UDOTConstruction Inspection Guide CHAPTER 10: Utility & Railroad
Updated January 2015
Table of Contents Utility and Railroad 10.1
Railway-Highway Provisions
UDOT enters into Agreements with railroad companies and pays to modify railroad crossings…
Inspection Preparation
Inspectors overseeing railroad work on projects should have a copy of and be familiar with…
Pre-Inspection
The contractor is required to hold a pre-construction conference at least 15 days before beginning…
Resources
10.2
Utilities Cooperation
UDOT notifies, makes arrangements, and enters into agreements with utility companies to relocate…
There are many Federal, State, industry and internal UDOT documents and resources available for…
Inspection Preparation
Inspectors responsible to oversee and manage work involving railroad companies will need to be…
Pre-Inspection
The major components of inspecting and managing railroad work are monitoring schedule…
Resources
The minimum daily record information required when work is being performed on or over…
Certification & Training
UDOT reimburses railroad companies for the actual cost of work performed after receipt of itemized…
Inspection
00725 1.15 Rail- Highway Provision Checklist
Documentation
Certification & Training Inspection
Documentation Payment
Have copies and become familiar with the scope of work and reimbursement terms in the agreement… Utility company representatives should be invited to the Pre-construction conference… There are many Federal, State, industry and internal UDOT documents and resources available … Inspectors responsible to oversee and manage work involving utility companies need to be certified… The major components of inspecting and managing utility work are monitoring schedule coordination… The minimum daily record information required when work is being performed by utility companies..
Payment Additional information can be found in the
UDOT reimburses utility companies for the actual cost of work performed after receipt of itemized…
Utility Coordination Manual
00725 1.15 Utility Cooperation Checklist
Chapter 10: Utility & Railroad
10.0 INTRODUCTION
Chapter 10
The coordination and management of utility and railroad work required to accommodate highway construction is vital to the success of projects. Monitoring schedule coordination and maintaining force account records on utility and railroad work are the responsibility of UDOT’s project representatives. When working on or near railroad facilities, ensuring that the contractor is complying with all applicable safety requirements is necessary to ensure the safety of the workers and the railroad company’s personnel and passengers.
10.1 RAILWAY-HIGHWAY PROVISIONS – SECTION 00725 UDOT enters into Agreements with railroad companies and pays to modify railroad crossings or construct bridges over railroad tracks. UDOT’s contractors are required to enter into Contractor Right of Entry Agreements with the railroad companies to define specific safety measures and insurance coverage required while performing work on railroad property or over railroad tracks. Railroad flagging protection is a major component of working safely around rail facilities.
Inspection Preparation Inspectors overseeing railroad work on projects should have a copy of and be familiar with the Crossing or Structure Plans and Typical Sections, and the applicable Agreement between UDOT and the railroad company. Different railroad companies have different agreement formats, but all agreements will include at least a description of the work to be performed by the railroad and UDOT; a cost estimate of the work; and contact information for flagging, scheduling and emergencies.
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The inspector should also have a copy of and be familiar with the Contractor’s Right of Entry Agreement and any other applicable plans requiring approval by the railroad company such as Shoring Plans, Demolition Plans, Falsework Plans, Erection Plans, Erosion Control Plans & Construction Phasing Plans.
Pre-Inspection The Contractor is required to hold a preconstruction conference at least 15 days before beginning any construction work on railroad right of way. It is the contractor’s responsibility to coordinate a work schedule with the railroad company and to give at least 48 hours verbal notice to the railroad’s Manager of Track Maintenance or equivalent position identified in the project plans. The contractor is solely responsible for requesting and releasing flagger protection based on the schedule of the work. All meetings, notifications and flagger scheduling dates should be noted in the project records.
Resources There are many federal, state, industry and internal UDOT documents and resources available for inspectors wanting or needing more information about railway-highway crossings and issues. References include: • Project Plans and Special Provisions • UDOT Standard Specifications • UDOT Standard Drawing • UDOT Railroad Coordination Manual of Instruction • Code of Federal Regulations Title 23, Chapter 646, Railroads • Code of Federal Regulations Title 23, Chapter 140I, Payment for Railroad Work • FHWA Railroad Highway Crossing Handbook • UPRR-BNSF Guidelines for Grade Separation Structures • UPRR Temporary Shoring Guidelines • UPRR Overhead Structure Demolition Guidelines • General Code of Operating Rules (GCOR) Page | 2
Chapter 10: Utility & Railroad
CHAPTER 10
Certifications and Training Inspectors responsible to oversee and manage work involving railroad companies and property will need to be certified through the UDOT CEMT Program. Inspectors, other UDOT personnel and all contractor employees working on or near the railroad’s right of way are required to take Contractor Orientation Safety Classes and maintain their certification for the duration of the work. The training is offered on line at http://www.contractororientation.com/. In addition, all personnel, contractors and subcontractors must complete a UTA specific safety training course. Contact Mr. Martin Cocker, Rail Safety Administrator, 900 North 500 West, Salt Lake City, UT 84116, Email Address: mcocker@rideuta.com, (801) 514-6442 to schedule this mandatory training. Both courses are required to be completed annually.
