan-in Hand inspection comments have been resolved (step 40 of the GDCP). At the conclusion of this phase, the utility's submittal to the Department will include but not be limited to the following.

Plans

The plans for relocation of utility facilities will include, at a minimum, the components as follows:

1. A cover sheet with a vicinity map showing the overall project and designating each conflict as it relates to the highway project stationing

2. Relocations shown in plan, profile, and cross section as required, drawn to the same scale as the applicable highway plan-and-profile sheet, and using the Department's Standard Legend of symbols to the extent that they will apply

3. Relocations shown relative to the highway project stationing4. Details and special drawings as required to adequately prescribe the required work5. Summary of quantities separated into items of work generally accepted and used in the industry for unit price


4.3 AGREEMENTS

contracts on construction projects for that particular utility

Specifications For reimbursable projects which the utility lets by contract or which the Department includes in the highway construction project, the utility will provide written specifications for the Department's review. The specifications will be suitable to guide and control the utility construction project. The Department does not stipulate the format or exact content of these specifications, except for the following:

1. The "up front" or "boiler plate" part of the specifications will be distinctly divided from the technical specifications.

2. Each technical specification will be numbered and keyed to the number for the applicable item of work shown on the summary-of-quantities sheet.

3. It is suggested that the technical specifications for each item of work follow generally the five paragraph format used in the Department's Standard Specification for Highway Construction as follows:

1. Description (general)2. Materials3. Construction requirements4. Method of measurement5. Basis of payment

Estimates

For reimbursable projects, the Utility will furnish a detailed and specific estimate delineating the project construction cost. The estimate will be broken down into individual line items corresponding to the numbering system for the technical specifications as described above. Form U-10 in the appendix provides the basis for estimates to accompany agreements, although utilities which have adopted their own similar forms may use them instead of form U-10. Phase Three-Construction and Related Activities Phase three will be initiated by the Utility upon receipt of a written notice to proceed from the Division Engineer. This phase will include the actual construction of the relocation as required by the highway improvement. It will include construction, necessary related engineering, and field inspection. If during the construction phase it becomes necessary to deviate from the original plans and specifications (with the approval of the Department), this phase will include preparing and furnishing to the Department a set of drawings showing the as-built details of the facility. 4.3.4 Types of Agreements

Agreements used by the Department can be categorized further depending on the type of utility project (retention, relocation, or new construction), the party responsible for performing the utility design and the utility construction work (the utility or the Department), and whether or not the work is reimbursable. For example, there are several common methods for performing the utility construction as illustrated by the following:

1. utility's own forces2. utility's continuing contract3. utility's low bid contract4. combinations of 1, 2, and 35. Department's highway contractor


4.3 AGREEMENTS

It would be difficult to provide a single agreement form to cover all of the possible variations for reimbursement, project type, and design/construction responsibility. Likewise, it would be unwieldy to provide a new form for each unique set of circumstances. The Department has elected to utilize a limited number of standard agreement forms, shown as forms SAHD No. 1 through SAHD No. 5 summarized in table 4-2. Samples of these forms are appended to this manual, and original copies of the forms may be obtained from the Department's Division Utility Engineers.

The utility is responsible for selecting the appropriate SAHD form (see Table 4-2) and any additional supplemental forms, completing them, attaching any required exhibits or documents, and submitting the package to the Department at the conclusion of phase II of the utility work.

Table 4-2. Utility Standard Agreements and Supporting Documents.

FORM SHORT TITLE FULL TITLE

SAHD No. 1 Non-Reimbursable Agreement Non-Reimbursable Agreement For Relocation Of Utilities On Public Right-of-Way

SAHD No. 2 Reimbursable Agreement Reimbursable Agreement For Relocation Of Utility Facilities On Private Or Public Right-of-Way

SAHD No. 3 Reimbursable Agreement, Work By State Reimbursable Agreement For Relocation Of Utility Facilities, Work To Be Accomplished By State Contractor

SAHD No. 4 Non-Reimbursable Agreement, Work By State Non-Reimbursable Agreement For Adjustment Of Utility Facilities, Work To Be Done By State Contractor

SAHD No. 5 Retention Letter Letter Of Retention Of Utility Facilities, No Conflict With Project

SAHD No. 6 Supplemental Agreement Supplemental Agreement For Utility Relocation Cost

SAHD No. 12 Agreement to Terminate Agreement To Terminate A Reimbursable Utility Relocation Agreement

U-10 Estimate Form Utility Relocation Estimate

NEW UTILITY FACILITIES DURING A HIGHWAY CONSTRUCTION PROJECT Occasionally a utility will desire to construct new facilities while the highway is undergoing a Department construction project. This requires approval through the agreement submittal process, yet the normal forms (SAHD No. 1 through SAHD No. 3) and procedures do not appear to directly apply. In these instances, the utility should contact the Utilities Section in the Central Office for assistance. These requests may be handled by the Utilities Section through minor modifications to the MB 01 form. 4.3.5 Completing the Agreement Form

Each of the standard agreement forms has unique requirements. For example, SAHD No. 5 is a simple letter stating that the utility desires retention of its facilities placed by prior approval without any relocation during the upcoming highway construction project. The form requires no attachments or further explanation. Other SAHD forms require extensive


4.3 AGREEMENTS

supplementary materials, and each form should be reviewed thoroughly to determine its inherent requirements.

Contents of the Agreement Application

The items listed below will normally constitute the minimum submittal package. Additional requirements may be contained within the appropriate Department SAHD forms or specified by the Utilities Engineer. The essentials are the following:

A letter of retention (SAHD No. 5)

or

1. an executed agreement form (see table 4-2 for SAHD forms)2. Form U-10, Estimate Form (see appendix)3. Complete drawings and specifications (if required) (see § 4.2.3)4. documentation of the utility's rights in the land occupied by the facilities to be relocated (this does not have to be a

part of the agreement package; however, it must be completed prior to any reimbursement)5. copy of the continuing contract if this method is used (this item must be submitted prior to initiation of

construction)

Additional submittal requirements, such as review of bid advertisements, and review of low bids, may be found in the chapter on construction (see "contract let by owner" in § 6.5.3).

The Department will furnish the utility copies of any drawings in its possession for use in preparing the agreement and supporting documents, when it is requested to by the utility.

The Department encourages continuing contact from the utility during this portion of the project. Questions should be directed to the Division Utilities Engineer or the Utilities Section of the Central Office.

Timing of the Agreement Submission

Not all of the agreement materials are submitted at the same time. When the utility utilizes the three-phase process, portions of the agreement-submittal package are submitted at the conclusion of both phase I and phase II.

At the beginning of phase I, the utility determines whether the services of an consultant engineer will be required, and, if necessary, submits a utility-consultant engineer agreement. At the conclusion of phase I, the utility submits the initial design concept and the preliminary project cost estimate.

After the Department authorizes phase II, the utility completes the appropriate SAHD form, construction plans, specifications, and the cost estimate, and forwards them to the Department for review. Additional items such as the bid tabulations and the work schedule may be included in this submittal package. All verbal and written communications should also be included in order to promptly and completely inform the Utilities Section of the utility’s desired actions.

Expediting the Approval Process

In order to expedite a given project, the Utilities Engineer may not require that all of the documentation for the agreement be in hand prior to beginning the next phase of utility engineering or construction. It will be necessary,


4.3 AGREEMENTS

however, that an executed agreement form be completed and approved prior to the beginning of construction in all cases. The Department also requires that the remaining documentation be completed and filed as soon as possible in these special cases.

4.3.6 Agreement Processing

The normal processing of utility relocation agreements is illustrated on figure 4-1. The Department's direct contact with the utility is through the Division Engineer. Once the construction project has started and the Department has appointed a Project Engineer, then he is normally included in the processing sequence. Close coordination and cooperation between the utility and the Department are of vital importance to a smooth and successful flow of information during the entire process.

Certain reimbursable agreements must be reviewed by the FHWA. Non-reimbursable agreements normally are not subjected to FHWA review and thus the amount of processing time is reduced.

All reimbursable utility agreements must have the approval of the Governor of the State of Alabama as required by Alabama code and administrative law. 4.3.7 Submission of Agreement Applications

The utility will submit the agreement application to the Division Engineer.

REIMBURSABLE AGREEMENTS

Two copies each of the appropriate SAHD reimbursable agreement form containing original signatures, estimates and specifications are required. Eight copies of the plans are required. NON-REIMBURSABLE AGREEMENTS Two copies each of the appropriate SAHD non-reimbursable agreement form containing original signatures are required. Six copies of the plans are required. SUBMISSION TO THE UTILITIES SECTION The Division Utilities Engineer may require that certain other documents be either original-signature copies or properly attested. Upon approval of the Division Engineer, submittal sets will be forward to the Utilities Section. 4.3.8 Distribution of Agreement Applications

After final approval, one copy of the submittal set will be retained in the Utilities Section of the Central Office, and one copy of the submittal set will be returned to the Division Engineer. The Division Utilities Engineer will make appropriate distribution to the utility and within the division.



appl

Utility Relocation Estimate

County:_______________________________________________

Project No:____________________________________________

Date:_________________________________________________

Name of Utility:_________________________________________

Address:______________________________________________

Submitted By:__________________________________________

NAME__________________________________ TITLE____________________________________________

_______________________________

_______________________________

ADDRESS (If different from above)

TELEPHONE NUMBER_________________________________

(Please list the name, address and telephone number of the Utility's representative in responsible charge of work if different from above.)

Number of calendar days from receipt of Notice to Proceed to actual beginning of relocation: ___________________

file:///H|/Bureau/Design/utilities/UTMAN2/appendix/AppL.html (1 of 15)10/27/2004 6:38:30 AM

appl

Number of calendar days from beginning to completion of work, including cleanup: ___________________

If the Utility is regulated by a State or Federal Agency, please list the Agency. __________________________________________

A Consultant Engineer ( ) will, ( ) will not be used.

The gross receipts of this Utility ( ) did, ( ) did not exceed seventy five (75) million dollars for the calendar year preceeding the proposed relocation.

The method to be used to accomplish this relocation work is: (a) _____ by UTILITY’S own forces; (b) _____ by Contract Let by the UTILITY; (c) _____ by existing, written continuing contract; or (d) _____ by combination of the preceding (must be detailed within this estimate).

SUMMARY OF QUANTITIES

IN-KIND BETTERMENT

1. Gross Estimated Construction Cost Only

$_________________ $__________________

2. Less Salvage Credit (Show as zero if none)

$_________________ $__________________

3. Less Other Credit (If Applicable)

$_________________ $__________________

4. Total Estimated Construction Cost Only

$_________________ $__________________

5. Difference in Estimated Cost (Betterment minus In-Kind)

$_________________ $__________________

6. Utility's Pro Rata Share of Estimated Construction Cost(Line 5 divided by Betterment Total X 100 Percent)

$_________________ $__________________


appl

7. State's Pro Rata Share of Estimated Construction Cost (100 Percent minus Line 6 Percentage)

$_________________ $__________________

STATE UTILITY

8. Pro Rata Construction Cost $_________________ $__________________

9. Pro Rata Engineering Cost ($____________ X Percentage)

$_________________ $__________________

10. Total Right-of-Way Acquisition Cost (If not 100% State Reimbursable, please list accordingly)

$_________________ $__________________

11. Grand Total (List State Total on Page 2 of the SAHD No. 2 Agreement)

$_________________ $__________________

ITEM 1 - Right-of-Way Acquisition Costs

a. Labor (Appraisal by utility employees)

Classification Rate Hours Amount

Company Appraiser $_________________ (_______) $_________________

Engineer $_________________ (_______) $_________________

Other_____________ $_________________ (_______) $_________________


appl

Subtotal Labor Cost $_________________

Additive Factor (Ins., overhead, etc.)

__________________

Additive Factor times Subtotal Labor Cost

$_________________

Total Labor Cost for Appraisal

$_________________

b. Equipment

Size/Type No. Rate Miles/Hours Amount

_____________ (_______) $_____________ (_______) $________________

_____________ (_______) $_____________ (_______) $________________

Total Equipment Cost

$________________

c. Miscellaneous Expenses

Amount

Recording Costs $________________

Deed Costs $________________

Independent Appraisers $________________

Other______________________ $________________

Total Miscellaneous Expense $________________

d. Right-of-Way or Easement Cost (Property only) $________________

Total Right-of-Way Acquisition Cost $________________

(Line 10 on Summary Sheet)file:///H|/Bureau/Design/utilities/UTMAN2/appendix/AppL.html (4 of 15)10/27/2004 6:38:30 AM

appl

NOTE: The utility shall submit above costs for prior State approval and be able to justify amounts recorded. Sound valuation and acquisition practices shall be followed including use of adequate and formal appraisals of record.

NOTE: If no ROW is involved, discard this sheet.

ITEM 2 - ENGINEERING COSTS, ALL PHASES (COMPANY EMPLOYEES)

a. Labor

Bare Labor Concept Design Construction

Classification No. Rate Hrs. Amount Hrs. Amount Hrs. Amount

Principal (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________

Engineer (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________

Draftsman (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________

Party Chief (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________

Chainman (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________

Inspector (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________

Clerical (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________

Other (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________

Subtotal Labor Cost

$__________ $__________ $__________


___________


$__________ $__________ $__________

Total Labor Cost for Engineering

$__________ $__________ $__________


appl

b. Equipment

Concept Design Construction

Size/Type No. Rate Miles//Hours Amount Miles//Hours Amount Miles//Hours Amount

___________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________

___________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________

___________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________

___________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________


$__________ $__________ $__________

c. Miscellaneous Expenses (Per Diem, meals, etc.)

