105 Indiana Administrative Code Article 13 Utility Facility Relocations on Construction Contracts This module is about the administrative code that establishes a formal procedure for highway improvement projects that involve the relocation of utility facilities by providing for the exchange of information and implementation of their respective responsibilities among the INDOT, utilities, and the contractor.

Course Objectives At the end of this presentation, learners will be able to: Explain why 105 IAC 13 was developed State the purpose of 105 IAC 13 Know and apply definitions used in the rule Identify the major covered by the rule

Introduction The foundation for 105 IAC is within the code itself. IC 8-23-2-5 authorizes INDOT to develop and implement rules. Such rules are then promulgated under the Indiana Administrative Code. i.e. rule is put into effect. For 105 IAC, major utility companies, Indiana Construction Association, and American Society of Civil Engineers were all a part of the development. Finally, reviewed by the Attorney General and signed by the Governor

More about State Law Take a look at IC 8-23-2-5 (go to link below) See how the INDOT can develop and create plans, work plans, and budgets. http://iga.in.gov/legislative/laws/2017/ic/titles/008/#8-23-2-5     

State Law continued As you have read, it states that rules adopted shall not unreasonably affect the cost or impair the safety or reliability of a utility service. In addition, INDOT require utilities to assign an authorized representative for the purpose of highway improvement projects.

Policy vs Procedure It is policy. I05 IAC is law. It is policy. Within policy there will be several tasks. For the purpose of this module, policy is the focus. Other modules will elaborate on tasks for utility coordination.

Definitions from 105 IAC Review the definitions from 105 IAC. (http://www.in.gov/legislative/iac/T01050/A00130.PDF?&iacv=iac2017 ) These definitions are throughout the code and utility coordination. You should become very familiar with them as you proceed through the Utility Coordination training.

Match the correct term to definition Utility (2) Authorized Representative (10) Minor project (3) Facility relocation (7) Work plan (1) Compensable work (9) Facility (8) Major project (4) Improvement project (6) Initial Notice (5) A plan of the utility to carry out facility relocation to accommodate an improvement project. The owner of a facility. A project that is less than 12 months. A project that is more than 12 months. Written documentation prepared by the INDOT for an improvement project and sent by mail to the utility. The construction, reconstruction, rehabilitation, and process incidental to building, fabricating, or bettering any of the following: a state or interstate route, project within the state parks, a local project administered by the INDOT, or a project on the state highway system administered by a local authority. Any activity involving a facility that is needed for an improvement project including, but not limited to abandoning, altering deactivating installing, maintaining, modifying, removing, and supporting. All private, municipally, publicly, or cooperatively owned systems for supplying communications, power, light, heat, electricity, gas, water, pipeline, sewer, sewage disposal, or drain. A facility relocation for which the INDOT will reimburse the utility under Indiana law. The person named by the utility as its designated contact person.

RULE 3: Procedures 105 IAC 13 Rule 3 Procedures has six sections: Identification and Notification Verification of existing facilities Work plan development Construction Work Plan Revision Responsibilities As a utility coordinator, it is very important to understand policy. Several tasks happen within each one, but 105 IAC 13 defines each one.

13-3-1 Identification and Notification INDOT determines what facilities are located with the geographical limits of the project. Research permits filed, review maps filed by INDOT, investigate field conditions, contact local governments. Each utility will submit information regarding their Authorized Representative Name Street address Mailing address Phone number/cell number/fax number Email address INDOT sends the Utility the Initial Notice . The name or route number, or both, of the highway The geographical limits of the improvement project A general description of the work to be done The anticipated date an approved work plan will be needed The anticipated ready for contract date of the improvement project The name of the designer and other contact information, if available The department’s determination of whether the project is a major or minor Within 30 days after receiving the initial notice, the utility shall respond with the following: If there are or are not facilities within the geographical limits of the project. The description and location of the facility

13-3-2 Verification of Existing Facilities INDOT sends the utility plan sheets that shows all existing facilities that are within: The right-of-way of the project. Geographical limits of the project. Each utility shall submit in writing to INDOT within 30 days of receiving the plan sheets: Review the accuracy of the plan as to the location of the existing facility. Declare whether the information is accurate or inaccurate. Detail the inaccuracies in the information.

