Research Initiatives at TxDOT Related to Utilities and Right of Way

Research Initiatives at TxDOT Related to Utilities and Right of Way Transportation Research Board Workshop on Transportation Law, New Orleans, LA July 17, 2012

Overview 2 TxDOT utility/right of way research projects Recently completed (3) Completing this FY (2) Starting this FY (1)

Projects Recently Completed 3 Integrating Utility Conflict Elimination and Environmental Process (0-6065, 2010) Feasibility and Applications of RFID Technologies to Support Right of Way Functions (0-6142, 2010) Evaluation of Overweight Load Routing on Buried Utility Plant (0-6394, 2011)

Integrating Utility Conflict Elimination and Environmental Process (0-6065) Better utility data during preliminary design? Increasing the level of definition of design components during preliminary design? 4

Integrating Utility Conflict Elimination - Results Conclusion: Yes/Yes! 10 optimization strategies Involve environmental and right-of-way staff in planning and programming Include some design elements during preliminary design Address utility issues in constructability review during preliminary design 5

Integrating Utility Conflict Elimination - Products Educational materials PowerPoint, handouts Business process model TxDOT business process explorer (TxBPE) 6

RFID Technologies to Support Right of Way Functions (0-6142) Feasible to use RFID technologies to manage utilities (and other assets) in the ROW? Identified potential applications of RFID technology Laboratory evaluation of RFID tags in a range of buried applications High-level RFID software integration schema for RFID application to asset management Cost-benefit analysis of RFID technologies 7

8 RFID Technologies to Support Right of Way Functions (0-6142) 8 8

RFID Technologies to Support ROW Results Conclusion: Depends Retroactive implementation of RFID would be challenging Extensive use necessary before benefits can be realized Concern over RFID functionality of life of buried utilities (20-50 years) Benefit for RFID during utility relocation 9

Evaluation of Overweight Load Routing on Buried Utility Plant (0-6394) Assessment of potential impact of overweight loads on buried utilities adequacy of Utility Accommodation Rules to deal with overweight loads on buried utilities Recommendations for business process for TxDOT overweight routing coordination changes to TxDOT manuals changes to the UAR 10

Evaluation of Overweight Load Routing - Activities Review of technical design and engineering requirements, UAR, TxDOT business process for overweight load permitting Stakeholder outreach Impact analysis Sensitivity analysis, finite element analysis Lab testing Jointed and unjointed PVC pipe Jointed concrete pipe 11

12 Evaluation of Overweight Load Routing 12 on Buried Utility Plant (0-6394)

Evaluation of Overweight Load Routing - Results Current UAR standards for water and sanitary sewer appear adequate Recommendation for depth of cover to improve consistency and clarity Sharing of vulnerable utility facility locations with TxDOT permit routing system 13

Projects Completing This Year 14 Improving the Response and Participation by Utility Owners in the Project Development Process (0-6624) Best Practices for Utility Investigations in the TxDOT Project Development Process (0-6631)

Improving Participation by Utility Owners in Project Development (0-6624) Strategies to encourage earlier, effective participation by utility owners Recommendations for changes to business processes and manuals Potential changes in laws and regulations Implementation plan and guidebook Draft materials for regional workshops 15

Improving Participation by Utility Owners Project Focus Modernization of the utility process Use of utility conflict matrices (UCMs) and associated procedures Streamlining and standardization of utility cost data submissions Implementation plan and requirements for core skill training 16

Standardized Utility Process Level 1 17 Planning and Programming Preliminary Design Detailed Design Letting Construction Post Constrn. Scoping, Selection, and Scheduling Alternative Analysis and Preliminary Plans Environmental Process Environmental Clearance Environmental Re-evaluation Right of Way Map Development Property Acquisition and Relocation Assistance Right of Way Project Release Property Management Preliminary Utility Conflict Analysis Utility Conflict Analysis, Agreements, Adjustments, and Reimbursement Preliminary input to planning and programming Design and PS&E Assembly 30% 60% 90% Letting Construction