Concept Design Construction

Item No. Rate Amount Amount Amount

______________ (____) $_____________ $_____________ $_____________ $_____________

______________ (____) $_____________ $_____________ $_____________ $_____________

______________ (____) $_____________ $_____________ $_____________ $_____________

Total Miscellaneous Expense

$_____________ $_____________ $_____________

TOTALS (2a, 2b & 2c)

$_____________ $_____________ $_____________

GRAND TOTAL ENGINEERING COST $_____________________

(Line 9 on Summary Sheet)


appl

NOTE: If a Consultant Engineer is utilized, discard sheets 4 and 5 and substitute the appropriate sheet (s) from the previously approved Utility - Consultant Engineering Agreement.

ITEM 3 - In-Kind Construction Costs — WORK BY COMPANY FORCES

a. Labor

Temporary Facility Relocated Facility Removal & Salvage


Foreman (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________

Other (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________

Other (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________

Other (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________

Other (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________

Subtotal Labor Cost

$__________ $__________ $__________


__________


$__________ $__________ $__________

Total Labor Cost

$__________ $__________ $__________

b. Equipment


Size/Type No. Rate Miles/ Hours Amount Miles/ Hours Amount Miles/ Hours Amount


appl

___________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________

___________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________

___________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________

___________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________

___________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________

___________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________

___________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________ (_____ ) $__________


$__________ $__________ $__________

c. Materials (Major Items)


Item Cost No. Amount Amount Amount

______________ $___________ (____) $_____________ $_____________

______________ $___________ (____) $_____________ $_____________

______________ $___________ (____) $_____________ $_____________

______________ $___________ (____) $_____________ $_____________

______________ $___________ (____) $_____________ $_____________

______________ $___________ (____) $_____________ $_____________

______________ $___________ (____) $_____________ $_____________

______________ $___________ (____) $_____________ $_____________

______________ $___________ (____) $_____________ $_____________

______________ $___________ (____) $_____________ $_____________


appl

Miscellaneous $___________ (____) $_____________ $_____________

Subtotal Material Cost

$_____________ $_____________

Handling Cost $_____________ $_____________ $_____________

Total Material Cost $_____________ $_____________ $_____________

Subtotal Construction Costs (3a, 3b & 3c)

$_____________ $_____________ $_____________

Contingency Cost $_____________ $_____________ $_____________

Total Construction Costs

$_____________ $_____________ $_____________

GROSS TOTAL IN-KIND CONSTRUCTION COST (Line 1 on Summary Sheet)

$_____________

ITEM 4 - Betterment Construction Costs - WORK BY COMPANY FORCES

a. Labor

Temporary Facility

Relocated Facility

Removal & Salvage


Foreman (_____) $__________ (_____) $__________ (_____) $__________ (_____) $__________

Other (_____) $__________ (_____) $__________ (_____) $__________ (_____) $__________

Other (_____) $__________ (_____) $__________ (_____) $__________ (_____) $__________

Other (_____) $__________ (_____) $__________ (_____) $__________ (_____) $__________

Other (_____) $__________ (_____) $__________ (_____) $__________ (_____) $__________


appl

Subtotal Labor Cost

$__________ $__________ $__________


___________


$__________ $__________ $__________

Total Labor Cost

$__________ $__________ $__________

b. Equipment


Size/Type No. Rate Miles/ Hours Amount Miles/ Hours Amount Miles/ Hours Amount

___________ (_____) $__________ (_____) $__________ (_____) $__________ (_____) $__________

___________ (_____) $__________ (_____) $__________ (_____) $__________ (_____) $__________

___________ (_____) $__________ (_____) $__________ (_____) $__________ (_____) $__________

___________ (_____) $__________ (_____) $__________ (_____) $__________ (_____) $__________

___________ (_____) $__________ (_____) $__________ (_____) $__________ (_____) $__________

___________ (_____) $__________ (_____) $__________ (_____) $__________ (_____) $__________

___________ (_____) $__________ (_____) $__________ (_____) $__________ (_____) $__________


$__________ $__________ $__________

c. Materials (Major Items)



appl

Item Cost No. Amount Amount Amount

______________ $___________ (____) $_____________ $_____________

______________ $___________ (____) $_____________ $_____________

______________ $___________ (____) $_____________ $_____________

______________ $___________ (____) $_____________ $_____________

______________ $___________ (____) $_____________ $_____________

______________ $___________ (____) $_____________ $_____________

______________ $___________ (____) $_____________ $_____________

______________ $___________ (____) $_____________ $_____________

______________ $___________ (____) $_____________ $_____________

______________ $___________ (____) $_____________ $_____________

Miscellaneous $___________ (____) $_____________ $_____________

Subtotal Material Cost

$_____________ $_____________

Handling Cost $_____________ $_____________ $_____________

Total Material Cost $_____________ $_____________ $_____________

Subtotal Construction Costs (4a, 4b & 4c)

$_____________ $_____________ $_____________

Contingency Cost $_____________ $_____________ $_____________

Total Construction Costs

$_____________ $_____________ $_____________

GROSS TOTAL BETTERMENT CONSTRUCTION COST (Line 1 on Summary Sheet)

$_____________


appl

NOTE: If no betterment is involved, discard sheets 8 and 9.

ITEM 5 - CONSTRUCTION ESTIMATE (WORK TO BE DONE BY LOW BID CONTRACT)

a. IN - KIND

BID ITEM ITEM NO. QUANTITY UNIT PRICE TOTAL

______________ ______________ ______________ ______________ ______________

______________ ______________ ______________ ______________ ______________

______________ ______________ ______________ ______________ ______________

______________ ______________ ______________ ______________ ______________

______________ ______________ ______________ ______________ ______________

______________ ______________ ______________ ______________ ______________

______________ ______________ ______________ ______________ ______________

______________ ______________ ______________ ______________ ______________

______________ ______________ ______________ ______________ ______________

______________ ______________ ______________ ______________ ______________

______________ ______________ ______________ ______________ ______________

Total Estimated "In-Kind" Construction Cost

______________

b. BETTERMENT

BID ITEM ITEM NO. QUANTITY UNIT PRICE TOTAL

______________ _____________ ______________ ______________ ______________


appl

______________ _____________ ______________ ______________ ______________

______________ _____________ ______________ ______________ ______________

______________ _____________ ______________ ______________ ______________

______________ _____________ ______________ ______________ ______________

______________ _____________ ______________ ______________ ______________

______________ _____________ ______________ ______________ ______________

______________ _____________ ______________ ______________ ______________

______________ _____________ ______________ ______________ ______________

______________ _____________ ______________ ______________ ______________

______________ _____________ ______________ ______________ ______________

Total Estimated "Betterment" Construction Cost

______________

ITEM 6 - Salvage Credit

a. If salvage credit is allowed, check one or both of the following statements.

______Salvage to inventory credit is allowed on a temporary and/or replaced facility.

______Salvage for sale or scrap credit is allowed on a temporary and/or replaced facility.

(1) Salvage to Inventory Credit

Temporary Facilities (Credit at stock price less 10% for use)

Replaced Facilities (Credit at stock price or consistent with utility practice)


appl

Item Temporary Facility Replaced Facility

(Size/Type) No. Value Amount Amount

______________ (_____ ) $_____________ $_____________ $_____________

______________ (_____ ) $_____________ $_____________ $_____________

______________ (_____ ) $_____________ $_____________ $_____________

Total Salvage to Inventory Credit

$_____________ $_____________

2. Salvage for Sale or Scrap Credit (Actual value to be determined at sale and invoice adjusted accordingly)

Item Temporary Facility Replaced Facility

(Size/Type) No. Estimated Value Amount Amount

______________ (_____ ) $_____________ $_____________ $_____________

______________ (_____ ) $_____________ $_____________ $_____________

______________ (_____ ) $_____________ $_____________ $_____________

Total Salvage to Inventory Credit

$_____________ $_____________

SUBTOTAL SALVAGE CREDIT (1 & 2)

$_____________ $_____________

TOTAL SALVAGE CREDIT

$_____________ ______________

b. If salvage credit is not allowed, check either or both of the following statements.

______No salvage credit is allowed as the salvage/removal cost exceeds the salvage value.


appl

______The temporary and/or replaced facility is to be abandoned in place.

c. If expired service life credit (accrued depreciation) on a major utility facility is due the State, please attach a copy of the calculations. This does not apply to service, distribution or transmission lines. It does apply to substations, pumping stations, filtration plants, power plants, etc.

NOTE: The Department and the FHWA Division Administrator shall have the right to inspect recovered materials prior to disposal by sale or scrap. This requirement shall be satisfied by the company giving two weeks written notice to the State of Alabama or oral notice followed by written confirmation of the time and place the materials will be available for inspection. This notice is the responsibility of the company and it may be held accountable for full value of materials disposed of without notice.


Letter of Retention

Letter of Retention

of Utility Facilities

No Conflict with Project

Date _________________________

Mr. ____________________________________

Division Engineer


________________________________________

________________________________________

ATTN: Mr. ______________________________

Utility Engineer

RE: _____________________________ County


Letter of Retention

Project No.: _________________________

Description: _________________________

Dear Sir:

Regarding the above referenced Highway Construction Project, we have examined the plans, which you furnished to this office on __________________________________ and find no apparent conflict with facilities owned by this company. These facilities were constructed under prior permit and/or agreement.

Sincerely,




Non-Reimbursable AgreementFor RELOCATION of Utility Facilities

ON PUBLIC RIGHT-OF-WAYWork To Be Done By State Contractor

PROJECT NUMBER

Utilities

Construction

THIS AGREEMENT is entered into by and between the Alabama Department of Transportation acting by and through its Transportation Director, hereinafter referred to as the STATE, and __________________________ ____________________________________________________________, hereinafter referred to as the UTILITY.

WITNESSETH:



________________________________________________________________________________________ ; and

WHEREAS, the UTILITY is the owner of certain facilities located on public right-of-way at places where they will interfere with the construction of said project unless said facilities are relocated; and



WHEREAS, the Transportation Director has determined that the relocation of the facilities hereinafter referred to is necessitated by the construction of said project and has ordered, the UTILITY to relocate same; and

WHEREAS, under the laws of Alabama, the UTILITY is required to relocate said facilities at its own expense;


1. The UTILITY has requested that the relocation work hereinabove referred to, be performed by the State's Contractor in order to avoid potential conflicts within the limited working area of the project. The relocation, subject to payment to be made as hereinafter provided, will be included in the State's Contract and the work performed by the State's Contractor. The relocation of the facilities will be accomplished in conformance with and to the reproducible mylar plans and the detailed estimate for the work developed by the UTILITY and approved by the STATE, which plans are incorporated in and made a part hereof by reference. The estimated cost of the relocation is $ ______________________ as shown in detail on the attached detailed estimate.

2. The relocation work will consist primarily of the adjustment of manhole covers and valve boxes or similar work near the paving surface. This adjustment work will also be accomplished in accordance with the latest edition of the Alabama Department of Transportation Standard Specifications for Highway Construction, designated State of Alabama Highway Department Standard Specifications for Highway Construction, which Specifications are of record in the Alabama Department of Transportation and are hereby made a part hereof by reference, and to be applied to the work as applicable.





5. The engineering layout of all work if required will be the responsibility of the STATE, in keeping with its usual procedures.

6. The UTILITY will pay the STATE as hereinafter provided all cost for the utility facility adjustment to be performed by the STATE at the cost and expense of the UTILITY, based on bid prices accepted by the STATE.

7. With respect to the adjustment to be accomplished, the following provisions will be applicable to the letting, contract award and payment:

a. The STATE will notify the UTILITY in advance of the date that bids will be opened for construction of the project.

b. Following receipt of bids, the STATE will tabulate the bids and furnish the UTILITY, in writing, the result of the bidding and invoice the UTILITY for the sum of the acceptable prices bid for the adjustment items of work listed in the proposal.

c. Within ten (10) calendar days following receipt of notification of bid results, the UTILITY will pay to the Alabama Department of Transportation the total sum of the invoiced bid price for the adjustment of utility facilities. This payment will be made by bank cashier check to the State of Alabama. These funds will be used by the STATE'S normal practices and procedures.

d. The items of work for which the UTILITY is responsible for payment are estimated quantities only. The STATE will monitor or inventory the work from time to time for which the UTILITY is responsible, and again at the completion of the project. If it is determined that the total units of work are less than that estimated, the STATE will make restitution to the UTILITY in the amount of money due the UTILITY for the lesser units of work based on unit cost; conversely, if it is determined that the total units of work exceed the estimated units, the STATE will invoice the UTILITY accordingly and the Utility will promptly pay to the State the amount of the increased cost determined to be payable based on unit cost.



8. Following tabulation of the bids received by the STATE and the notification to the UTILITY of the amount due for the adjustment work to be performed by the STATE at the cost and expense of the UTILITY, and upon receipt of an aforementioned check from the UTILITY to the STATE for the work as above provided, including the work provided for as utility adjustment, the award of a contract, for the project, will be made.

a. In the event the STATE is not in receipt of the correct amount of money due from the UTILITY prior to contract award for the adjustment work provided for in this agreement to be performed by the STATE at the cost and expense of the UTILITY, such work will be deleted by the STATE from the contract award for the project construction, and the contract will be awarded by the STATE without the adjustment work. No liability will arise against the STATE as a result of such deletion.

b. In the event the STATE'S invoice, based on the bid tabulation is unacceptable to the UTILITY, the UTILITY shall so notify the STATE in writing within (10) days of notice to it of the bid amount; or in the event the UTILITY fails to pay the STATE the bid price amount due from it prior to time for contract award, the UTILITY will adjust its facilities with either its Utility Forces or by the utilization of Contract Forces (other than the State's Contract Forces) which are available to the UTILITY. The UTILITY will coordinate this adjustment work with the State's Contractor.

c. All other utility facilities owned by the UTILITY, which are not in conflict with construction of the State's project will be retained in place and no separate agreement will be required for such retention.