Inspection The major components of inspecting and managing railroad work on projects are monitoring schedule coordination, documenting that safety standards are being met, and maintaining daily or weekly force account records on work performed by the railroad companies or their contractors. The contractor is responsible for the safety of the work site as a condition of his Right of Entry Agreement. It is the contractor’s responsibility to notify the railroad companies when work will be performed within a certain proximity of the rails and the railroad company will determine if flagging protection is required. According to the Standard Specifications, the Contractor is instructed to include his anticipated flagging costs in the Mobilization Bid Item. UDOT pays the
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railroad company directly for flagging, inspection or cleanup costs incurred on the project and withholds the amount from the contractor’s pay estimates under a construction accounting item for Railroad Flagging, Inspection and Cleanup. Because the notice required to schedule flagging protection varies by railroad company, it is important to document when a contractor makes a flagging request. For example, Union Pacific Railroad now requires 30 days notification to bulletin for and assign a flagman to a project. If a contractor orders a flagger beginning on a certain date and the contractor is not ready to start work on that date, he is still obligated to pay the flagger from the day the coverage was requested. For UPRR, 5 days notice is required to release a flagger. It is important that the contractor manage the scheduling of flagger protection, and that the inspector insure that flagging costs are properly reimbursed. For estimating purposes, a flagging day is estimated to represent one-12 hour day shift. Rates for double, night, weekend and holiday shifts are generally higher than weekday shifts. Performing work within the specified proximity of a railroad facility without the proper flagman protection must not be allowed. The Engineer has the authority to suspend the work, wholly or in part, if the Contractor does not correct conditions unsafe for the project personnel or the public. Please note that the contractor is also responsible for any costs incurred by the railroad companies for construction inspections during the work, and for any cleanup costs incurred by the railroad as a result of the construction work. Cleanup costs could include the restoration of fencing, drainage, removal of debris, correction of rail deformation due to settling or disturbance, etc. When construction work is to be performed by the railroad company on its own facilities, they are required to notify the Resident Engineer in advance of beginning work. The notification time frame varies by railroad company. On Federal Aid Projects, the inspector is responsible to ensure that materials used to construct or adjust railroad facilities meet Buy America requirements. Certification forms have been developed for railroad and utility companies to certify compliance with Buy America on projects. They are not required to submit step certification to UDOT, but are required to maintain the supporting step certification in their files in case of a federal audit.
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Chapter 10: Utility & Railroad
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Documentation The minimum daily record information required when work is being performed by a railroad company or highway contractor, on or over the property belonging to railroad companies is: Date Employee in Charge (Flagger) Name Type of On Track Safety (OTS) Track Number and Location Time of Day, From and To Any additional notes Because payment for railroad flagging, inspection and cleanup costs, and all construction performed by railroad companies is based on actual costs, daily or weekly force account records are required. In very limited situations, payment by Lump Sum is allowed. Please refer to the railroad agreement to determine the payment method for the work on your project. Force account records for railroad work should include labor (name, title, hours worked), major materials and major equipment used. Hourly pay rates, small parts and small tools are not required. The inspector’s job is to “verify the work has been completed” and to provide information for use by the Auditors when reviewing final billings. The inspector is not responsible to oversee or verify work performed by railroad forces away from the project site, such as engineering reviews, board placement in advance of the work site or pre-placement assembly of materials at a manufacturer’s or rail yard. It is preferable that the daily records be signed by the inspector and a representative of the railroad, but if signature by the railroad cannot be obtained, unsigned records are better than none, so KEEP TAKING THEM. It is the Resident Engineer’s responsibility to keep daily records and verify billings.
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Payment UDOT reimburses railroad companies for the actual cost of work performed after receipt of itemized billings, including any necessary supporting sheets. Railroad companies are instructed to submit billings to the Estimates and Agreements Specialist in the Construction Division office in Salt Lake City. The Specialist will log the billings into PDBS for tracking, and forward the billings to the appropriate Resident Engineer for verification and payment. Railroad companies may bill progressively or send one final bill upon completion of the work. According to the agreements between UDOT and the railroad company, UDOT is required to pay bills within a certain time after receipt, typically 60 days. It is important that UDOT oversight and daily recordkeeping be kept up to date so billings can be paid promptly upon receipt by the Resident Engineers. If there are questions about a bill, please contact the railroad representative and notify the Estimates and Agreements Specialist so the billing question can be resolved, don’t just sit on them. If it becomes necessary to withhold payment for a portion of the bill, authorize payment for that part of the bill that is not in dispute. Upon receipt and verification of the final billing from the railroad company, a Form C-193, Utility Fiscal Review Report, and Form C-193A, Utility Salvage Report, will be completed and submitted, along with the Daily Force Account Forms, to the Region Contract Specialist or the Estimates and Agreements Specialist for payment and submittal to Internal Audit for review.
