BACKGROUND

State departments of transportation (DOTs) regularly negotiate contractual agreements with utility owners during project development and delivery, which includes issuing permits that enable utility owners to occupy public rights-of-way (ROW). At times, these agreements may remain in place after a project is completed. State DOTs and local agencies review and approve each proposed utility installation to ensure the latest amended installation or any relocation complies with a state DOT’s utility accommodation policies and rules, relevant specifications/provisions, and industry standards or specifications.

Additionally, field verification processes are integral components for monitoring and certifying that proposed utility installations or relocations have been constructed and/or installed according to the utility construction documents and plans. Field verifications are a potential utility-related risk that could also be attributed to communication oversights between utility owners and transportation agencies (e.g., notification of construction start time and providing sufficient lead time for a state DOT’s inspectors). Other barriers identified include limited resources and tools to conduct inspections (e.g., guidelines, workforce readiness, and formal inspection training/certification). Research is needed to develop essential field oversight processes during utility installation and relocation.

OBJECTIVE

The objective of this research is to develop a guide for state DOTs to assist with field verification processes for utility installation and relocation.

Accomplishment of the project objective will require at least the following tasks.

TASKS

PHASE I – Planning and Data Collection

Task 1. Conduct a literature review of relevant research related to field verification processes for utility installation and relocation. The review shall include published and unpublished research conducted through the NCHRP; the Federal Highway Administration (FHWA); and other national, international, state, and pooled-fund sponsored research.

Task 2. Propose an approach (site visits, surveys, targeted interviews, focus groups, and other appropriate methods and/or tools) to collect information from state DOTs, practitioners, and relevant stakeholders according to field verification processes for utility installation and relocation.

At a minimum, the proposed approach shall identify, evaluate, and summarize information needed to characterize the current state of the practice as well as future needs, including:

• Financial (e.g., federal-aid and state funds, franchise fees, and leases), technical (e.g., duct banks, utility corridors, easements, and dedicated or shared spaces), and organizational (e.g., funding for inspections, dedicated staff, agency resources) requirements.
  
• State DOTs’ current field verification processes, methods, and tools (e.g., inspection criteria, quality control [QC], quality assurance [QA], performance and prescriptive specifications, post-event inspection).
  
• Correlation between the field inspector’s involvement and utility-related project delays as they relate to the return on investment (ROI) (e.g., facility locating costs for future projects, as-built drawings, DOT requirements and specifications, and notification and communication procedures).
  
• Use of readily available information-based technologies and details (e.g., 2- and 3-dimensional as-built drawings, radio-frequency identification [RFID] markers, and global positioning system [GPS] coordinates).
  
• Best practices for communication and coordination with other local, state, tribal, rail, transit, and federal agencies, including confirmation of project completion.
  
• Potential impediments (e.g., security, legal restrictions, job site safety, and environmental constraints) that could impact field verification processes for utility installation and relocation and potential implementation strategies for resolving impediments during project development and delivery.
  
• Data exchange standards and requirements to ensure compatibility and continuous flow of data from inception to asset management (e.g., creation or development of digital as-built drawings and as-acquired drawings).
  
• Innovative utility installation and relocation strategies, guidelines, and field verification tools. This should include technology support for field verifications (e.g., the functionality of software/hardware, the ability to provide a simple interface via mobile applications, the capability to connect with construction administration systems, and the capacity to function without internet or Wi-Fi connection).

Task 3. Execute the data collection approach according to the approved Task 2 report. Synthesize the results of Tasks 1 and 2 and identify knowledge gaps in field verification processes that involve utility installation and relocation. These knowledge gaps should be addressed in this research or in the recommended future research, as the budget permits.

Task 4. Propose the research plan, to be executed in Phase II, to achieve the research objective. At a minimum, the research plan shall include:

• Developing a guide for utility field verification processes and management methods
  
• Developing resources for comprehensive field verification criteria, QC, and QA
  
• Developing implementation strategies for incentives/disincentives for contract compliance
  
• Identifying job training and proficiency requirements for performing field verifications, and implementation challenges for field verification processes
  
• Identifying methods to minimize recurring risk factors for field verification data management for future projects, including (1) archival storage for utility project data (e.g., GIS, repositories, depositories) and (2) coordination between state DOTs, government agencies (e.g., local, county, state), and utility providers
  
• Developing implementation strategies and procedures
  
• Developing prioritized recommendations for future research
  
• Developing presentation material and resources
  
• Developing examples to demonstrate the use of the guide. At a minimum, the selection of examples should demonstrate the effectiveness of:
  
  • Communicating information among the transportation industry and relevant stakeholders (e.g., state DOTs, construction contractors, utility inspectors, surveying professionals, utility owners, and third-party utility inspectors and contractors)
    
  • Determining archival and maintenance solutions for utility project data management

Task 5. Propose a preliminary outline and table of contents for the guide based on the findings from Phase I, which should incorporate key findings supported with examples.

Task 6.  Prepare Interim Report No. 1, which documents Tasks 1 through 5 and provides an updated work plan for the remainder of the research. The updated plan must describe the work proposed for Phases II and III.

PHASE II – Execution and Guide Development

Task 7.  Execute the research plan according to the approved Interim Report No.1.

Task 8. Develop the guide according to the approved Interim Report No. 1, supported with examples.

Task 9. Prepare Interim Report No. 2, which documents Tasks 7 and 8 and provides an updated work plan for the remainder of the project. The updated plan must describe the work proposed for Phase III.

PHASE III – Final Products

Task 10. Revise the guide after consideration of the panel’s review comments.

Task 11. Submit the final deliverables, including (1) a final research report documenting the entire research effort and findings; (2) the guide; (3) prioritized recommendations for future research; (4) presentation material and resources; and (5) a technical memorandum on implementation.

STATUS: Contract pending.