9. The UTILITY will be notified by the STATE Project Engineer, twenty-four (24) hours in advance of the commencement of the facility adjustment by the STATE Contractor. The State Project Engineer shall have final authority in all matters affecting the work of the State's Contractor. In the event the UTILITY has an Inspector on the project, such Inspector will not issue any instructions to the State's Contractor. All instructions to the State's Contractor with regard to the work provided for under this agreement will be issued by the State Project Engineer, after consultation with the UTILITY Inspector or Representative if found necessary by the State Project Engineer.

10. Reimbursement for future relocation of the UTILITY'S facilities will be in accordance with State law in effect at the time such relocation is made.





13. The Code of Federal Regulations 23 CFR 645 is hereby made a part hereof by reference and will be conformed to by the UTILITY as the provisions thereof are applicable hereto.



WITNESS:




BY:

Jim Ippolito, Jr.

Chief Counsel,




BY:

(Typed Name)

Division Engineer

BY:

Robert G. Lee



Utilities Engineer


Jimmy Butts



BY:


(Typed Name)

(Typed Title)



(Address)

(Telephone)



The within and foregoing Agreement is hereby approved on this________ day of ____________________ , 19___.

Fob James

GOVERNOR

STATE OF ALABAMA

DETAILED ESTIMATE

1. The Utility desires to be notified twenty-four (24) hours in advance of the State's Contractor beginning work.

Yes No

2. The Utility will have an Inspector on the project, during operations affecting the Utility.

Yes No

3. ITEM EST. COST TOTAL EST.

NO. UNIT PER UNIT QUANTITY DESCRIPTION COST/ITEM



Total Estimated Cost

(Enter here and on the Agreement form)



SUPPLEMENTAL AGREEMENT

Supplemental Agreementfor Utility Relocation Cost

THIS SUPPLEMENTAL AGREEMENT is entered into by and between the State of Alabama Department of Transportation acting by and through its Transportation Director, hereinafter referred to as the STATE, and ____________________________________________________________, hereinafter referred to as the UTILITY.

WITNESSETH:

WHEREAS, the parties did enter into an Agreement effective the ______________________________ day of ____________________, 19____ for the relocation of a specific portion of the UTILITY'S facilities in conflict with the construction of the STATE'S Project No.___________________________________________________ in ____________________________________ County, Alabama; and

WHEREAS, certain conditions encountered necessary to the construction of the project have caused an increase in the original estimated cost of relocation, the parties desire to enter into this Supplemental Agreement to cover an increase in estimated cost in the amount of $ _______________________ as described in detail in Supplemental Estimate No. ______________________ transmitted herewith and made a part hereof by reference;

NOW, THEREFORE, the parties do hereby agree that the original Agreement be and the same is hereby amended by this Supplemental Agreement consisting of the above mentioned items and prices, and they do agree that the estimated cost contained in the original Agreement be increased in the amount of the increased estimated cost above set forth, and that this Supplemental Agreement be and is hereby made a part of the original Agreement to be performed under the terms and conditions thereof, and that said original Agreement is in full



force and effect except insofar as it might be modified by this Supplemental Agreement.

The paragraphs set forth below are applicable to this Agreement only if Federal appropriated funds are available or will be available in the project by which the relocation required by this Agreement is necessitated.

In the event any Federal Funds are utilized for this work the following certification is made:



(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.







WITNESS:


BY:

Jim Ippolito, Jr.

Chief Counsel,


To the best of my knowledge this document complies with the laws, rules, and regulations of the State of



Alabama


BY:

(Typed Name)

Division Engineer

BY:

Robert G. Lee

Utilities Engineer


Jimmy Butts





BY:


(Typed Name)

(Typed Title)

(Address)

(Telephone)

Dykes T. Rushing

Office Engineer

Funding for this utility work has been approved. Funds will be obligated at the appropriate time following the execution of this document.



The within and foregoing Agreement is hereby approved on this ____ day of ________________________, 19___.

Fob JamesGOVERNORSTATE OF ALABAMA



AGREEMENT TO TERMINATE A REIMBURSABLE

Agreement To Terminate A Reimbursable

Utility Relocation Agreement

PROJECT NUMBER

Utilities__________________________

Construction_______________________

This Agreement is entered into by and between the State of Alabama Department of Transportation acting by and through its Transportation Director hereinafter referred to as the STATE and,____________________________

______________________________________________________ hereinafter referred to as the Utility.

WITNESSETH

WHEREAS, an initial investigation revealed that a portion of the UTILITY'S facilities located along the STATE'S Project No. _______________________ was in conflict with the proposed construction of the project; and

WHEREAS, the STATE and UTILITY have heretofore executed an Agreement with the effective date of __________________________, 19_____, whereby the STATE agreed to expend Federal and/or State highway



funds in the estimated amount of $ ______________________ for the cost of relocation of the Utility's facilities found to be in conflict with construction of said project; and

WHEREAS, subsequent to execution of the above Agreement a determination has been made that changes in the STATE'S project plans will necessitate a change in the UTILITY relocation plans, thereby requiring changes in the actual cost of the Utility work.

NOW THEREFORE, the parties agree that the agreement executed by and between the parties on the effective day above set forth is hereby terminated and declared to be null and void and of no further effect. The parties further agree to proceed to the development of a substitute agreement, if needed, applicable to the facts and circumstances of the project and utility relocation need.


WITNESS:


BY:

Jim Ippolito, Jr.

Chief Counsel,






BY:

(Typed Name)

Division Engineer

BY:

Robert G. Lee

Utilities Engineer




Jimmy Butts



BY:


(Typed Name)

(Typed Title)

(Address)

(Telephone)



The within and foregoing Agreement is hereby approved this _______ day of ______________________, 19_____.

Fob James

GOVERNOR

STATE OF ALABAMA


EXHIBIT N

EXHIBIT N

FUNDS SHALL NOT BE CONSTITUTED AS A DEBT

It is agreed that the terms and commitments contained herein shall not be constituted as a debt of the State of Alabama in violation of Article 11, Section 213 of the Constitution of Alabama, 1901, as amended by Amendment Number 26. It is further agreed that if any provision of this agreement shall contravene any statute or Constitutional provision of amendment, either now in effect or which may, during the course of this agreement, be enacted, then the conflicting provision in the agreement shall be deemed null and void.

TERMINATION DUE TO INSUFFICIENT FUNDS

a. If the agreement term is to exceed more than one fiscal year, then said agreement is subject to termination in the event that funds should not be appropriated for the continued payment of the agreement in subsequent fiscal years.

b. In the event of proration of the fund from which payment under this agreement is to be made, agreement will be subject to termination.

file:///H|/Bureau/Design/utilities/UTMAN2/appendix/ExhibitN.html10/27/2004 6:38:32 AM



Permit Agreement for the Accommodation of Utility

Facilities on Public Right-of-Way

Project Number: _______________________________

Permit No.________________

P.E.

R.O.W.

Utilities

Construction

Maintenance Section

Location of Accommodation:

Kilometer post ______ to ______

THIS AGREEMENT is entered into this the ________ day of ___________________, 19___, by and between the Alabama Department of Transportation acting by and through its Transportation Director hereinafter referred to as the STATE and___________________________________________________ a Utility hereinafter referred to as the APPLICANT.

WITNESSETH

WHEREAS, the APPLICANT desires to have its facilities accommodated on public highway right-of-way in __________________________________________ County, Alabama, said project or maintenance section being designated as___________________________________________, and consisting approximately of the following: ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________; and

WHEREAS, the State hereby grants to the APPLICANT approval to cross or locate its facilities on the public right-of-way at the location and in the manner hereinafter set forth:


1. The APPLICANT will install its facilities on public right-of-way in accordance with plans and specifications of the APPLICANT as approved by the STATE which plans and specifications are hereby made a part hereof by reference.

2. In the installation of facilities and performing work under this agreement, the APPLICANT will conform to the provisions of the latest edition of the Alabama Department of Transportation Utility Manual, which manual is of record in the Department of Transportation and is hereby a part hereof by reference.

3. The national Manual on Uniform Traffic Control Devices, latest edition, is hereby made a part hereof by reference and will be conformed to as the provisions thereof are applicable to such work. Such Manual is of record in the Alabama Department of Transportation at the execution of this Agreement.


The APPLICANT will conform to the regulations of the Environmental Protection Agency (EPA) and of the Alabama Department of Environmental Management (ADEM), latest edition, for both installation and maintenance of such facilities.

5. If hazardous materials, wastes, substances, or as otherwise defined by Code of Alabama § 6-5-332.1 (a)(2) (1993 Repl. Vol.) are encountered in the execution of this Agreement it will be the responsibility of the APPLICANT to notify the proper agency responsible for said hazardous materials and to comply with any and all environmental regulations as established by the Environmental Protection Agency (EPA), Alabama Department of Environmental Management (ADEM), and of the Occupational Safety and Health Administration (OSHA) in the proper disposition of the hazardous materials encountered.

file:///H|/Bureau/Design/utilities/UTMAN2/appendix/MB01aPermit.html (1 of 3)10/27/2004 6:38:33 AM



7. Reimbursement for future relocations of the APPLICANT'S facilities will be in accordance with State law in effect at the time such relocations are made.


9. The APPLICANT will have a copy of this Agreement on the project site at all times while said work is being performed.

10. Nothing contained in this Permit Agreement, nor the issuance or receipt thereof, shall be construed to alter or affect the title of the STATE to the public right-of-way nor to increase, decrease or modify in any way the rights of the APPLICANT provided by law with respect to the construction, operation or maintenance of its facilities on the public right-of-way.



13. The APPLICANT stipulates that the specific use of these facilities located upon public right-of-way is_________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________.

APPLICANT further stipulates that should this specific use change at any time in the future that the APPLICANT will notify the STATE immediately of the change.


WITNESS: _____________________________________________


_______________________________________ By:__________________________________________


_____________________________________________


______ _____________________________________________

(Typed or Printed Title)



_____________________________________________

(Address)


_____________________________________________

(Telephone)

By:___________________________________ Alabama DEPARTMENT OF TRANSPORTATION



By:___________________________________ By:__________________________________________

Division Engineer Maintenance Engineer / Division Engineer



BOND

BOND

BOND NUMBER ________________________________

KNOW ALL MEN BY THESE PRESENTS:

THAT ________________________________________________________________________________

__________________________________________________________________________________________, as

Principal, and _________________________________________________________________________________

as Surety, are held and firmly bound unto ALABAMA DEPARTMENT OF TRANSPORTATION, MONTGOMERY, ALABAMA, as Obligee, in the full and just sum of the actual cost as hereinafter set forth not to exceed the penal sum of _______________________ Dollars, lawful money of the United States, for the payment of which sum, well and truly to be made, we bind ourselves, our heirs, executors, administrators, successors and assigns, jointly and severally, firmly by these presents.

WHEREAS, the said Principal has this date entered into a permit agreement with the Alabama Department of Transportation for installation of ________________________________________________________________ ____________________________________________________________________________________________

________________________________________________________________________________________________________________________________________________________________________________________

THE CONDITION OF THIS OBLIGATION is such that if the aforesaid Principal shall perform such work in accordance with the terms of the permit agreement and within 10 days of its completion restore the highway to as good a condition as the same was prior to such work and further maintain the work and the work area in a condition satisfactory to the Alabama Department of Transportation for a period of one year following completion of all work then this obligation to be void; otherwise the principal and surety will pay unto the Obligee the amount of money for which the Obligee legally contracts with another party to perform, and maintain the work and work area in keeping with the permit prevision, or the actual cost to the Obligee for restoring the highway with its own forces at the option of the obligee, but in no event shall liability hereunder exceed the penal sum above set forth.

Signed, sealed and delivered ______________________________________

Name of Principal

By: ______________________________________

As its _________________________

COUNTERSIGNED: ________________________________ (Seal)

file:///H|/Bureau/Design/utilities/UTMAN2/appendix/AppG.html (1 of 2)10/27/2004 6:38:33 AM

BOND

Name of Surety

By Alabama Resident

Agent for Surety

___________________________ By: ______________________________________

(Name) Attorney-in-Fact

Address:

___________________________

___________________________

(A copy of the Power of Attorney properly executed by the Company authorizing Attorney-in-Fact signing above to bind the Company as Surety on this Bond must be attached hereto. Said Power of Attorney must be dated so as to correspond with the execution date of the bond.)


0

file:///H|/Bureau/Design/utilities/UTMAN2/appendix/AppG.html (2 of 2)10/27/2004 6:38:33 AM

7.8 CONTESTING PAYMENT

7.8 CONTESTING PAYMENT If the utility disagrees with the reimbursement determination made by the Department's Utilities Section, the disagreement should be brought to the attention of the Utilities Engineer. If the problem cannot be resolved at that level, the utility may contact the Director of the Department to request that the disputed claim be subjected to the Department's standard procedure for resolution of such claims (see § 109.10 of Standard Specifications for Highway Construction). At his discretion, the Director may refer the matter to an Advisory Board for its findings and recommendations.



7.7 COST OVERRUNS

7.7 COST OVERRUNS A minor cost overrun on a construction item will not require further explanation on the invoice if the overrun is less than 10%. A major overrun occurs when the overrun on an individual line item meets or exceeds 10%. In that case, written explanation of each overrun must accompany the submission to the Division Utilities Engineer. An example of a sufficient explanation might read "Cost overruns on line item number 4 totaling $_____ were due to the necessity of using eleven utility poles instead of ten" (see also § 6.10).

If the total cost overrun on the project exceeds 20% of the original agreement amount, a Supplemental Agreement is required.