Common Issues • Inadequate notifications by contractor to railroad or railroad to UDOT. • Contractor does not understand or underestimates flagging costs. • Contractor performs work near tracks without proper flagging protection. • Concerns with billed charges. 00725: RAILWAY-HIGHWAY PROVISIONS Copies of Railroad Agmt, Contractor’s Right of Entry Agmt & other RR approvals. Preconstruction Meeting with Railroad 15 Days in advance of work. Notify Manager Track Maintenance or equivalent 48 Hours in advance of work. Buy America Step Certification Documentation, if applicable. Daily record of On Track Safety measures in place. Daily Force Account Records for flagging, inspection or construction work performed by railroad company or its contractors.
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Chapter 10: Utility & Railroad
CHAPTER 10
10.2 UTILITIES COOPERATION – SECTION 00727 UDOT notifies, makes arrangements, and enters into agreements with utility companies to relocate or adjust utility facilities, and reimburses relocation costs required to accommodate highway construction projects. Typically, the relocation of utility company facilities located within state rights of way are reimbursed 50%. Municipal, County and Local District utility relocations are reimbursed 100% of the cost to relocate their facilities.
Inspection Preparation Have copies and become familiar with the scope of work and reimbursement terms in the Agreements with utility companies on the project. Agreements may contain other company or site specific requirements that inspectors must be aware of. Review the project Plans and Special Provisions related to the utility relocation work, including 00555, Limitation of Operations. Review the contractor’s Baseline Construction Schedule for coordination of activities with utilities, local governments, and special service districts; including significant interaction and coordination points with outside entities. The Schedule Narrative should include a description of how the coordination with other entities will be handled.
Pre-Inspection Utility company representatives should be invited to the Project Preconstruction Conference. Depending on the scope and scale of the required utility relocations, separate or additional utility specific schedule or pre-activity meetings are recommended.
Resources There are many federal, state, industry and internal UDOT documents and resources available for inspectors wanting or needing more information about utility coordination and relocation issues. References include: • Project Plans & Special Provisions • UDOT Standard Specifications
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• UDOT Standard Drawing • UDOT Utility Coordination Manual of Instruction • Code of Federal Regulations Title 23, Chapter 645, Utilities
Certifications and Training Inspectors responsible to oversee and manage work involving utility companies need to be certified through the UDOT CEMT Program.
Inspection The major components of inspecting and managing utility work on projects are monitoring schedule coordination, insuring the contractor is providing survey and location information to utility companies, and maintaining daily or weekly force account records on work performed by utility companies or their contractors. Many project contracts, including CMGC and Design Build RFPs, now require the contractor to designate a Utility Coordinator for the project. Monitoring the performance and effectiveness of the contractor’s utility coordination effort will help prevent delays and contribute to the successful completion of the project. The contractor is required by law to contact Blue Stakes and keep all facility location markings in place during the duration of construction on highway projects. The contractor is required to use work procedures that consider the potential of inaccurate or inexact utility locations and to cooperate with utility owners to adjust facilities, avoid service interruptions and protect utilities that will remain in place during construction. The contractor is responsible to notify utility owners and repair damage to utility facilities at no cost to UDOT. Per Section 01721 Survey, 3.16 Utilities, the contractor is responsible to stake control lines, horizontal and vertical, in cooperation with utility companies so their facilities can be relocated to the proper final position. The contractor is responsible for costs incurred to relocate any utility more than once due to inaccurate or incomplete staking. Page | 8
Chapter 10: Utility & Railroad
CHAPTER 10 Because reimbursement for utility work is typically based on actual costs, utility companies are required to notify the Resident Engineer before beginning work on projects to arrange for daily recordkeeping. Notification time frames vary depending on the company and the circumstances. In some cases, utilities can be reimbursed by Lump Sum, check the utility agreements to verify the payment method for each situation. If a utility company experiences emergency work of their own during work on a highway project, once they respond to the emergency, they are required to informally notify the Resident Engineer upon return to the project. UDOT’s project personnel do not inspect the installation of private utility facilities with respect to issues such as material quality certifications, workmanship, backfill classification or compaction, except on Federal Aid Projects, the inspector is responsible to insure that materials used to complete utility facility relocations meet Buy America requirements. Certification forms have been developed for railroad and utility companies to certify compliance with Buy America on projects. They are not required to submit step certification to UDOT, but are required to maintain the supporting step certification in their files in case of a federal audit. Private utility facility installations are subject to their respective company and industry standards, and all quality control functions are the responsibility of the utility companies. Utility installation and relocations such as conduits, vaults, water lines, sanitary sewers and storm drains that are performed by the Contractor as part of the project contract are tested, inspected, documented and paid for by UDOT personnel like any other contract item. Consequently, the installations are subject to the requirements of the Contract, UDOT’s Standard Specifications and the Minimum Sampling and Testing Requirements. If there are significant changes in the scope of the utility work, extra work or changes in the planned utility work covered by the Reimbursement Agreement, a Change Order or Supplemental Agreement should be executed. Utility Change Orders are prepared in PDBS similar to Contract Change Orders. A Form C-118, Utility Contract Overrun Funding Need (UDOFN) Form must be completed to add additional funding to the Utility Reimbursement Agreement for the Change Order amount. If a Supplemental Agreement is necessary, contact your Office Technician and Region Utility and Railroad Coordinator for assistance.
