Chapter 14 — Utility Relocation

23 CFR 645 + Caltrans R/W Manual Ch 13 + Buy America

Ch 14 procedures comply with FHWA regulations under 23 CFR governing utility relocations (primarily 23 CFR 645). Purpose: provide guidelines to LPAs when performing R/W utility relocations on projects off the SHS, financed with federal funds.

Utility relocation procedures only apply to public utility facilities serving the general public. Service connections and private utilities are handled through R/W Acquisition under Cost to Cure (23 CFR 710.203) and the Uniform Act.

Waiving federal reimbursement does not eliminate the need for compliance. Even when no federal reimbursement is sought for a utility relocation, if federal funds are used anywhere in the project, the Ch 14 procedures must be followed.

From verification to invoice, the procedural sequence

The procedure is designed to identify utility conflicts early in design, allowing the Project Engineer to evaluate the plan and make adjustments to avoid or lessen impacts. Reduces relocation cost, saves time, prevents discovery conflicts during construction.

The eight-step sequence

1. Utility Verification. Utility Coordinator sends proposed project plan to owner; requests facility maps within project limits. Project Engineer plots existing facilities onto Utility Sheet (per Caltrans Standard Plan or ASCE Standard Guidelines for SUE)
2. Identifying Conflict. Project Engineer identifies all impacted utility and potholing facilities within project limits; provides conflict maps for each impacted facility to Utility Coordinator
3. Requesting Conflict Resolution Plan (done only after NEPA approval). Utility Coordinator contacts owner(s), requests conflict resolution plan, detail cost estimate, and owner's liability determination
4. Liability Determination. After plan approved by PE, determines if LPA is legally liable for any portion or all of relocation costs. Determined by: property rights, franchise rights/agreements, state/local statutes/ordinances, permits, or LPA's counsel finding. Complete Exhibit 14-E: Report of Investigation (ROI)
5. Notifying Owner. Seek concurrence ("Meeting of the Minds"). Once owner concurs with liability, Utility Coordinator issues written NTO (LAPM 14-D). If LPA liable for any portion, Utility Agreement (Exhibit 14-F or 14-I) with Clauses (Exhibit 14-G) is prepared and sent with NTO
6. R/W Utility Clearance Memo. Once all conflicts resolved, PE and Utility Coordinator issue memo listing conflicts, locations, NTO numbers, liability, completion dates. Info incorporated into R/W Certification
7. Managing Physical Relocation. All agreements executed, Specific Authorization/Approval of Utility Agreement (Exhibit 14-C) approved if federal funding sought, funding secured. PE and Utility Coordinator monitor progress
8. Managing Invoices. Per LAPM Ch 5. Owner provides credit when applicable, for salvage value, betterment, and supporting documents. Utility Coordinator creates Utility File for each impacted facility (per 23 CFR 645.119(c)(1)(iv))

Federal cost participation requirements (Step 4): Cost of relocating utility facilities is eligible for federal participation:

1. Only when the relocation is made necessary by the proposed construction
2. Only when the LPA is legally liable to pay for any portion of the relocation

If LPA not liable, owner pays — relocation not eligible for federal reimbursement.

E-76, Specific Authorization (Exhibit 14-C), salvage and betterment credits

Federal regs governing utility relocation: 23 CFR 645. Under current federal transportation funding act and FHWA Alternate Procedure (23 CFR 645.119), E-76 utility relocation work has been delegated to Caltrans on Delegated projects.

Caltrans has approval authority for Specific Authorization and Approval of the Utility Agreement. Utility Coordinator sends all submissions to District R/W Utility Coordinator for review and approval.

Request Package (5 items)

Submission for Caltrans review and approval must include:

1. Copy of draft and final Notice to Owner
2. Draft and final fully executed Utility Agreement
3. Draft and final approved owner's conflict resolution plan showing necessary relocations
4. The completed Report of Investigation and supporting documents
5. An itemized estimate of the LPA's relocation costs

Review typically takes 3 weeks. Submission must be sent in advance of the proposed R/W Certification date. DLAE not responsible for delays due to incomplete or erroneous package.

Authorization to Proceed (E-76)

Prior to start of any physical utility relocation work, LPA must complete LAPM 3-A with all anticipated utility facilities requiring relocation listed with estimated cost. E-76 request submitted to DLAE → District R/W Utility Coordinator → processed by DLAE.

Specific Authorization to Relocate Utilities (Exhibit 14-C)

Work by Utility Owner or Owner's Contractor: Exhibit 7-B Field Review Form should include the item with sufficient detail to allow programming in the R/W phase under a Utility Agreement. Prevailing Wages required for owner's contractor work (Cal Labor Code §1720).