7.6 DEPARTMENT PROCESSING PROCEDURES


Once the utility invoice has been received by the Division Utilities Engineer, the Department begins standard payment processing procedures. The following procedures normally result in payment to the utility within 45 days of receipt of a properly executed lump sum invoice, and within 90 days for any other properly executed invoice:

1. The Division Utilities Engineer checks the accuracy of the invoice and sends one copy to the Project Engineer for quantity verification

2. After confirming the quantities, the Project Engineer retains the copy of the invoice and replies to the Division Utilities Engineer by signing the SP-4 form. If there is a discrepancy between the invoice and project records write "See attached letter" in the SP-4 signature line. List all discrepancies and recommendations in cover letter

3. The Division Utilities Engineer prepares and attaches two copies of an invoice check sheet (see appendix)

4. The Division Utilities Engineer approves the invoice by securing the Division Engineer’s signature on the SP-4 form. If there is a discrepancy between the invoice and project records write "See attached letter" in the SP-4 signature line. List all discrepancies and recommendations in cover letter

5. The Division Utilities Engineer retains one copy of the invoice for his records, then sends two originals and three copies of the invoice to the Utilities Section

6. The Utilities Section verifies the accuracy of the invoice, recommending payment, by signing the SP-4 form. If there is a discrepancy between the invoice and project records write "See attached letter" in the SP-4 signature line. List all discrepancies and recommendations in cover letter

7. The Utilities Section retains one original of the invoice and sends one original and three copies of the invoice to the External Audit Section

8. An audit is performed if requested by the Utilities Section, if the agreement exceeds $50,000, or if deemed necessary by the Chief External Auditor

9. Upon completion of the audit, the External Audit Section retains one copy of the invoice and sends the original and one copy of the invoice to the Bureau of Accounts and Finance for payment and one copy of the invoice to the Office Engineer to be filed

10. The Bureau of Accounts and Finance produces the check and forwards it to the State Comptroller for his signature

11. The signed check is returned to the Bureau of Accounts and Finance, which mails the check to the utility

Two situations typically cause the payment procedure to consume the full 90-day payment period: (1) the invoice states that over 80% of the total work has been completed or (2) major additions or overruns are involved. Either case may trigger an audit by the Department's External Audit Section. An audit takes place if the agreement exceeds $50,000. At the Department's discretion, an audit may take place if the agreement is less than $50,000. The depth of the audit may range from telephone conversations with utility personnel, to visits by External Auditors to inspect utility records and procedures.



To speed the payment process, the Department plans to implement a computerized process that will require 30 days or less for payments to invoices which (1) do not state that over 80% of the work has been completed, and (2) do not involve major overruns or additions. Until this process is operable, all invoices will be processed as described previously. The proposed, process will require four copies of the invoices be submitted to the Division Utilities Engineer, two with original notarized signatures. The proposed processing steps follow:

1. The Division Utilities Engineer checks the accuracy of the invoice and sends one copy to the Project Engineer for quantity verification

2. After confirming the quantities, the Project Engineer retains the copy of the invoice and replies to the Division Utilities Engineer by signing SP-4 confirming the quantities, or writing a letter listing all discrepancies, or noting any exceptions

3. The Division Utilities Engineer prepares and adds two copies of an invoice check sheet (see appendix)

4. The Division Utilities Engineer secures the Division Engineer’s signature on the SP-4 or writes a letter listing and explaining any significant quantity deviations

5. The Division Utilities Engineer forwards the information on the invoice by computer to the Department's Bureau of Accounts and Finance

6. The Division Utilities Engineer retains one copy of the invoice and forwards two original invoices to the Utility Section

7. The Utility Section verifies the accuracy of the invoice, signs SP-4 recommending payment, or attaches a letter amending invoice payment on the two invoice originals

8. The Utility Section files one set of the information and forwards the second set to the External Audit Section for filing

9. Independently of steps 6, 7, and 8, the Bureau of Accounts and Finance produces the check and forwards it to the State Comptroller for his signature

10. The signed check is returned to the Bureau of Accounts and Finance, which mails the check to the utility

Once the computerized procedure is in place, if major overruns are involved, the Department will suggest that the utility submit two invoices. The first invoice contains completed line items not involving major overruns and is paid within 30 days. The second invoice contains only line items involving major overruns and may require up to 90 days to be paid.



7.5 DEPARTMENT CREDITS

7.5 DEPARTMENT CREDITS Line items included in the utility invoice will indicate credits to the Department in four separate situations: betterments, temporary utility relocation, salvage, and expired service life. All such items will have been previously addressed in the agreement governing the work. 7.5.1 Betterment Betterment to the utility facilities occurs when the relocated utility is upgraded, or replaced with utility facilities which are functionally superior, and is done solely for the benefit of the utility. In such cases, the Department will only pay for relocation of a functionally equivalent facility.

An agreement with the Alabama Department or Transportation provides for reimbursement for "in-kind", or functionally equivalent, facilities only. The Alabama Department of Transportation will not pay for "betterment".

As previously described in § 4.4.6, two estimates are required when betterment is involved: one for in-kind, (or functionally equivalent), work and another estimate for betterment work. The base bid is for the in kind replacement, and therefore is the maximum amount that will be reimbursable.

The owner will be required to pay, as betterment, the estimated percentage increase over the functional equivalent replacement of the total construction cost. The rate of participation on non-exempt Federal-aid projects will be determined at the time the utility agreement is approved by the FHWA. The Department will not participate in the cost of any alternate bids other than previously approved arrangements for pro-rata sharing of cost. The engineering fee will be pro-rated in accordance with base bid/alternate bid (engineering fee for alternate bid) providing this amount does not exceed the State’s procurement guide for engineering services on similar work.

Additionally, if the utility lets a low bid contract where alternate proposals for "in-kind" and "betterment" are both in the contract, and it elects to let the contract for betterment, the following may happen:

Contractor "A" is the low-bidder for the "in-kind" work but is the number three bidder for the "betterment" work. Contractor "B" is the low-bidder on the "betterment" work but number two on the "in-kind" work. In this case, the Department will authorize the contract to be awarded to Contractor "B", with the stipulation that all reimbursement will be based on the bid as presented by Contractor "A". The difference in Contractor "A's" low-bid for the "in-kind" work and Contractor "B's" low-bid for the "betterment" work is the cost to be borne by the utility.

This is a rare occurrence; but invariably, questions are asked when it does arise. The example above is a perfectly acceptable method of handling the situation. However, difficulty may arise in the billing process. The utility must remember that the Department should be invoiced based on Contractor "A's"


7.5 DEPARTMENT CREDITS

bid, even though he is not on the project, and Contractor "B" is actually doing the work.

Utility relocation:Materials credit;

7.5.2 Temporary Utility Relocation Utility relocation:Materials credit;During some relocations, a temporary utility facility may be erected which will be dismantled and returned to the utility's stores inventory before the end of the project. In this event, all materials which can be returned to the utility's stores inventory must be returned, and the Department receives a 90% credit for the materials cost (reflecting a 10% cost for use) as a line item on the invoice (see Sec.645.117 of FAPG). 7.5.3 Salvage Credit When the relocation has been completed, the correct amount of salvage credit is to be determined (see Sec. 645.117 of FAPG) and shown on the final invoice as a credit to the cost of the project. Each final invoice will contain a statement regarding salvage credit whether or not any credit is due. The Department urges that when the utility employs a contractor to perform the relocation, the utility construction contract contain a clause stating that all salvageable materials become the property of the contractor, and that the contractor shall so reflect in his bid. 7.5.4 Expired-Service-Life Credit

Expired service life credit;Expired-service-life credit is involved in very few relocation projects. The utility should contact the Division Utilities Engineer for guidance when this situation is encountered.



4.4 UTILITY-CONSULTANT ENGINEER AGREEMENTS


4.4.1 General

When the utility company is not staffed adequately to perform the necessary architectural/engineering (AE) or other professional services needed for the relocation of facilities to accommodate proposed highway projects, the utility may employ consultants to perform these services. The Department will participate in the amounts paid for these services based upon the eligibility for reimbursement and the actual cost of the services. A written agreement between the consultant and the utility must exist to describe the services to be provided and the fee arrangements for the services. The Department strongly encourages the use of continuing contracts, and will participate in the cost of such services performed under an existing continuing contract where it is demonstrated (1) that such consulting is periodically performed for the utility in its own work, (2) the consulting is at a reasonable cost, and (3) an updated copy of the continuing contract is on file in the Utilities Section of the Central Office.

The use of consultant services on reimbursable projects requires prior approval by the Department. The utility may apply for approval to use consultant services through a two-step, written procedure. First, the utility submits a statement that it is not adequately staffed to perform the work. After the Department has approved this request, the utility completes the second step by submitting the following items:

1. an executed Utility-Consultant Engineer Agreement2. the certificate of the consultant (see Exhibit "A" with Utility-Consultant Engineer Agreement in

appendix)3. a list of qualifications of the consultant4. a cost estimate for the consulting work5. a work schedule

The Department will review the adequacy of the written agreement between the utility and the consultant and the consultant's certificate. The Department will consider the reasonableness of the fees and make comparisons with standard rates in the area for similar services by using the fee judging curve (figure 4-2). The Department will also consider the qualifications of the individual or firm being proposed. The approval of the consultant will be for a specific project and for specific phases within that project.

The total cost estimate (item 4 in the preceding list) developed by the consultant shall be considered as a ceiling, and any anticipated overrun is subject to Department approval prior to incurring these costs.

Figure 4-2 Suggested Fee Estimating Curves for Consultant Engineering Agreements on Utility Relocations



4.4.2 Required Qualifications of Consultant Engineers

The Department is charged with maintaining the integrity of the state highway system including the oversight of work performed by utilities on ROW of the system. As a condition for engineering firms who intend to perform utility work, the Department requires that each firm must be properly licensed. This action is taken to ensure that those working within the ROW are knowledgeable of the principles of this manual, have demonstrated that they can execute high quality work, and are familiar with the intricacies and coordination required for utility construction projects.

Licensing Authority



Engineering consulting firms must have one or more engineers regularly licensed to conduct utility work in Alabama, as required by the State Board of Registration for Professional Engineers and Land Surveyors. Engineering firms interested in becoming licensed in Alabama may contact:

State Board of Registration for Professional Engineers and Land SurveyorsExecutive Secretary301 Interstate Park DriveMontgomery, AL 36130phone: (334) 261-5568

Loss of License

Any engineer who possessed a license from the State Board of Registration for Professional Engineers and Land Surveyors, but whose license has been rescinded, is ineligible to conduct utility-engineering work on Department ROW until such license is restored. 4.4.3 Content of Agreement

The preparation of a Utility-Consultant Engineer Agreement is the responsibility of the utility and the consultant; however, the Department prefers that the agreement be prepared in accordance with the guide below to allow prompt and timely payment for consultant services, particularly when highway projects are delayed for economic or other reasons. An overhead and labor additive schedule should be included with the agreement, and its associated cost estimate should be broken down into three distinct phases of work tasks and payment schedules. This type of agreement is preferred by the Department because it allows for reimbursement and possible termination at the conclusion of any one of three distinct phases. These three phases should coincide, as closely as possible, with the three phases of the universal format for the agreement between the utility and the Department as discussed in § 4.3.3 of this manual. The three phases of the Utility-Consultant Engineer Agreement should generally be as follows:

Phase I. Concept design and utility agreement

1. schematic drawings2. construction estimates3. participation in preparation of utility agreement (if needed)

Phase II. Contract documents, plans, specifications, estimates, and contract award

1. complete detailed construction plans2. specifications3. detailed construction cost estimates4. bid documents and bid award



Phase III. Construction engineering, inspection, and as-built drawings

1. location and layout2. inspection3. other construction-related services4. contract documents and as-built drawings

It is not mandatory that the Utility-Consultant Engineer Agreement be prepared in this manner; however, if it is prepared in this manner, the Department will be able to compensate the utility, and thereby the consultant, in a more rapid fashion, particularly when highway projects are prolonged or delayed.

The Utility-Consultant Engineer Agreement should include a fee schedule for the various items of work which are to be performed for the utility. The agreement should be broken down so that there is a fee for performing each of the three separate phases. 4.4.4 Timing of Agreement Submission

The Utility-Consultant Engineer Agreement is normally submitted for the Department's review as one of the first actions during Phase I of a reimbursable utility relocation project. After securing the Department's approval, the consultant may then participate in the remainder of Phase I.

The Department encourages the use of continuing contracts for acquisition of consultant engineering services, since this will expedite the approval process. 4.4.5 Consultant Fee Reimbursement and Estimates

The FAPG and 23CFR 645 Parts A and B requires that reimbursement for work done on federal-aid projects, including architectural and engineering (A/E) services, be reimbursed based on the actual work performed. In the case of A/E services, reimbursement is based on the fee schedule contained in the Utility-Consultant Engineer Agreement and the actual amount of work performed. Reimbursement for A/E services may not be based on a per-centum of the construction cost.

Although compensation for A/E services is based on the actual amount of work performed, the Department does allow the initial estimate for consultant services to be based on an acceptable per-centum of the estimated construction cost. The Department has prepared a set of curves, figure 4-2, which are acceptable for use in preparing consultant fee estimates for utility relocations. These curves were prepared by analysis of the Department's historical data on consultant fees for utility projects, and by comparison with curves and tables which have been suggested from other sources such as the American Society of Civil Engineers, the Alabama Department of Environmental Management, the Farmers Home Administration, and the Alabama Department of Economic and Community Affairs.