Standardized Utility Process Level 3 18 Planning and Programming Preliminary Design Detailed Design Letting Construction Post Construction Scoping, Selection, Financing, and Scheduling Identify project need and scope Develop transportation plans Identify project requirements and conduct studies Prepare cost estimate and identify funding sources Authorize project development Required documents: Transportation Commission approval (Minute order) Construction CSJ Examples include additional traffic data, existing utilities, aerial photography, topographic surveys, and other surveys. Forms include, but are not limited to, the following: ROW-RM-37 (LPA coordinates utility adjustments) ROW-RM-129 (TxDOT coordinates utility adjustments and LPA escrows funds) If federal-aid, Federal Project Authorization and Agreement (FPAA) Secure federal, state, and local agreements Activity Activity: Unit of work. Types of activities include tasks and sub-processes. Legend Exclusive gateway: When splitting, only one branch is activated. When merging, the active branch must complete. Alternative Analysis and Preliminary Environmental Process Plans Examples include Statewide Examples include feasibility study, Transportation Plan, Unified planning and environmental linkages (PEL) Transportation Program, and Statewide study, traffic study, and identification of Transportation Improvement Program. project features such as toll lanes, HOV lanes, and railroad corridor preservation Required documents (depending on project type): Partial design summary report Advanced planning risk analysis Provide preliminary input to planning and programming Collect data for preliminary design Conduct design concept conference Obtain right-of-entry from property owners Identify public and Conduct early environmental interagency concerns coordination Includes initial site assessment. Select preferred alternative and develop geometric Develop alternative schematic Send geometric alignments schematic to utility (preliminary owners schematics) Conduct value engineering study Prepare draft environmental document Conduct public meetings Activity Circulate, review, Obtain approval and revise for final geometric geometric schematic schematic Activity Including handling contamination Develop final Obtain Meet environmental according to existing laws and Conduct environmental environmental commitments after regulations and coordination environmental document clearance clearance during right of way acquisition. re-evaluation Required documents: Public involvement notes and comments Purpose and need statement Including one or Relevant environmental analyses and studies more required Landscape recommendations public hearings Environmental migration plans Public comments and responses Letting Pool Lane Lane Utility-related activity. Milestone activity in project development process. Pool: Process partition that represents a major functional area or role. It may include one or more lanes. A lane is a process sub-partition within a pool. Group: Set of graphical elements within the same category. Project phase. Parallel gateway: When splitting, all branches are activated simultaneously. When merging, all incoming branches must complete. Start event (conditional). End of process. Annotation Annotation. Intermediate event. Intermediate event (conditional, catching). Sequence flow. Right of Way Map, Authorization to Acquire Property, Property Acquisition, and Relocation Assistance Acquisition Relocation Assistance Advisory Provide preliminary input to planning and programming Conduct preliminary Includes enter project information right of way into ROWIS and request right of research way CSJ Coordinate with other stakeholders on engineering, potential relocation, and hazmat issues Prepare right of way map and property descriptions Approve right of way map and enter data into TxDOT systems Obtain right of way project release Required documents: Approved right of way map Environmental clearance Executed funding agreements Conduct appraisal Establish just compensation Prepare written offer Prepare and execute joint-use/ multiple-use agreements Acquire by negotiation Acquire by condemnation Require owner to surrender possession Determine relocation assistance eligibility Project phase divider. Prepare right of way and encroachment certifications Provide relocation assistance advisory (residential) Provide relocation assistance advisory (non-residential) Issue relocation payments (residential) Issue relocation payments (non-residential) Property Management Disposal of improvements can not begin until the State owns the improvements and should be completed before construction begins unless disposal is in the construction contract. Notes: Property management activities are arranged for presentation purposes only. They do not indicate specific duration or an ordered sequence. Some activities are not part of the project development and delivery process. They are shown here for completeness because they are normally included in the property management function at state DOTs. Dispose improvements Lease real property assets Inventory and manage assets Dispose surplus right of way property interests Dispose surplus non right of way property interests Data Collection and Assessment Conduct preliminary utility investigations Is utility adjustment necessary? Conduct preliminary utility impact assessment Follow procedures if compensable facilities or property interests exist (e.g., in case of existing facilities not needed for service). No Probably (more accurate Survey and plot visible utility appurtenances utility data needed) Yes Utility adjustment process Communicate starts. results of analysis to utility owners A Follow procedures if compensable facilities or property interests exist Is utility adjustment (e.g., in case of existing facilities not Is utility adjustment necessary? needed for service). necessary? No Use geophysical Assess utility Probably (QLB Assess utility methods for utility impacts investigation needed) impacts investigations Yes Communicate results of analysis to utility owners A Follow procedures if compensable facilities or property interests exist (e.g., in case of existing facilities not needed for service). No Expose and survey underground utility Probably (QLA investigation needed) facilities Yes Communicate results of analysis to utility owners Utility adjustment process starts. A Is utility adjustment necessary? Assess utility impacts Follow procedures if compensable facilities or property interests exist (e.g., in case of existing facilities not needed for service). No Yes Communicate results of analysis to utility owners Utility adjustment process starts. A Utility adjustment process starts. Utility Conflict Analysis, Permits, Adjustments, and Reimbursement Utility Coordination Involves conducting a high-level assessment of major utility facilities that Provide preliminary Provide support for might be affected by the proposed project. input to planning right of way and programming estimate Provide input on Send list of Conduct annual project list to be upcoming projects utility coordination sent to utility to utility owners meeting owners Conduct division-level coordination meeting(s) Right of Way Division, Texas Turnpike Authority Obtain early right