Strategies to Address Utility Issues During Highway Construction (2024)
Chapter: APPENDIX A: SURVEY QUESTIONS
APPENDIX A. SURVEY QUESTIONS
PART 1 – BASIC INFORMATION
Contact information:
First Name: ___________________________________
Last Name: ___________________________________
Title: ___________________________________
Office, Division, or Bureau: ___________________________________
Organization: ___________________________________
Email Address: ___________________________________
Phone Number: ___________________________________
What level is your office, division, or bureau within your organization:
- Headquarters
- District or region
- Local
- Other
If other, please specify: __________________________________________________________
Select the role your organization plays in the highway project delivery process. See typical project delivery process diagram (shown at the end of this form).
- Project owner
- Consultant
- Contractor
- Utility owner
- Other
If other, please specify: __________________________________________________________
In what phases of the highway project delivery process do you normally work? Select all that apply.
- Planning (typically up to preparation of project scope)
- Preliminary design (typically up to 30% PS&E)
- Detailed design (typically 30–100% PS&E)
- Construction (typically letting, construction, and project closeout)
- Design and construction (for design-build projects)
What role(s) do you normally play during the project delivery process? Note: Select the roles that are closest to what you do, regardless of the title you have at your organization. Select all that apply.
- Planner
- Highway designer
- Project manager
- Environmental coordinator
- Surveyor
- Bridge designer
- Hydraulic engineer
- SUE provider
- Utility coordinator
- Utility designer
- Highway contractor
- Utility contractor
- Construction management consultant
- Highway construction inspection
- Utility construction inspection
- Other
If other, please specify: __________________________________________________________
PART 2 – CAUSES OF PROJECT DELAYS AND COST INCREASES
This part of the survey includes questions about risk factors during the project delivery process. First, in what phases would you like to answer high-level questions about risk factors? Note: The time in minutes represents the estimated time to complete a specific section. Select all that apply.
- Project Planning and Design (2 minutes)
- Highway Construction (5 minutes)
- Environmental Process (Design and Construction) (2 minutes)
- Right-of-Way Acquisition (Design and Construction) (3 minutes)
A subsequent Utility Process section (estimated time: 10 minutes) includes more specific questions about UR risk factors that can span multiple project delivery phases. This section covers utility coordination, utility investigations, utility conflict analysis and design, and utility relocations.
Project Planning and Design
On a scale from 1 (least frequent) to 5 (most frequent), rate how frequently each of the following risk factors causes project delivery delays. Note: Please answer based on your overall experience across multiple projects. In addition, note that specific UR questions are in the Utility Process section.
On a scale from 1 (least frequent) to 5 (most frequent), rate how frequently each of the following risk factors causes project cost increases. (Note: The table is shown again.)
On a scale from 1 (least frequent) to 5 (most frequent), rate how frequently each of the following risk factors causes utility relocation delays, regardless of whether the factor causes project delays or project cost increases. (Note: The table is shown again.)
| Risk Factor | Unsure | 1 | 2 | 3 | 4 | 5 |
|---|---|---|---|---|---|---|
| Insufficient or untimely funding for design | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Insufficient timeframe for preliminary design | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Insufficient timeframe for detailed design | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Delays in highway design | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Changes in highway design prior to letting | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Other. Please specify: _____________________________ | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
Highway Construction
On a scale from 1 (least frequent) to 5 (most frequent), rate how frequently each of the following risk factors causes project delivery delays. Note: Please answer based on your overall experience across multiple projects. In addition, note that specific UR questions are in the Utility Process section.
On a scale from 1 (least frequent) to 5 (most frequent), rate how frequently each of the following risk factors causes project cost increases. (Note: The table is shown again.)