All consultant engineers and utility owners should be aware that all invoices are subject to audit at the



discretion of the Department. This applies to both partial and final invoices. The invoice, or invoices, may be audited for up to three years after final payment is made to the utility. If an engineering agreement exceeds $250,000.00, a pre-audit of the engineer’s overhead account is mandatory. 4.4.6 Reimbursement

With respect to relocation of facilities located on public right-of-way, the Department is prevented by State law from expending State funds for utility relocations, except those funds required to match Federal-aid. The State may reimburse the utility (when it qualifies) up to the point of participation of Federal-aid funds and matching State funds. The conditions under which a utility qualifies for reimbursement when Federal-aid funds are involved are not delineated here, as they are clearly stated in FAPG and 23CFR 645 Parts A and B, and they are outlined in chapter 7 of this manual.

"Betterment" is defined as: "Any upgrading of the facility being relocated that is not attributable to the highway construction and is made solely for the benefit of and at the election of the Utility". "In-kind" is defined as: "A relocation facility that is functionally equivalent to the pre-existing, or in place utility facility. This includes a facility that is functionally equivalent in both material and capacity". If betterment is involved, an arrangement for pro-rata sharing of cost will be utilized. The arrangement for pro-rata sharing of cost will be stated in a written agreement between the Utility and the Department. Two complete estimates must be prepared. The first is for a relocation "in-kind" (or functionally equivalent). The second estimate will be for the utility’s desired relocation plan including "betterment". The second estimate will be of the same material as the first or "in-kind" estimate, when applicable. If the betterment option is allowed by the Department, the utility must participate in the expense. The percentage of the Department’s participation is found by dividing the "in-kind" estimate by the "betterment" estimate. The utility’s participation is 100% minus the Department’s participation.

EXCEPTIONS TO THE REIMBURSEMENT POLICY

There are certain special exceptions to the general policy stated above. Each of these special cases must be handled on an individual basis, as it may require an interpretation by the Department's legal staff, and on occasion, by the State Attorney General's office. If a utility believes that it qualifies under Alabama Code for reimbursement with state funds when Federal-aid funds are not involved, or are only partially involved, the Utilities Engineer should be contacted for a determination as to whether it qualifies for reimbursement with state funds.



5.1 INTRODUCTION

5.1 INTRODUCTION

The planning, design, and construction for a highway-transportation-system project can be one of the most complex and challenging achievements of the civil engineering profession. Route surveys to allow alignment selection—the hydrologic and hydraulic considerations to provide the design basis for bridges, culverts, and channels—the structural designs of those culverts and bridges—the geological and geotechnical analyses and synthesis to provide for the requisite stability for embankments and other structures—the acoustic studies to predict and control the effects of the noise generated by use of the system upon its neighbors—the traffic and safety engineering to provide suitably arranged, controlled, lighted, and protected lanes of travel—the historical and archaeological studies by collaborating scholars to prevent the unwarranted destruction of antique cultural values—and the removal or relocation of all of the affected utilities (those systems of technology upon which our society depends and that must be rearranged to provide the space for the new transportation system) are all integral parts of the planning and design that allow the construction of such a highway project.

Where do utility planning and design fit into such a complicated, cumbersome process? How do utility planning and design interact with route alignment, geometric design, or hydraulic analysis? How do planning and design steps for a new utility facility on existing ROW differ from utility relocation necessitated by a highway construction project?

This chapter includes an explanation of how utility planning and design merge into the highway design, construction, maintenance, and operation process. Procedures are provided for early coordination with the Department, for submittal of utility designs, for review by the Department, and for obtaining the Department's approval to construct the proposed utility facility.



5.2 GENERAL DESIGN SITUATIONS

5.2 GENERAL DESIGN SITUATIONS

There are many types of utility design situations, and they vary depending upon the nature of the facility and upon many other factors. The design of an overhead communication line is not the same as the design of a sanitary sewer, so the type of utility is the dominant consideration in the technical aspects of design.

The design process is initiated for many reasons. Utilities have needs for upgrading their older facilities and for adding new facilities to meet increased demands. Systematic replacement programs are undertaken as technology changes to provide more efficient and more economical systems. Highway construction projects necessitate that utilities be relocated or that their line and grade be adjusted to accommodate the new highway. If the project is initiated by the utility, the Department's role is largely limited to review of the utility's proposed facility during the permit application process. The utility bears all expense for design and construction of these types of projects. If the project is initiated by the Department because of highway construction (utility relocation or retention), the State's role is expanded. The Department first supplies notice to the utility of the possible need for changes, and as the highway design emerges, supplies preliminary plans and other information that allow the utility to plan and design its changes. A high degree of coordination is desirable during the process. The Department's role is to supply notice and ensuing design information, to review the utility's proposed facility during the permitting process, and to provide reimbursement to the utility where applicable.

5.2.1 Design— Guidelines

The technical aspects of all forms of utility design are governed by industry codes and standards, by this manual, and by other Department publications like Standard Specifications for Highway Construction. The utility is expected to exercise reasonable care in following accepted guidance during the planning and design of its facilities.

A separate guideline (§ 2.9, Design— General Considerations) has been included in chapter two of this manual. It is applicable to all types of utility design, regardless of how initiated. It describes the general responsibilities of the utility and the Department, lists several applicable industry codes and standards, describes provisions for quality of materials, urges minimization of maintenance, requires consideration of future expansion, and sets out several other design provisions.



2.10 DRAINAGE PIPES, DITCHES, AND CANALS

2.10 DRAINAGE PIPES, DITCHES, AND CANALS Drainage facilities installed across highway ROWs generally will be designed and constructed in accordance with the Department's specifications for highway culverts.

Appurtenances which would constitute a hazard to traffic will be located outside the clear roadside area. Ditches and canals that closely parallel the highway will be discouraged. Where ditch-rider roads are adjacent to ditches or canals that cross the highway, consideration will be given to safety, traffic operations, and economic features when providing for the continuity of such roads. 2.10.1 Storm Sewers Storm sewerage systems depend upon gravity flow to move rainfall runoff. This makes them sensitive to vertical alignment, and frequently makes it difficult to adjust the location of the lines to avoid conflicts during construction. In this regard, storm and sanitary sewers are similar and may receive priority in space allocation over other utilities.



5.3 COORDINATING UTILITY DESIGN WITH HIGHWAY DESIGN


For utility projects initiated by the Department due to an upcoming road construction project, early notification and good coordination are desired. The Department's highway design process is extensive, and the utility components occur at fixed points within this process.

The highway design procedure currently adopted by the Department is called the Guide to Developing Construction Plans (GDCP). It is a list of sixty-five individual activities, some comprising as many as nine subsidiary elements. A copy of the GDCP is appended to this manual, and the individual items are listed in table 5-1. A usefully condensed description of the design procedure used in the Department can be provided by the following item groupings:

Items 1-7 Design preliminaries

Item 8 Design initiation

Items 9-18 Primary design integration

Items 19-37 Secondary design integration

Item 38 Plan-in-hand inspection (PIH)

Items 39-52 Design refinement

Item 53 Plans-specifications-and-estimate inspection (PS&E)

Items 54-65 Design completion

The highway design has been underway for some time before the utility first becomes involved during step 19. The initial aspects of highway design must be completed and the preliminary alignment and grade must be selected before the Department becomes aware of which utility facilities might be affected.

Table 5-1 Summary of the Department's Guide for Developing Construction Plans (GDCP), Showing Utility Interactions

1. Check in all filed information and review project data2. Transmit pertinent data to ROW Engineer; transmit utility map to Utility Engineer3. Determine that project is listed in the construction program4. Determine that project has PE funding5. Check PMS project cross reference list6. Review PMS list of target dates7. Preliminary ROW, utility, and constriction cost estimates; Check for stormwater permit



preparation; Develop alternate design if necessary; Establish highwater and bridge elevation to determine profile grades

8. Begin work on preliminary plans9. Send title sheet and sketch to Transportation Planing Engineer for traffic information

10. Send plans to Environmental Technical Coordinator (ETC) for permit application11. Blank12. Send preliminary prints to Materials and Tests Engineer for soil borings, soil profile, slope study,

shrinkage-swell values, soil-materials report and hazardous materials sites; Send plans to ROW Engineer for 12B relocation study

13. Send traffic signals warrant analysis to Electrical Engineer for review and further handling14. Blank15. Send hydraulic data for roadway and bridge design to the Hydraulic Engineer16. Notify Hydraulic Engineer if FHWA order no. 5520.1 is involved17. Begin developing hydraulic design18. Plot drainage sections, design drainage structures, check with Utility Engineer on conflicts;

Notify ETC if channel changes are required19. Transmit all utility data to Utility Engineer; Begin Phase I Utility work20. Utility Engineer sends prints to Division for review21. Send plans to Bridge Engineer for preliminary bridge design and cost estimates22. Plans developed by Divisions to be coordinated with Design Engineer for geometric design

review23. Send plans to Hydraulic Engineer for initiation of stormwater permit and review of hydraulic

design24. Review project design data and cost estimates, including utility costs, in order to select preferred

design25. Obtain FHWA approval of geometrics26. Update estimate of FHWA-approved design27. Send plans to Division for design hearing28. After any design hearing obtain FHWA plan approval29. Blank30. Send plans to Division for Traffic Control Plan (TCP); Multimodal Transportation Engineer for

railroad review; Electrical Engineer for design of roadway lighting and traffic signals; Utility Engineer and Electrical Engineer for Rest Area utilities; Division for county maintenance agreements on roadway left after relocation of State route; include construction sequence in plans after considering utility conflicts

31. Complete earthwork balance with confirmed shrinkage values32. Develop slope transitions; Send plans to Hydraulic Engineer for design of special ditches33. Send plans to Bridge Bureau for design and clearance review including all utility conflicts34. Plot drainage structures and special ditches35. Division to furnish designer with mylar prints of TCP for inclusion in Plan-In-Hand (PIH)

inspection submittal36. Blank37. Conference with Utility Engineer for special right-of-way requirements



38. Send prints to Quality Control Engineer (QCE) and others for PIH inspection39. Study and resolve PIH comments; Division to begin executing signal maintenance agreement40. Transmit updated utility data to Utility Engineer; Begin Phase II utility work41. Send plans to ROW Engineer for ROW acquisition42. Transmit plans to Roadway Design Engineer for design of signals and pavement markings43. Complete risk assessment form and transmit copy to Hydraulic Engineer; Send prints of plans to

Hydraulic Engineer highlighting changes made at PIH inspection; Send prints to ETC for inspection of section 404 Permits and noise study, Federal Energy Regulatory Commission Permit and 26A committee review with TVA

44. Send prints to Multimodal Transportation Engineer for railroad agreement45. Get traffic data update form Transportation Planning Engineer46. Complete soils studies and check hysterical and archeological clearances47. Division to furnish design with mylar prints of TCP for inclusion in PS&E inspection submittal48. Make box and pay sheets and develop quantities49. Prepare index sheet50. Confirm with ROW Engineer all known ROW commitments51. Develop estimates for PS&E and send to Office Engineer and PMS Coordinator52. Blank53. Send prints to QCE and others for PS&E inspection54. Resolve PS&E comments; Transmit updated utility data to Utility Engineer55. Incorporate additional sheets into plan assembly; Utilities Section initiates Phase III of utility

work56. Revise estimates and send to Office Engineer and PMS Coordinator57. Send plans to ETC for final review; Send plans to Hydraulic Engineer for review and finalization

of stormwater permit application58. Electrical Engineer obtains traffic signal and ligthing maintenance agreements59. Prepare forms for City and County resolutions60. Final check of plan assembly; Send prints of TCP to QCE for final review61. Send finished plans to QCE for final check62. Make required corrections63. Submit plans to Office Engineer64. Resolve comments from Construction Bureau, Office Engineer, Division, and FHWA65. Send final plans to Office Engineer

At step 19 in the GDCP process, the Utilities Section receives plans showing existing utility facilities and then contacts the utilities affected by the highway construction. They are then to proceed with their own plans and designs, maintaining close contact with the Department's designers.

Highway design is a synthesis of the design of many components, as emphasized in the opening paragraph of this chapter. As the design evolves, a change in one component may require changes in other components. Thus utility designers are encouraged to maintain close coordination with highway designers to learn of changes as they occur.



There are two other steps that are very important in utility design. These are step 40 in which updated plan sets are sent to the Utilities Section, which forwards them to affected utilities, and step 53, which is the PS&E inspection.

Initial conceptual utility design and detailed design on Department-initiated projects normally will begin steps 19 and 40, respectfully, of the GDCP process. It is very important that the utility diligently pursue design, maintain close coordination and communication with the Department, submit its design for the Department's review as part of the permitting process, and initiate promptly its construction project.

5.3.1 Early Consideration of Utilities on Highway Design Projects

Experience is constantly indicating that design and planning of relocation projects is too expensive to be postponed by the highway designer until all other design decisions have been made. It is desirable that the consideration of the many design aspects such as traffic, hydrologic, hydraulic, geotechnical, structural, electrical, environmental, and utilities matters occur simultaneously, if possible. The later that utilities considerations are added to the design process, the greater are the overall costs of construction to the highway project and the utility customer. Conversely, the earlier in the process that such interests and possible conflicts are considered, the smaller are the costs for their resolution. The amounts saved can pay for highway facilities that otherwise would not be affordable. 5.3.2 Coordination Through Computer Review of Information

A situation that makes practicable the early incorporation of utility relocations into the highway-system design is that the design of highways is accomplished largely at interactive work stations. They are large, fast, digital computers with software that allows the development of many separate layers of subject information. Simultaneous viewing is possible of graphics layers that can be overlain selectively to make conflicts more readily detectable. The Department's planning and design process has been altered to provide for the early incorporation of utilities-survey fieldbook information into the data files of the computer system used by the highway-project designer so that he can use that information easily during his initial design. For projects not done on the computer-aided design and drafting (CADD) system, the existing utilities facilities will be plotted on the plan mylars along with all the other topography. 5.3.3 Each Utility Facility is Worthy of Early Design Consideration

Of the many varied kinds of utility facilities that share or affect the highway-project ROW, each exists because it serves the same public for whom the highway project is being provided. It is that service of the public which has been recognized by society as justifying the presence of utility facilities upon the highway ROW. A more pragmatic justification of the design effort required for early coordination in the highway design process is that it costs more if utility effects are disregarded until highway plans are nearly completed.