Work by LPA's Highway Contractor: work included in PS&E. LPA adds statement to Remarks of Exhibit 14-C: "The proposed adjustment of utility facilities to be performed by the LPA's highway contractor is approved. Payment for the utility adjustment will be vouchered through the construction phase. Therefore, the authorization date for this work will be the date that the FHWA approves the construction project."

Major scope/cost change requires revised Specific Authorization to Relocate Utilities prior to new work. Minor change (no scope addition/deletion): letter to Caltrans with revised maps and estimate, requesting change be included under original authorization.

Approval of Utility Agreement

LPA submits executed Utility Agreement to DLAE for processing. Approval authority delegated to Caltrans Division of R/W and Land Surveys by FHWA. 3-week review if LPA used pre-approved Exhibit 14-G utility clauses. For LPA-owned utilities: Exhibit 14-I (Local Agency/Utility Owner Special Agreement).

Exhibit 14-G Utility Agreement Clauses should be used in every circumstance. Use of non-standard clauses requires Caltrans HQ Office of Utilities and Legal review and recommendation before the Utility Agreement can be executed.

Salvage and Betterment Credits (23 CFR 645.117(h))

Non-Reimbursable: FHWA regulations prohibit federal reimbursement for costs of interest during construction or interest on funds borrowed by the owner for performing the relocation.

Removal Only: Where entire transaction is removal without replacement, consider handling as R/W clearance item. If processed as R/W clearance: (a) utility owner must have a property right in existing location compensable in eminent domain; (b) LPA must enter agreement with owner; file must show removal by utility owner was more cost-effective than LPA acquiring facilities; (c) charges may be invoiced reduced by salvage attributable to subject facilities, per 48 CFR 31.

Using Consultants: When LPA or utility owner employs a consulting engineer for utility relocation engineering and federal participation is involved, procedures in LAPM Chapter 10: Consultant Selection must apply. Consultant agreement must satisfy Caltrans R/W Manual Ch 13 §14 criteria, including completed pre-award evaluation if applicable.

Written 30-day, verbal 5-working-day with 30-day follow-up

After normal Specific Authorization period has expired and an unanticipated utility relocation is encountered, the Utility Coordinator must immediately notify the DLAE and request a Special Authorization to Relocate Utilities. Environmental documents may need to be re-evaluated depending on scope.

Special Authorization is reserved for cases where required work could not be identified in time to secure normal authorization, or when contractor's operations will be delayed. Requests must be based on substantial reasons.

No utility work may begin before Special Authorization is obtained — or risk eligibility for reimbursement.

Submittal Package

Submittal for either written or verbal Special Authorization request must contain:

• Reason for Special Preliminary Authorization
• Name of the owner, type of facility (as listed in the E-76)
• Best available liability determination (including documentation such as an ROI)
• Best available itemized cost and estimate
• Breakdown of time, material, and equipment costs
• Relocation plan showing the R/W, access control, existing and proposed utility facility
• Name of the entity who will perform the work

Written Special Authorization

If written Special Authorization obtained: complete request package (Exhibit 14-A: Local Agency Submittal Requirements for Federal Participation in Utility Relocations) must be submitted to the DLAE within 30 days. DLAE forwards to District R/W Utility Coordinator for review and approval.

Approval contains statement that District R/W Utility Coordinator has reviewed relocation plans and is familiar with circumstances requiring Special Authorization.

Verbal Special Authorization

Verbal Special Authorization to Proceed may be requested when, during construction, a previously unknown utility conflict is discovered that will delay the contractor. Obtained from District R/W Utility Coordinator (via DLAE) by telephone or fax.

District R/W Utility Coordinator confirms each verbal authorization via letter within 5 working days or sooner (depending on complexity). Copy of confirmation letter sent to DLAE.

If Verbal Special Authorization obtained, LPA must furnish written submittal to DLAE confirming information and containing fully documented relocation plan within 30 days. Appropriate diary of decisions and discussions maintained.

Encroachments and Utilities Policy + 48 CFR 31 audit

Caltrans Encroachments and Utilities Policy requires all high priority facilities located within project limits be positively identified and shown on project plans within highway R/W.

For federally funded participating projects off the SHS, compliance with the state's Encroachments and Utilities Policy is not mandatory but recommended for safety during construction.

For projects on the SHS: all LPA projects on the SHS must conform to the Encroachments and Utilities Policy. See Caltrans PDPM Ch 17. When performing R/W Utility Relocation on a state highway project, the LPA's Project Engineer must complete the Project Engineer's Certification of Utility Facilities and submit as attachment to the project certification.

Audit Requirements (§14.5): Utility Coordinator responsible for submitting request for any applicable audits as described in LAPM Ch 5 (Invoicing) §5.8. Audit per 48 CFR Part 31. For projects on the SHS: refer to Caltrans R/W Manual Ch 13.