On a scale from 1 (least frequent) to 5 (most frequent), rate how frequently each of the following risk factors causes utility relocation delays, regardless of whether the factor causes project delays or project cost increases. (Note: The table is shown again.)
| Risk Factor | Unsure | 1 | 2 | 3 | 4 | 5 |
|---|---|---|---|---|---|---|
| Insufficient or untimely funding for construction | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Insufficient timeframe for highway construction | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Higher unit costs for UR work items | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Errors in plans, specifications, or cost estimates | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Late start by highway contractor | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| DSCs (not related to utilities) | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| DSCs (new utility conflicts or utility conflicts that were not resolved properly during design) | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Changes initiated by project owner during construction | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Labor shortages during construction | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Equipment shortages during construction | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Inadequate work effort by highway contractor | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Lack of compliance with industry standards or technical specifications during highway construction | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Risk Factor | Unsure | 1 | 2 | 3 | 4 | 5 |
|---|---|---|---|---|---|---|
| Ineffective (late or inadequate) highway construction inspection | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Weather | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Other. Please specify: _____________________________ | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
Environmental Process
On a scale from 1 (least frequent) to 5 (most frequent), rate how frequently each of the following risk factors causes project delivery delays. Note: Please answer based on your overall experience across multiple projects. In addition, note that specific UR questions are in the Utility Process section.
On a scale from 1 (least frequent) to 5 (most frequent), rate how frequently each of the following risk factors causes project cost increases. (Note: The table is shown again.)
On a scale from 1 (least frequent) to 5 (most frequent), rate how frequently each of the following risk factors causes utility relocation delays, regardless of whether the factor causes project delays or project cost increases. (Note: The table is shown again.)
| Risk Factor | Unsure | 1 | 2 | 3 | 4 | 5 |
|---|---|---|---|---|---|---|
| Delays starting environmental review | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Delays during environmental review | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Delays complying with environmental commitments after environmental clearance | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Delays obtaining permits (e.g., U.S. Fish and Wildlife, U.S. Army Corps of Engineers, and so on) | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Other. Please specify: _____________________________ | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
Right-of-Way Acquisition
On a scale from 1 (least frequent) to 5 (most frequent), rate how frequently each of the following risk factors causes project delivery delays. Note: Please answer based on your overall experience across multiple projects. In addition, note that specific UR questions are in the Utility Process section.
On a scale from 1 (least frequent) to 5 (most frequent), rate how frequently each of the following risk factors causes project cost increases. (Note: The table is shown again.)
On a scale from 1 (least frequent) to 5 (most frequent), rate how frequently each of the following risk factors causes utility relocation delays, regardless of whether the factor causes project delays or project cost increases. (Note: The table is shown again.)
| Risk Factor | Unsure | 1 | 2 | 3 | 4 | 5 |
|---|---|---|---|---|---|---|
| Delays starting the right-of-way process | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Delays completing right-of-way map | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Delays getting authorization to acquire right-of-way | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Delays acquiring all parcels | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Delays acquiring critical parcels (e.g., parcels on eminent domain or parcels needed for utility relocations) | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Delays acquiring replacement easements for utility relocations | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Inadequate funding or delays clearing right-of-way for utility relocations | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Right-of-way encroachments or features impeding utility relocations | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Other. Please specify: _____________________________ | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
(Note: The following question will be shown if a respondent skipped project delivery phases. The screen will only list the phases the respondent did not initially select. If a respondent selects one or more phases, the corresponding questions, as described in previous pages, will be displayed.)
Previously, you skipped the following project delivery phases. If you want to change your mind, here is one more chance to provide feedback. If not, simply click next to proceed with the next question. Select all that apply.
- Project Planning and Design (2 minutes)
- Highway Construction (5 minutes)
- Environmental Process (Design and Construction) (2 minutes)
- Right-of-Way Acquisition (Design and Construction) (3 minutes)
Utility Process
On a scale from 1 (least frequent) to 5 (most frequent), rate how frequently each of the following risk factors causes project delivery delays. Note: Please answer based on your overall experience across multiple projects.
On a scale from 1 (least frequent) to 5 (most frequent), rate how frequently each of the following risk factors causes project cost increases. (Note: The table is shown again.)