5.3.4 Pre-Design Consultation

Pre-design conferences can reduce the costs of highway facilities and improve design efficiency. They allow the highway designer the opportunity to meet with Departmental field personnel and the representatives of the affected utilities. His visit to the site with local departmental personnel, and with the utilities' engineers, will facilitate further cooperation, and allow the planning and preliminary engineering of both the utilities' engineers and the highway designer to move forward in concert. 5.3.5 Coordination Continuity

The GDCP provides for continuation of coordination between the highway designer and others whose jurisdictions are affected by the design. Step 1.1 of the GDCP indicates that the designer is to consult the Location Memorandum about utility conflicts that will affect the highway design. In the secondary design integration phase, steps 19, 30, 33, and 37 of the GDCP, additional coordination by the highway designer regarding utility conflicts and special utility ROW requirements is needed.

After step 19 of the GDCP has begun, the utility receives initial information to initiate its design process. From that time forward, the utility is encouraged to continuously coordinate its design with the developing highway design.



5.4 DESIGN RESPONSIBILITIES


The responsibilities for the design of the highway facilities ultimately rest upon the designer in the applicable Division Office or the Central Office of the Department, but he must be aided by engineering participants in the Department and in the affected utilities.

5.4.1 Utilities' Representatives

The Utilities' representatives are responsible specifically for comprehensive planning and technical design of the total utility facility. They are responsible for ensuring that the design is in compliance with the codes and standards of the appropriate technical organizations; is within the accepted practices and policies of the affected utility firms; and, is within the ranges of design allowed within this manual and other Department publications.

The Department strongly encourages the three-tier process for engineering services on utility projects as described earlier in this manual (§ 4.3.3). The first tier should provide for the conceptual planning of the necessary facilities and should include the production of schematic facility drawings and a preliminary estimate of costs for the facilities. The second tier of services should include the detailed design of the facilities and result in the production of detailed construction plans and specifications, including a detailed cost estimate. The third tier of services should cover letting the contract, and engineering services needed during the construction of the project. Such a system of agreements will benefit the utility by allowing earlier reimbursement of eligible costs to the utility by the Department, and will allow the utility work to stop at an appropriate point should the highway project be delayed. 5.4.2 Utilities' Consultants

It will be to the considerable benefits of the utility and of the Department for the utility that employs engineering consultants to design its facilities to maintain a continuing contract. The utility is encouraged to use three-tiered agreements for the acquisition of such engineering services.

In addition to the responsibilities a consultant assumes, under the consulting-engineering-services agreements discussed above, there is the legal requirement that each consultant be registered to practice as a professional engineer in the state of Alabama. If the consultant is a corporation, that corporation must hold a certificate to practice engineering in the state issued by the Alabama State Board of Registration for Professional Engineers and Land Surveyors (§ 6.3.2). 5.4.3 District Engineer's Staff

The design responsibility of the engineers in the Department's district offices includes determining details of coordination necessary during construction to allow for a proper construction sequence. Where they are aware of other local situations affecting design, they should communicate this information



directly to the designer as early as possible. 5.4.4 Division Engineer's Staff

It is the responsibility of the appropriate staff member in the Division Office to communicate to the pre-construction personnel at the Division, or in the Central Office (as appropriate), the details of coordination that will be necessary during construction. A specific design-related responsibility of the Utilities Engineer in the Division Office is to participate as a member of the team that conducts the Plan-In-Hand and PS&E inspections. 5.4.5 Project Designer

The project designer, of course, has the major and superior responsibility for the design of the project, but there are specific considerations that affect overall costs and constructability to such a degree that advisors associated with many of the aspects of the highway-construction process have requested their specific mention. For example, systems of gravity piping in the ROW should be considered during the earliest phases of planning for the project. Their locations control the designs of so many other parts of the project that early treatment of them can be most cost effective, and where it is possible, their installation should be included in the highway contract.

The other designer responsibility that has a similar significant effect upon utilities design, location, construction, and cost, is the setting of the limits of construction. Laws, tradition, and practice require an important judgment from the designer in this function. Adjacent-property-owners' rights and the cost of land acquisition must be balanced against the spatial needs of our new highways and their higher design standards. Other considerations are our societal need for utilities to be accommodated within ROW and for the costs of highways and utilities to be minimized while the facilities satisfy our improved design criteria. It is required that the construction limits be set by step 39 of the GDCP, when the plan-in-hand comments have been resolved. The in-house engineering for the utilities should then be ready to proceed with phase II of their design process after step 40 of the GDCP.



5.5 UTILITY DESIGN CRITERIA AND STANDARDS

5.5 UTILITY DESIGN CRITERIA AND STANDARDS

The design criteria and standards applicable to utilities within the ROW of Alabama highways primarily appear in other works that have been incorporated herein by reference. Departmental designers, utilities engineers, and consultants have the responsibility to develop designs that honor those criteria. The important references that thus have been incorporated include the AASHTO documents, A Guide for Accommodating Utilities Within Highway Right-of-way, A Policy on the Accommodation of Utilities Within Freeway Right-of-way, and the Alabama Department of Transportation Standard Specifications for Highway. Example excerpts from these and other sources were presented under the discussion of guidelines in chapter 2.

In addition to the references noted in the previous paragraph, there are industry-consensus standards that represent conventional prudence for the design and construction of specialized facilities for the various types of utilities. Such industry standards and codes will be of practical assistance to the designers of utility facilities. Examples of industry-consensus standards were provided during the discussion of design guidelines in § 2.9.



5.6 DESIGN SCHEDULE

5.6 DESIGN SCHEDULE

The timing of the various design-related activities of departmental and utilities agents is dictated predominantly by the Department's 65-step Guide for Developing Construction Plans (GDCP). A copy of that guide is appended to this manual.

The following paragraphs of this section mention the steps of the GDCP at which actions pertinent to the design of utilities facilities are involved. The most important consideration to emphasize is that with the occurrence of each of the steps mentioned, some affected individuals receive additional information or responsibilities that require the completion of some portion of the utilities facilities design. If the entire process is to be completed in a timely fashion to minimize the costs involved, it is important that the time for completion of each task be agreed upon, and that it be honored.

Step 26 is marked by the completion of preliminary design and cost estimates for the highway construction project. Step 19 requires coordination and review of preliminary plans with the Utilities Section. Step 30 includes consultation, with the Utilities Section, for planned facilities such as rest areas. It also is the time for another check with the Utilities Section for the further identification of possible utilities conflicts with project facilities.

When highway cross sections have been plotted, step 33 calls for plan drafts to be sent to the Bridge Bureau for structures design and includes another check for utilities conflicts. After additional reviews of hydraulics and geometrics, step 37 involves a last coordination with the Utilities Section before the plan-in-hand (PIH) inspection is conducted at the site. The PIH inspection is step 38.

Step 40 requires that prints with construction limits delineated be mailed to the utilities involved for final planning for relocations.

Step 55 is a compilation of all of the various types of plan sheets into a complete plan set to be submitted for final reviews and approval for construction.



5.7 COST AVOIDANCE

5.7 COST AVOIDANCE

5.7.1 Cost Avoidance During Design

The procedure believed to promise the greatest potential for design-cost avoidance is the effective use of pre-design conferences to allow utilities representatives to inform highway designers and other Department representatives of their utility's special needs that would be extremely costly to the project if their existence were not anticipated from the beginning of the planning for the project. An additional likely payoff of the use of such conferences is that the designers and utilities' agents who have gotten the chance to know each other will maintain liaison by telephone or letter for the duration of the project. Such continuing communication can allow avoidance of conflicts and costly fixes for conflicts that do occur.

The use of continuing contracts between the utilities and their engineering consultants is seen as a means of avoiding costs by avoiding the delays often encountered in the preparation, approval, and execution of consultant agreements each time a new project causes the need for such services. The use of three-tiered agreements discussed in chapter 4 of this manual is seen as providing economy through a shortening of the time required for reimbursement of the utility for each of the three independent portions of the consultant's eligible services.

The publication of judgment guidelines for fees for engineering services for the routine design of utilities facilities (figure 4-2) should speed the approval process and avoid the costs caused by delays of that process. These guidelines are for use in situations that are acceptable for departmental participation in reimbursement for the design of facilities of customary, or routine nature.

Each of the above procedures are described or specified in greater detail in other parts of this manual, but they are mentioned again here because they have the potential for positive effects upon the design process. 5.7.2 Cost Avoidance Contributions by the Utility

The Department encourages utilities, their contractors, and their construction inspectors to search for efficient design and construction procedures. Where such procedures are found, utilities are encouraged to bring them to the attention of the Department's representatives. After investigation, the Department may wish to issue change orders for the utility work. The utility consequently may benefit from reduced construction costs, or from savings of operational expenses.



5.8 CONFLICT RESOLUTION

5.8 CONFLICT RESOLUTION

Many of the procedures that should lead to conflict resolution have been described above. Their inclusion again here is to call attention to their capacities as tools for this desirable effect. The use of continuing engineering-consultation agreements by utilities will have the result of building continuity in the relationship and understanding of common problems among the designers in the Department and facilities designers for the utilities. The enduring working relationship will allow ease of resolution, and the common knowledge will allow for conflict avoidance. Similarly, the enhanced use of pre-design conferences, prompt response to noted conflicts from the PIH inspection, and the subsequent pre-construction conferences, all can help to resolve and avoid conflicts.

Where conflicts cannot be resolved at the working level, the Maintenance Engineer or Utilities Engineer (as appropriate) should be notified for assistance. The prompt request for assistance may prevent costly delays and minimize the chances for development of ill will.



7.4 WHO, WHEN, AND HOW PAID


In all cases, only the utility is reimbursed by the Department; contractors retained by the utility and utility-consultants engineer are reimbursed by the utility. No advance payments will be made, although partial payments for completed aspects of the project may be made at intervals specified below.

Reimbursement may be requested by the utility 30 days after its receipt of formal notification of approval of agreement, and again every 30 days thereafter. Payment may be requested less frequently as the utility desires. Thus, if preliminary engineering has been completed 30 days after notification of approval of agreement, an invoice may be submitted to the Division Utilities Engineer. Stored materials and costs for private ROW acquisition, if appropriate and completed, may also be included on the invoice.

The utility is required to submit a final invoice within six months of completion of the project. 7.4.1 Payment Request Format No generic payment request forms are available due to the complex nature of the work tasks which may be involved; however, sample invoices are presented in the appendix. It is most important that the invoice be presented in a format that will ensure its compatibility with the previously approved cost estimate (form U-10 in the appendix or the utility's similar form which has been approved by the Department). This will provide a rapid method for Department personnel to verify items, quantities, and amounts on the invoice for rapid payment. Recently, the Department developed a standardized payment request form (Form SP-4) in an effort to eliminate the many cover letters attached to invoices. It is our hope that this form will provide a rapid method for Department personnel to verify items, quantities, and amounts on the invoice for repaid payment. A routinely accepted practice is for the utility to place a cover letter over the list of line items submitted by its contractor; in addition, the utility should complete the top portion of the Form SP-4 and attach a copy of this form to the various copies of the invoice to be submitted for payment.

In general, only two types of formats for payment requests are used by the Department. Examples of both are presented in the appendix and their format is as follows: one is for lump sum invoices; the other covers all other invoices. In either case, an audit of the final invoice by the Department's External Auditors may be required. Thus, detailed records should be kept by the utility and all subcontractors concerning costs paid under the agreement. Failure to retain sufficient, accurate, detailed records may result in the Department's denial of all or portions of the utility's invoice, or in the Department's request that the utility return portions of reimbursements already received. Federal regulations require that project records be kept for three years after final payment is received. Lump Sum Invoice Format Lump sum invoices are submitted only once: at the end of the project. Seven copies of the invoice, two



with original notarized signatures and seven copies of Form SP-4, are submitted to the Division Utilities Engineer with the following requirements:

1. Typewritten on letter sized paper2. Cover letter on utility letterhead3. Reference to project number4. Statement that work began on a certain date and ended on a certain date5. Statement of dollar amount due6. Signature of authorized utility official7. Any other requirements imposed by the Department upon this particular utility or relocation

project8. Certification of completion of work

The utility may mistakenly believe that it is operating on a lump sum agreement, on some small projects, when this is not the case. In that belief, the utility might submit a lump sum invoice and not list individual line items for payment. The failure to list line items will prevent payment of the invoice until an adequate itemization is provided, resulting in extra paper work and delaying payment.

Format for Other Invoices

For invoices other than lump sum, seven copies are required, two having original notarized signatures. Seven copies of Form SP-4 are also required, one copy attached to each copy of the invoice. These are to be submitted to the Division Utilities Engineer in the following format:

1. Typewritten on letter sized paper2. Cover letter on utility letterhead3. Reference to project number4. Itemized listing of completed work on sheets attached to letterhead5. Statement of percent of total work completed6. Statement of summary of dollar amount due (total amount due minus previous payments equals

amount due)7. Signature of an authorized utility official8. Any other requirements imposed by the Department upon the particular utility or relocation

project9. Beginning date and completion date

10. Certification of completion of work

When utility forces are performing the construction, equipment costs should be based on prior records if available. If no records exist, the current edition of Rental Rate Bluebook for Construction Equipment prices should be used.