of way release for utilities A If needed. Typical activities include engineering, prefabrication of materials, and acquisition of easements. May be requested See 43 TAC concurrently with FPAA. 21.22 for details. Officially notify Request FHWA utility owners that Alternate Procedure adjustment is Include examining if Approval Utility adjustment B Utility adjustment necessary there is federal aid and process starts. process starts. (when forms ROW-RM-129 the need for a utility and ROW-RM-37. Right of way project B adjustment has been release needs to be in established) Federal place. Is adjustment included aid in highway contract? participation No Officially notify Review Evaluate need to State coordinates utility owners that responsibilities for include adjustment utility adjustments adjustment is utility coordination Yes in highway contract Yes necessary A No See 43 TAC LPA/third party 21.22 for details. Is utility adjustment eligible for coordinates Utility adjustment reimbursement (full or partial)? Utility utility adjustments process starts. adjustments are reimbursable if: The highway is part of the Interstate B System. Actual The utility company has a Right of way project cost compensable property interest. release needs to be Select accounting The highway is a turnpike or toll in place. method. Officially notify project. utility owners that adjustment is necessary See 43 TAC 21.22 for details. Lump B sum Utility adjustment process starts. Utility agreement assembly documents: Standard utility agreement and supporting forms. Right of way may need to be Clear right of way Utility plans. cleared so that utility needed for utility Utility estimate. adjustment can proceed. adjustment Supporting documentation. Transmittal memo from district to Division. According to approval Apply Texas Administrative Code authority level for district, See 43 TAC procedure (43 TAC 21.22) if region, or division. 21.22 for details. agreement to adjust is not reached. Apply Texas Prepare utility Process advance Approve utility Administrative Code agreement Execute utility funding agreement agreement procedure if Adjustment track assembly for agreement with utility owners assembly agreement is not approval reached If highway contract includes See 43 TAC utility items ineligible for 21.22 for details. TxDOT cost participation. Reimbursement track Review and Apply Texas approve LPA executes Administrative Code determination of agreement with LPA authorizes procedure if eligibility and/or utility owner if work Is adjustment agreement is not determine upper desired reimbursable? reached limit If LPA decides to request for an advance determination of reimbursement eligibility. Execute three-way Form 1082. See 43 TAC 21.22 agreement for details. Apply Texas Including TxDOT, LPA, and utility owner. Administrative Code Review and procedure if approve Utility agreement is not Installation Request reached Yes No Prepare utility Required for PS&E clearance package. certification and utility adjustment status form Submit utility status data sheets for federal aid projects with outstanding utility adjustments. Monitor the Monitor utility adjustments Monitor utility adjustments before letting submission of asbuilts after letting If LPA administers LPA reimburses utility owner for eligible utility payments utility adjustment costs if applicable. Audit utility Reimburse LPA for Reimburse utility owner for eligible utility adjustment costs adjustment eligible utility payments adjustment costs Depending on the complexity of the adjustment, several partial payments may be needed. Reimbursement process can extend past the construction phase. Provide feedback on eligible utility reimbursement cost estimate Provide feedback on preliminary schematic and markup utility locations Provide feedback on latest schematic and utility conflicts Is utility adjustment reimbursable? Design utility adjustments Form 1082 Coordinate with TxDOT, prepare, and submit Utility Installation Request LPA/third party coordination if applicable. Receive TxDOT approval for utility adjustment Adjust utility facilities before letting Submit as-built documentation Utility Owner Attend TxDOT annual coordination meeting Conduct early planning following meeting. Receive official notification that adjustment is necessary. B No Yes Request consultant approval Design utility adjustments Coordinate with TxDOT, prepare, and submit utility agreement assembly Receive TxDOT executed utility agreement Adjust utility facilities after letting Participate in division-level coordination meetings Utility adjustment not necessary.? If a utility design consultant is necessary. Submit Letter of No Conflict Request and receive reimbursement for eligible utility adjustment costs Collect supplemental, detailed design data Conduct design analyses Conduct Develop construction Conduct hydrologic environmental sequence and and hydraulic mitigation details detour/road closure analyses analysis Develop final horizontal and vertical alignments Complete roadway design Complete bridge design Conduct detailed design Complete design of Prepare cost miscellaneous estimate structures Execute railroad agreements Complete drainage design Prepare and submit PS&E package Required documents: Plan sheets Standard and special specifications General notes Special provisions Cost estimate Project agreements Design and PS&E Assembly Conduct introductory utility meeting Conduct design conference Held before the project design conference. Currently called preliminary design meeting in the Utility Manual. Send utility owners 30% design plans Typical progress: Construction sequence and conceptual road detour /closure plans developed Necessary permits obtained Environmental migration details designed Preliminary hydrologic study refined Stream crossing hydraulics and hydraulic report prepared Pavement report prepared Conduct 30% Send utility owners design meeting 60% design plans Conduct 60% design meeting Execute Complete sequence agreements and of work and traffic obtain permits control plan Typical progress: Stream crossing hydraulics completed Drainage considerations addressed Final vertical and horizontal alignments designed Complete operational design Complete design of retaining and noise walls Prepare construction specifications and provisions Send utility owners 90% design plans Conduct 90% design meeting Conduct final design and initial construction coordination meeting(s) Letting Typical progress: Plan/profile, cross-sections, and other additional roadway details finalized Operational details such as illumination and traffic control designed Hydraulic, drainage, and storm water details designed Traffic control during construction finalized Bridge, retaining walls, and other relevant structures designed Conduct pre-bid utility meeting Let project Held before or as part of project pre-bid conference. Typical activities include: Financial clearance Proposal preparation Pre-bid conference Contract award Construction Held before or as part of project preconstruction conference. Conduct preconstruction conference Conduct separate utility meeting after award Build and deliver project Conduct utility meetings during construction Could be held in conjunction with other project meetings that take place during construction.