KNOWLEDGE CHECK What code authorizes INDOT to develop and implement rules. IC 8-23-2-5 IC 8-23-26 IC 8-1-261-17 IC 8-23-2-6 The utility shall respond within ____days of receiving the Initial Notice if there are or are not any facilities of the proposed improvement project. 45 days 15 days 30 days 90 days

13-3-3 Work Plan Development This phase has a lot of parts. Work Plan preparation goes on during this phase. INDOT sends the preliminary plans to the utilities that are involved. Conflict Analysis Each utility reviews the preliminary project plans. Informs INDOT in writing on any conflicts between its facility and the project within 30 days for minor projects and 60 days for major projects. INDOT reviews plans and recommended changes, possibly implements changes. After completion of preliminary project plan development, INDOT proceeds with final plans then sends to the utility.

Work Plan Development continued The Utility uses the final project plans to finalize a work plan and submit to INDOT whether or not any facility relocations are required and within 60 days after receiving the preliminary final plans for minor and 120 days for major. The work plan shall include the following: A narrative description of the facility relocation that will be required A statement whether the facility is or is not dependent on work that is to be done by another utility or the department or on the acquisition of additional ROW A statement whether the utility is or is not willing to allow the contractor to do the required work as part of the highway contract The earliest date when the utility could begin to implement the work and number of days to complete the work The expected lead time in days to obtain any required permits, obtain materials, schedule work crews, and obtain the necessary additional ROW A drawing of sufficient detail and scale to show the proposed location of the facility relocation   INDOT reviews ALL details of a work plan and utility work involved in work plan.

13-3-3 Work Plan The work plans goes back and forth for review until the final work plan is approved and adopted by INDOT. Then, considered a final agency action. A utility agreement then gets executed.

13-3-4 Construction INDOT notifies the utility by mail 30 days before the utility is required to begin the implantation of the approved work plan. Then, the utility acknowledges the notification by mail within 15 days. INDOT includes: 1. a reference or copy of each approved work plan in the highway contract. 2. If an approved work plan is dependent on work by a contractor, the contractor shall: a) provide INDOT and the utility not less than 15 days before the contractor’s work is expected to be completed and ready for the utility to start their work. b) follow up with a confirmation notice INDOT and the utility not less than 5 days before the contractor’s work is expected to be completed and ready for the utility to start their work.

13-3-4 Construction The utility shall notify INDOT and contractor: At least 5 days before beginning fieldwork within the right-of-way When the work is completed.

13-3-5 Work Plan Revisions Before letting, if the project plan is revised for additional facility relocation work. INDOT shall: Gives the utility a revised project plan and identifies the revisions with the project. Utility shall provide INDOT a revised work plan within 60 days after receiving the revisions from INDOT

13-3-6 Responsibilities The Utility, contractor, and INDOT shall perform the duties imposed by the approved work plan, contract, and with in the time frames specified. However 1. Factors that kept the utility from relocation such as: Significantly differing site conditions Unexpected impacts of other utilities Other unforeseen circumstances that could not have been anticipated A  natural and unavoidable catastrophic event

13-3-6 Responsibilities OR 2. Weather or other factors beyond the control of the utility was impacted 3. The final project plans differ substantially from the plans provided to the utility 4. If another facility was discovered during the process that was not previously identified as being within the identified project limits. NOTE: If an approve work plan requires adjustment due the occurrences of one or more factors under this rule…INDOT and the utility shall prepare an expedited work plan as soon as practical for submission to INDOT.

Knowledge Check If an approved work plan requires adjustment due the occurrences of one or more factors, what is the best course of action? Start a new project. Read just RFC date The utility shall prepare an expedited work plan as soon as practical for submission to INDOT. Proceed with the work plan regardless. Before letting, if the project plan is revised for additional facility relocation work, how long does the utility have before providing INDOT with revised work plans? 45 days. 60 days. 30 days. 90 days. ANSWER: C If an approve work plan requires adjustment due the occurrences of one or more factors under this rule…INDOT and the utility shall prepare an expedited work plan as soon as practical for submission to INDOT. ANSWER: B Utility shall provide INDOT a revised work plan within 60 days after receiving the revisions from INDOT

105 IAC 13 Summary Things to remember. I05 IAC is law. It is policy. Tasks will be discussed in later modules. Under the Rule 3/Procedures, the six sections.   Box pop up for a time line of how it works. Identification and Notification. Generally 2-3 months Verification of Existing Facilities: generally 1-3 months Work Plan Development: Generally 3-6 months. Construction: generally 2-4 months. Work Plan Revisions: generally 2-4 months (sometimes in conjunction with construction) Responsibilities: generally 2-4 months Things may go wrong, but remember the time frames, what is due and required.