4.2 PERMITS

4.2 PERMITS

4.2.1 Types

Permits are initiated by the utility and are required when utility installations are to be placed or modified on existing state ROW, when no modification or improvement to the highways or bridges is expected, and when the highway ROW is under the control and supervision of the Department's regular maintenance forces.

The Department's Maintenance Bureau has prepared a limited series of permit application forms which cover the normal situations in which a utility initiates a request to utilize the ROW, or to modify its existing facilities on the ROW. These forms are listed and described in table 4-1. The utility should select and execute the appropriate form to fit its purpose. Virtually all permit applications will be made on form MB-01 (appended), although occasional circumstances may dictate the use of one of the other forms in table 4-1. Where the utility has doubts about which form to use, it should contact the District Engineer or the Maintenance Bureau for advice.

Although permits are required for almost all utility actions, there are a few exceptions. These exceptions and conditions requiring permits have been outlined previously in the introduction to this chapter and in § 2.18. 4.2.2 Normal Permit Processing

Permit applications will be submitted by the utility to the appropriate District Engineer for his comments, and forwarded to the Division office for the comments of the Division Engineer. If approved by the Division Engineer, the permit is then forwarded to the Central Office for the comments or approval of the State Maintenance Engineer. Normally the approved authority for permit applications is the Maintenance Engineer. On rare occasions, such as a request for attachment to a bridge, the approval of the Director will be required.

The Department is not required to submit permits to the FHWA for concurrence except under the following circumstances:

1. The proposed installation is not in accordance with the policies and procedures of this manual, as approved by the FHWA for use on federal-aid highway projects

2. The proposed installation includes longitudinal installations on federal-aid freeways involving special-case exceptions for State installations, as described in FAPG and 23CFR 645 Parts A and B.

Table 4-1 Permit Types And Uses


4.2 PERMITS

NUMBER TITLE PURPOSE

MB 01 Permit Agreement For The Accommodation of Utility Facilities On Public Right-of-Way

This Form is used for normal permit actions initiated by the utility. Typical use: All public utility accommodations

MB 02 Special Permit Agreement For Installation Of Utilities On Highway Right-of-Way

This form is used to request a non-public utility accommendation, when the requestor does not have to pay for the right to occupy the ROW. Typical use: Private utility crossing the ROW, i.e., a farmer desires to run a water line from his house across the road to his barn.

MB 03 Permit Agreement For The Accommodation of Utility Type Facilities On Public Right-of-Way

This form is used to request a non-public utility accommodation when the requestor must pay for the right to occupy the ROW. Typical use: Private utility with a longitudinal installation, i.e., a manufacturing plant desires to run a steam line two miles along the ROW to a sister plant.

ORIGINAL FORM REQUIRED

In all cases, the permit application submitted to the Central Office must (1) contain the original signatures of the District and Division Engineers and (2) be submitted on an original Department permit form. A copying-machine reproduction of the form may not be used as the original for the permit application. Standard forms for utility permit applications may be obtained from the Department printing office.

For required copies of the permit application submitted with the original, the Department will accept reproductions made by copying machines if they are of good quality and made directly from the original. 4.2.3 Permit Contents

When preparing its permit application, the utility must select and execute the appropriate permit form (see table 4-1), and ensure that the permit submittal includes (as a minimum) or by reference incorporates the following:


4.2 PERMITS

1. a permit form (see appendix for example forms)2. compliance with the policies and procedures contained in this manual and other pertinent

Department documents3. a general description of the size, nature, type, and extent of the utility installation to be located on

the state ROW4. Exhibit "A"— plan drawings (plans, profiles, and cross-sections when appropriate) and

specifications of materials signed by the utility's engineer of record (or where applicable, the appropriate corporate official responsible for the drawings) showing the following:

1. other existing utilities in the immediate vicinity of the proposed installation, indicated by symbols using the Department's Standard Legend (see appendix); and the proposed utilities shown using the applicants own symbols with an attached legend

2. the traveled way (edge of pavements or back of curbs)3. the ROW lines4. the controlled-access lines5. the approved-access points6. the horizontal and vertical locations of the proposed facilities when appropriate7. a description of the types of materials to be used8. the extent of liabilities and responsibilities associated with future relocation of the utilities

to accommodate highway improvements9. any action to be taken by the utility in case of noncompliance with Department

requirements10. the name(s) and phone number(s) of the person(s) to contact in case of emergency (1)

during construction and (2) after construction while the utility is in normal operation11. other provisions deemed necessary to comply with applicable laws and regulations

The Department will furnish to the utility copies of any drawings in its possession (for the cost of reproduction) for use in preparing the permit and supporting documents when requested to by the utility. 4.2.4 Distribution of Permit Applications

Permit applications are to be submitted as an original plus four copies. Upon final approval of the Maintenance Bureau, one copy will be sent to the District Office, one copy will be sent to the Division Office, one copy retained in the Central Office, and two copies will be returned to the utility. One of the copies returned to the utility will be used to record any field deviations from the initial drawing (deviations require approval by the Department). This copy will be forwarded to the Department to serve as a record of the facilities "as built." See the as-built guidelines (§ 2.3). 4.2.5 Bond Requirements

Before any construction work is started, a surety bond written by a surety company authorized to do business in the state of Alabama must be delivered to the Department, unless that requirement is waived


4.2 PERMITS

by the Department. Bonds will be prepared and executed in a manner acceptable to the Department's legal staff and normally will be issued using the Department's Form BM 174 (see appendix).

A more complete description of bonding requirements may be found in chapter two of this manual, under the bonding guideline (§ 2.6).




ALABAMA DEPARTMENT OF TRANSPORTATIONSpecial Permit Agreement For

Installation of Utilities on Highway Rights-of-Way

Permit No ____________________________________

Maintenance Section ____________________________

Accommodation at Kilometer post _______ (to _________)

THIS AGREEMENT is entered into this the _________ day of _______________, 19___, by and between the Alabama Department of Transportation acting by and through its Transportation Director hereinafter referred to as the STATE and ________________________________________ hereinafter referred to as the APPLICANT.

WITNESSETH

WHEREAS, the APPLICANT desires to have its facilities accommodated on public highway right-of-way in ________________________________________ County, Alabama, on the maintenance section being designated as _________________________________________________, and consisting approximately of the following: ___________________________________________________________________________________

________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________; and

WHEREAS, the STATE hereby grants to the APPLICANT permission to cross or locate its facilities on the public right-of-way at the location and in the manner hereinafter set forth:


1. The APPLICANT will install its facilities on public right-of-way in accordance with plans and specifications of APPLICANT as approved by the STATE so as not to interfere with the maintenance of the highway, which plans are made a part hereof by reference.

2. In the installation of facilities and performing work under this agreement, the APPLICANT will conform to the provisions of the latest edition of the Alabama Department of Transportation Utility Manual, which manual is of record in the Department of Transportation and is hereby a part hereof by reference.

3. The national Manual on Uniform Traffic Control Devices, latest edition, is hereby made a part hereof by reference and will be conformed to as the provisions thereof are applicable to such work. Such Manual is of record in the Alabama Department of Transportation at the execution of this Agreement.


APPLICANT will conform to the regulations of the Environmental Protection Agency (EPA) and of the Alabama Department of Environmental Management (ADEM), latest edition, for both installation and maintenance of such facilities.

5. If hazardous materials, wastes, substances, or as otherwise defined by Code of Alabama § 6-5-332.1 (a)(2) (1993 Repl.Vol.) are encountered in the execution of this Agreement it will be the responsibility of the APPLICANT to notify the proper agency responsible for said hazardous materials and to comply with any and all environmental regulations as established by the Environmental Protection Agency (EPA), Alabama Department of Environmental Management (ADEM), and of the Occupational Safety and Health Administration (OSHA) in the proper disposition of the hazardous materials encountered.



8. APPLICANT will have a copy of this Agreement on the project site at all times work is being performed.

file:///H|/Bureau/Design/utilities/UTMAN2/appendix/MBO2Permit.html (1 of 3)10/27/2004 6:38:40 AM


9. This Agreement does not constitute or grant to the APPLICANT any right, title, property interest, claim or control in or to any part of the highway right-of-way.




WITNESS: _____________________________________________


By:__________________________________________


_____________________________________________


_____________________________________________

(Typed or Printed Title)

_____________________________________________

(Address)


_____________________________________________

(Telephone)

BY:_______________________________ ALABAMA DEPARTMENT OF TRANSPORTATION





By: By:__________________________________________

Division Engineer Maintenance Engineer



2.19 OVERHEAD POWER AND COMMUNICATION LINES

2.19 OVERHEAD POWER AND COMMUNICATION LINES 2.19.1 Type of Construction Several criteria pertinent to the type of overhead lines that will be allowed are presented in the following list:

1. Any longitudinal installations of overhead lines on the highway right of way will be limited to the single-pole type of construction

2. Joint use of single-pole construction is encouraged where more than one utility is involved, especially at locations of reduced ROW width

3. Only one longitudinal pole line will be allowed and this will be restricted to only one side of the highway

2.19.2 Vertical Clearance The minimum vertical clearance for overhead power and communication lines above the highway, and the lateral and vertical clearances from bridges will conform with the National Electrical Safety Code (NESC) of the U.S. Bureau of Standards, latest edition. Techniques and terminologies for making measurements will be in compliance with the NESC. In no instance will an aerial crossing have less vertical clearance over the highway than 5.5 meters or less than NESC clearances across other terrain. Utilities shall check the NESC for appropriate vertical clearances for each installation and certify compliance. 2.19.3 Location rural areas

On and along conventional highways in rural areas, pole lines and related facilities will be located as near as practical to the ROW line. As a minimum the poles will be located outside the clear roadside area for the highway section involved.

urban areas

In keeping with the nature and extent of roadside development along conventional highways in urban areas, facilities will be located as near as practical to the ROW line. Where there are curbed sections the utilities will be located as far as practical behind the face of the outer curb, and, where feasible, behind the sidewalks. As a minimum, the poles will be placed outside the clear roadside area for the highway section involved.

narrow urban row



Location of overhead utility installations on highways with narrow ROW or on urban streets with closely abutting improvements are special cases which must be resolved in a manner consistent with the prevailing limitations and conditions. Before a utility is located at other than the ROW line, consideration will be given to designs employing self-supporting, armless, single-pole construction with vertical alignment of wires or cables, or other techniques permitted by governmental, or industrial codes that are conducive to a safe traffic environment. Exceptions to these clearances may be made where poles and guys can be placed at locations (1) behind guard rails, (2) beyond deep drainage ditches, (3) beyond the toe or top of steep slopes, (4) beyond retaining walls, or (5) at other similar, protected locations. guy wires

Guy wires to ground anchors and stub poles will not be placed between a pole and the traveled way where they encroach upon the clear roadside area. Guy wires inside the highway ROW will be avoided wherever it is feasible to do so. Guy wires to ground anchors located within the ROW will be protected with a shield to prevent their being cut during roadside grass cutting operations, or to prevent personal injury to maintenance personnel who might run into them.

irregular row

Where irregular-shaped portions of the ROW extend beyond the normal ROW limits, variances in the location from the ROW line will be allowed, as necessary, to maintain a reasonably uniform alignment for longitudinal overhead and underground installations, so long as they do not adversely affect the maintenance operations of the ROW, or impinge upon the clear roadside area.

median

Longitudinal installations of poles, guys, or other related facilities will not be located in a highway median. On crossings of the highway no facility will be located in a freeway median nor in a highway median less than 24.5 meters in width. Poles and other appurtenances for highway lighting may be located in the (non freeway) median if other alternatives are determined to be impractical, and if suitable protection is provided to the highway user.

bridge clearances

Aerial power or communication lines will not cross over bridges where it is possible to avoid such installations. This is necessary to allow the Department sufficient room to operate equipment to maintain bridges. Lateral clearance from a bridge will be sufficient to allow construction and maintenance of the bridge structure. A minimum vertical clearance of 8 meters from the top of the barrier rail will be maintained. A horizontal clearance of 8 meters will be maintained from the neat lines of the structure. In no instance will the lateral and vertical clearances from bridges be less than those required by the National Electrical Safety Code (NESC), of the U.S. Bureau of Standards, latest edition.




(AGREEMENT FOR ENGINEERING SERVICES BY

CONSULTANT ON UTILITY PROJECTS)

This Agreement is entered into by and between the Owner of the Utility ___________________________________ _______________________________________________________________ (hereinafter called the OWNER) and _______________________________________________________________ (hereinafter called the ENGINEER)

W I T N E S S E T H:

That, in consideration of the terms, covenants, and conditions hereinafter set forth, the parties hereto, agree as follows:

I. Description and scope of work:

(a) Preliminary Engineering - The ENGINEER will make all preliminary studies, designs, plans, specifications, and estimates for relocation of the OWNER’S utility facilities that are in conflict with the proposed construction of Alabama Department of Transportation (hereinafter at times referred to as State) Project No. __________________________ in __________________________ County, Alabama; said project being described on the project plans as ________________________________________________ _______________________________________________________________________________________________________ between Station ____________________ and Station _______________________.

The work will, when requested by the OWNER, include consideration of alternate methods deemed feasible for accomplishing the relocation of the utility facilities or the retention thereof; the purpose being to develop the most economical solution that is feasible in compliance with Code of Federal Regulations 23 CFR 645 and 635, as applicable.

The ENGINEER will also assist the OWNER in soliciting bids, selecting a contractor and awarding the contract when the relocation work is to be accomplished by the lowest responsible bidder. The ENGINEER and the OWNER will comply with the provisions of Code of Federal Regulations 23 CFR 635 and State law, as applicable, when soliciting bids, selecting a contractor, and awarding the contract.