Unit Cost Analysis Sheet 19 Unit Cost Analysis Get Items Calculate Amount Validate Unit Costs Item No. Item Name Unit Quantity Unit Cost ($/unit) Amount ($) Imported Amount ($) Validated Unit Cost ($) 101 Acquire ROW easement $ - $ - 102 Remove traffic signs $ - $ - 104 Remove concrete and asphalt pavement $ - $ - 450 Select backfill for structure $ - $ - 402 Trench excavation protection $ - $ - 701 16" open trench water main $ - $ - 702 Trenchless 16" water main $ - $ - 605 Manhole $ - $ - 612 Water valve $ - $ - 802 Abandone structure $ - $ - Total $ - $ - $ -

Best Practices for Utility Investigations in TxDOT Project Development (0-6631) Identify best practices for effective use of utility investigations in the project development process 20

Best Practices for Utility Investigations - Activities Review current techniques and technologies Review best practices in other states Survey TxDOT about current practices Examine effects of utility investigation services on project costs, efficiencies, and delivery Determine best practices Draft content for ROW Utility Manual Implementation plan, companion guidebook, and training materials 21

Best Practices for Utility Investigations - Products Research report (10/2012) Utility investigation trends in Texas (TRB paper accepted) Effects of utility investigation services on project delivery (TRB paper 2013) 20 best practices and district feedback 4-hour training course (08/2012) PowerPoint presentation Companion guidebook Implementation plan 22

Upcoming Projects 23 Determine the Cost for TxDOT to Process, Review, and Approve Utility and Driveway Permits (0-6756)

Cost to Process, Review, and Approve Utility and Driveway Permits (0-6756) Time/costs for processing utility and driveway permits Recommend fee schedule Feasibility of transferring permitting functions to municipalities Process for access management compliance if permitting transferred to municipalities Start: 09/01/2012 24

Thank You! 25 Questions, comments e-kraus@tamu.edu