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Documentation The minimum daily record information required when work is being performed by utility companies is: • Companies performing work and location • Date work started by each utility company • Traffic Control in place, if applicable • Any additional notes, especially concerning scheduling & work sequence* • Date work completed by each utility company Daily or weekly force account records, including labor, materials and equipment, are kept in duplicate on a mutually agreeable form signed by both utility and UDOT representatives. *It is vitally important that UDOT monitor schedule commitments and performance by the Contractor and the utility companies. In the event of a delay claim, it is impossible to assign responsibility for the delay without adequate documentation as required by Standard Specification 00555, Prosecution and Progress 1.10 Construction Schedule Updates.
Payment UDOT reimburses utility companies for the actual cost of work performed after receipt of itemized billings, including any necessary supporting sheets. Utility companies are instructed to submit billings to the Estimates and Agreements Specialist in the Construction Division office in Salt Lake City. The Specialist will log the billings into PDBS for tracking, and forward the billings to the appropriate Resident Engineer for verification and payment. Utility companies may bill progressively or send one final bill upon completion of the work. According to the agreements between UDOT and the utility companies, UDOT is required to pay bills within a certain time after receipt, typically 60 days. It is important that UDOT oversight and daily recordkeeping be kept up to date so billings can be paid promptly upon receipt by the Resident Engineers. If there are questions about a bill, please contact the utility representative and notify the Estimates and Agreements Specialist Page | 10
Chapter 10: Utility & Railroad
CHAPTER 10 so the billing question can be resolved, don’t just sit on them. If it becomes necessary to withhold payment for a portion of the bill, authorize payment for that part of the bill that is not in dispute.If cost overruns are experienced in the planned work that are not the result of scope or changes in the planned work, a Form C-118, Utility Contract Overrun Funding Need (UDOFN) Form must be completed to add additional funding to the Utility Reimbursement Agreement amount. Upon receipt and verification of the final billing from the utility company, a Form C-193, Utility Fiscal Review Report, and Form C-193A, Utility Salvage Report, will be completed and submitted, along with the Daily Force Account Forms, to the Region Contract Specialist or the Estimates and Agreements Specialist for payment and submittal to Internal Audit for review.
Common Issues • Inadequate communication and schedule coordination between contractor and utility companies during development of the Baseline Schedule. • Inadequate notification by utility companies to UDOT prior to commencing work • Inadequate schedule coordination by contractor and between utility companies during construction. • Failure of utility companies to perform work on schedule. • Damage to existing or relocated utility facilities by contractor or other utility companies due to inadequate staking or failure to maintain Blue Stakes markings. • Daily Force Account Records not kept or gathered by UDOT. • Concerns with billed charges.
00727: UTILITIES COOPERATION Copies of Utility Reimbursement Agreements Preconstruction Meeting with Utility Companies Notification of Work Beginning by Utility Companies Documentation of Work Start and Complete Dates for Form C-193 Buy America Step Certification Documentation for Utility Placed Materials, if applicable. Review of Traffic Control for Utility Work, if applicable. Daily Force Account Records for construction work performed by utility companies or their contractors, including schedule commitment notes, if necessary.
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Construction Inspection Guide Chapter Links
1-Preface & Introduction
2-Traffic Control
3-Demolition and Earthwork
4-Drainage
5-Pavement & Materials
6-Structures
7-Traffic Signals, Lighting, ATMS
8-Striping, Signing, Safety Features
9-Landscaping, Fencing, Incidental Const.
10-Utilities
11-PDBS
12-Crash Cushion & Barrier End Treatments
Construction Inspection Guide
udot.utah.gov/go/construction