(b) Construction Engineering - Subsequent to approval by the State of the utility relocation plans, contract documents and authorization of award of contract by the OWNER to the lowest responsible bidder, the ENGINEER will perform the engineering and inspection work to assure the performance and completion of the work in accordance with the approved contract plans and specifications, in accordance with all applicable provisions of 23 CFR 645 and 635.

(c) The State of Alabama Department of Transportation Utility Manual, and all applicable provisions of the Federal-Aid Policy Guide, will govern in development of plans and accomplishment of the work on this project. Such Utility Manual is of record within the Alabama Department of Transportation at the execution of this Agreement and is hereby made a part hereof by reference.

file:///H|/Bureau/Design/utilities/UTMAN2/appendix/AppK.html (1 of 9)10/27/2004 6:38:44 AM


II. Obligation of OWNER to ENGINEER:

In connection with this work the OWNER will: (1) As far as possible, cooperate with the ENGINEER in making necessary arrangements with public officials and with such individuals as the ENGINEER may need to contact for advice, counsel, and information; (2) furnish all available as built drawings; (3) furnish any roadway, bridge and utility drawings that may be available from the Alabama Department of Transportation.

III. Time of Beginning and Completion:

After approval of this agreement by the State, the OWNER will notify the ENGINEER to proceed with the professional services. The ENGINEER will complete Phase I of the engineering work within _______ calendar days after date of written notice to proceed; and Phase II within __________ calendar days after date of written notice to proceed. In the event the OWNER with the approval of the State, deems it advisable or necessary in the execution of the work to make substantial alterations which will increase or decrease the scope of work outlined in this agreement, the time limit specified herein may be adjusted in accordance with Article VII, of this Agreement.

IV. Payments:

For services provided for, when performed by the ENGINEER in accordance with this agreement, and as full and complete compensation therefor, including all necessary expenditures made and incurred by the ENGINEER in connection with this agreement, except as otherwise expressly provided herein, and subject to and in conformity with all provisions of this agreement, the OWNER will pay the ENGINEER the actual cost plus a fixed fee for profit as provided for in Code of Federal Regulations 23 CFR 172.

The ENGINEER will keep separate records of Engineering cost on each phase of work, including hours worked by each employee classification, payroll additives, expenses, transportation and subsistence which are directly allocable to this contract. Payments will be made on the basis of acceptable accounting records of the ENGINEER which are subject to acceptance by the State and which records will be kept in compliance with Part 30 and 31, Federal Acquisition Regulations. Overhead will be based on the latest available information and must be supported by the ENGINEER’S records. All records will be made and kept in keeping with generally acceptable accounting practices and will be made available, if requested, for inspection by representatives of the OWNER, State, and Federal Highway Administration, and copies thereof shall be furnished by the ENGINEER if requested. All records necessary to substantiate charges under this contract will be retained by the ENGINEER for a period of at least three years after final reimbursement payment to the OWNER by the State for the project work.

The actual cost for each phase of work accomplished will include (1) all costs related to salaries of employees for time directly chargeable to the particular phase of the project work; the salaries of principals for time they are productively engaged in work on a particular phase necessary to fulfill the terms of this contract; (2) Salary additives, the ENGINEER’S expenses and overhead to the extent they are properly allocable to the particular phase of work of the project; and (3) transportation cost, computed at the rate shown hereafter, and subsistence, computed on basis of necessary actual out-of-pocket expenses when working away from the home office on the particular phase of work.

Extra work will not be performed until and unless written authority is received from the OWNER indicating approval of the extra work and of the new maximum amount and the OWNER will not issue such written authority until and unless the OWNER is so authorized in writing by the State. Such a change, if approved, will not change or limit any of the other terms, conditions, or requirements of this agreement, provided however, additional time for completion of work may be given in accordance with Article VII, hereof.

The acceptance by the ENGINEER of the final payment will constitute and operate as a release to the OWNER of all claims and liability to the ENGINEER, its representatives and assigns for any and all things done, furnished or relating to the services rendered by the ENGINEER under or in connection with this agreement or any part thereof, provided that no unpaid invoices exist because of extra



work required at the written request of the OWNER.

The ENGINEER will perform the necessary engineering work and unless substantial authorized change is made in the plans or scope of work, and/or the responsibilities of the ENGINEER, the maximum payment for Phase I shall not exceed $_______________; the maximum payment for Phase II will not exceed $_______________; and the maximum payment for Phase III will not exceed $_______________.

The hourly labor rates shown below are based on the accounting records of the ENGINEER and the ENGINEER certifies that such rates are those rates paid by the ENGINEER during the preceding twelve (12) month period. The ENGINEER will be paid for actual cost incurred plus the fixed fee for profit not to exceed the maximum amounts for each Phase. In the event there are substantial changes in the plans and/or scope of work approved by the Alabama Department of Transportation, which significantly increases or decreases the work and/or responsibilities of the ENGINEER, the maximum fee may be adjusted by agreement approved by the State.

If transportation is included in the Consultant Engineer’s Overhead Factor, a direct charge should not be made for transportation.

Maximum Engineering Cost for Phase I

Labor: Engineer hours @ $

Assistant Engineer hours @ $

Rodman hours @ $

Draftsman hours @ $

Typist hours @ $

________________ hours @ $

________________ hours @ $

TOTAL LABOR $

Overhead Factor ____________ (including payroll additives) $

Transportation:__________ miles @ $__________ $ (This rate is not to exceed the rate allowed by State law.)

Subsistence: Meals and Lodging $

SUB TOTAL $



FIXED FEE FOR PROFIT $

MAXIMUM AMOUNT PAYABLE FOR PHASE I ENGINEERING $

Maximum Engineering Cost for Phase II



Rodman hours @ $

Draftsman hours @ $

Typist hours @ $

________________ hours @ $

________________ hours @ $

TOTAL LABOR $

Overhead Factor __________ (including payroll additives) $



SUB TOTAL $


MAXIMUM AMOUNT PAYABLE FOR PHASE II ENGINEERING $

Maximum Engineering Cost for Phase III





Rodman hours @ $

Draftsman hours @ $

Typist hours @ $

_________________ hours @ $

_________________ hours @ $

TOTAL LABOR $

Overhead Factor __________ (including payroll additives) $



SUB TOTAL $


MAXIMUM AMOUNT PAYABLE FOR PHASE III ENGINEERING $

V. Construction Cost Estimate For Project



The estimated relocation cost is in the amount of $________________exclusive of engineering cost and is described in Exhibit B which is attached hereto and is hereby made a part hereof.

VI. Ownership of Engineering Documents:

Upon completion of the work covered by this agreement and receipt of all monies due, the ENGINEER, will deliver to the OWNER all survey notes, computations, maps, tracings and all other documents and data pertaining to either the work or the project, which material will become the property of the OWNER. All original tracings of maps and other engineering data furnished to the OWNER by the ENGINEER will bear thereon the endorsement of the ENGINEER.

VII. Delays and Extension:

In the event additional work or unavoidable delays prevent completion of the services to be performed under this agreement in the time specified in Article III, the OWNER may grant, subject to prior written approval of the State, a time extension provided written application is made by the ENGINEER within ten (10) days after the alleged delay has occurred. Any time extensions for extra work will be based on the complexity, extent and magnitude of the extra work.

VIII. Termination or Abandonment:

The OWNER will have the absolute right to abandon the work or to amend the work or project at any time, and such action on its part will in no event be deemed a breach of contract.

The OWNER has the right to terminate this agreement and make settlement with the ENGINEER upon the basis of actual cost for work performed in accordance with this agreement at the time of termination, plus the percentage of profit based upon the work completed to date of termination.

In the event the Alabama Department of Transportation notifies the OWNER, at any time that the ENGINEER should cease work, the OWNER will immediately notify the ENGINEER to cease work and the ENGINEER will cease all work immediately upon notification by the OWNER to cease work. No payment and no reimbursement will be made for work performed by the ENGINEER beyond a period of four (4) working days following notification by the OWNER to cease work. Any payment to the ENGINEER by the OWNER, and any reimbursement to be made to the OWNER will be for the actual cost of the ENGINEER plus the pro-rated portion of the fixed fee for profit, based on the work completed at the end of the four (4) day period. This pro-ration will be developed by dividing the value of the work completed to date under that phase by the total value of that phase of work less profit, to arrive at a multiplier. This multiplier will then be multiplied by the total fixed fee for profit for that phase of work applicable, to arrive at a dollar value for the amount of fixed fee for profit to be paid by the OWNER.

IX. General Compliance With Laws:

The UTILITY will observe and comply with the provisions of all Federal, State and Municipal laws and regulations as the provisions thereof are applicable hereto in the performance of work hereunder, including the Clean Water Act of 1987, the Alabama Nonpoint Source Management Program of 1989, and the regulations of the Environmental Protection Agency (EPA) and the Alabama Department of Environmental Management (ADEM). The UTILITY will procure and pay for all licenses and permits that are necessary for its performance of the work.

X. Subletting, Assignment, or Transfer:



This contract shall be binding upon the successors and the assigns of the respective parties hereto.

There will be no assignment, subletting, or transfer of the interests of the ENGINEER in any of the work covered by this agreement without written approval of the State and consent of the OWNER. In the event the OWNER gives such consent with prior approval of the State, all the terms and conditions of this agreement will apply to and bind the party or parties to whom such work is consigned, sublet or transferred as fully and completely as the ENGINEER is hereby bound and obligated.

XI. Employment of Federal, State, County or City Workers:

Without the written consent of the Alabama Department of Transportation the ENGINEER will not engage, on full or part-time or other basis during the period of the agreement, any professional or technical personnel who are or have been at any time during the period of this agreement or within a period of one (1) year immediately prior thereto, in the employ of the Federal Highway Administration or the Highway Organization of any State, County, or City, except regularly retired employees, retired for a period of at least one (1) year prior to the effective date of this agreement.

XII. ENGINEER’S Endorsement:

The ENGINEER will endorse the original title or cover sheet of all sets of plans, estimates, reports and engineering data required to be furnished by him under the terms of this agreement. All endorsements will contain the seal and signature of an Alabama Licensed Professional Engineer and such Engineer can be a bona fide employee of the ENGINEER hereunder. In the event the ENGINEER does not perform as Project Engineer or Manager, the ENGINEER will designate a Project Engineer or Manager who has authority to receive and act upon instructions and directions of the OWNER and whose actions and decisions are binding on the ENGINEER.

XIII. Conditions Affecting Work:

The ENGINEER will be responsible for taking steps reasonably necessary to ascertain the nature, general location, scope and type of work hereunder and the general and local conditions which can affect the work or the cost thereof. Any failure by the ENGINEER in such responsibility will not relieve the ENGINEER from the obligation to successfully perform the work without additional expense to the OWNER. The OWNER assumes no responsibility for any understandings or representations by any of its officials, employees or agents prior to or at the time of the execution of this agreement.

This agreement, upon execution by the parties hereto and after approval of the Alabama Department of Transportation, supersedes any previous agreement made between OWNER and the ENGINEER on this particular relocation of utility facilities made necessary by construction of this Highway project.

The OWNER and the ENGINEER recognize the obligation of the Alabama Department of Transportation for reimbursement to the Utility, for work performed under this agreement will be subject to the execution of either a SAHD No. 2 or 3 Standard Agreement or a Special Agreement as might be applicable to the relocation involved, between the OWNER and the Department, which agreement will contain provisions assuring that the OWNER has complied or will comply with and fulfill all obligations, requirements, notifications and provisions of this agreement which are for the benefit or protection of the Department, and that the OWNER has obtained or will obtain all approvals and authorizations of the Department which are provided for in this Engineering Consultant Agreement, and no reimbursement payments will be due and none will



be made by the Department until such Agreement as applicable is executed and complied with faithfully by the OWNER and the ENGINEER.

It is intended that the word State, when used in this agreement, includes the Alabama Department of Transportation.

IN WITNESS WHEREOF, the parties have caused this Agreement to be executed by their respective officers, officials and persons thereunto duly authorized; for the ENGINEER on the _____________________day of ____________________, 19____, and the OWNER on the _________day of ___________________19_______.

OWNER:

WITNESS (Legal Name of Utility)

__________________________________________

BY: ____________________________________

(Name and Title)

WITNESS ENGINEER:

(Legal Name of Engineer)

BY: ____________________________________

(Name and Title)

Certification of Consultant

I hereby certify that I am the ___________________________________ and duly authorized Representative of the

(Title)

firm of _______________________________________________________________________________________ whose address is _____________________________________________________________________________________

and that neither I nor the above firm I here represent has:

(a) employed or retained for a commission, percentage, contingent fee, or other consideration, any firm or person (other than a bona fide employee working solely for me or the above consultant) to solicit or secure this agreement;

(b) agreed, as an expressed or implied condition for obtaining this contract, to employ or retain the services of any firm or



person in connection with carrying out the agreement, or

(c) paid, or agreed to pay, to any firm, organization or person (other than a bona fide employee working solely for me or the above consultant) and fee, contribution, donation, or consideration of any kind for, or in connection with, procuring or carrying out the agreement; except as here expressly stated (if any):

I acknowledge that this certificate is to be furnished to the Alabama Department of Transportation and the Federal Highway Administration, U.S. Department of Transportation, in connection with this agreement involving participation of Federal-aid highway funds, and is subject to applicable State and Federal laws, both criminal and civil.

(Date) (Signature)



ALDOT Utility Manual - ALDOT - Home · ALDOT Utility Manual 3. Omitted 4. Expansion 5. Permit...

Documents

Transcript of ALDOT Utility Manual - ALDOT - Home · ALDOT Utility Manual 3. Omitted 4. Expansion 5. Permit...