On a scale from 1 (least frequent) to 5 (most frequent), rate how frequently each of the following risk factors causes utility relocation delays, regardless of whether the factor causes project delays or project cost increases. (Note: The table is shown again.)
| Risk Factor | Unsure | 1 | 2 | 3 | 4 | 5 |
|---|---|---|---|---|---|---|
| Utility Coordination and Utility Investigations: | ||||||
| Delays notifying utility owners that project could affect them | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Delays getting as-built records from utility owners | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Delays conducting utility investigations (QLB and/or QLA) | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Inaccurate or incomplete utility facility data during design | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Unrealistic timeframe by project owner for utility coordination and utility relocations | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Delays getting utility owners to respond and begin coordination | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Utility Conflict Analysis and Utility Design: | ||||||
| Utility owners holding off on relocation design until right-of-way has been acquired | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Utility owners holding off on relocation design until project plans are at least 60% or 90% complete | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Delays identifying and resolving utility conflicts | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Delays reviewing and executing utility agreements | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Inadequate utility relocation plans | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Inadequate utility relocation cost estimate | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Inadequate utility relocation schedule | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Utility Relocations: | ||||||
| Delays acquiring Buy America items | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Inadequate notification to perform inspections or approvals for Buy America items | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Inaccurate and/or incomplete locating and marking existing utility facilities prior to excavation | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Survey control non-existent or far away from utility relocation | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Utility owner’s funding or capacity constraints | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Unrealistic timeframe by utility owner for completing utility relocation work in the field | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Delays getting utility owners to schedule utility relocations in the field | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Inadequate coordination or sequencing among utility owners using common poles or duct banks | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Difficult or inadequate constructability of utility relocation | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Lack of compliance with industry standards or technical specifications during utility relocations | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Delays getting responses from utility owner when there are highway construction changes that necessitate coordination | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Labor, equipment, and/or material shortages for utility contractors | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Ineffective (late or inadequate) utility construction inspection | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Risk Factor | Unsure | 1 | 2 | 3 | 4 | 5 |
|---|---|---|---|---|---|---|
| Ineffective working relationship between project owner (including contractors and consultants) and utility owner (including contractors and consultants) | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Post Utility Relocations: | ||||||
| Horizontal and/or vertical location of relocated utility facilities not conforming to approved plans | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Inaccurate or incomplete utility as-builts after relocation | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Delays in providing utility as-builts after relocation to highway contractor | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Other (up to three): | ||||||
| Risk factor 1: _____________________________ | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Risk factor 2: _____________________________ | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Risk factor 3: _____________________________ | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
Types of Utility Relocations
On a scale from 1 (least frequent) to 5 (most frequent), rate how frequently each of the following types of utility relocations causes project delivery delays. Note: Please answer based on your overall experience across multiple projects.
| Type of Utility Relocation | Unsure | 1 | 2 | 3 | 4 | 5 |
|---|---|---|---|---|---|---|
| Non-reimbursable utility relocations handled by highway contractor | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Reimbursable utility relocations handled by highway contractor | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Non-reimbursable relocations handled by utility owner | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Reimbursable relocations handled by utility owner | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
Unknown Costs to Contractors
On a scale from 1 (least frequent) to 5 (most frequent), rate how frequently each of the following risk factors causes unknown costs to highway contractors. Note: Please answer based on your overall experience across multiple projects.
| Risk Factor | Unsure | 1 | 2 | 3 | 4 | 5 |
|---|---|---|---|---|---|---|
| Lower production rates than anticipated for installation of underground highway features that are in direct conflict with or adjacent to utility facilities | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Crew delays or stoppages waiting for decisions regarding unknown utilities or utility conflicts that were discovered during construction | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Risk Factor | Unsure | 1 | 2 | 3 | 4 | 5 |
|---|---|---|---|---|---|---|
| Lower production rates due to working around utilities that have not been relocated or working out of phase (i.e., jumping around to different areas of the project) in response to utility conflicts that were discovered during construction | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Having to schedule highway work in late fall or winter (or the next construction season) because of UR delays | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Lack of clarity or incomplete information in plans and special provisions about existing utility facilities and utility relocation plans | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Other. Please specify: _____________________________ | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
PART 3 – UTILITY-RELATED TIME EXTENSIONS, CHANGE ORDERS, AND CLAIMS
If your organization is a project owner, what tools does your agency allow the highway contractor to use for addressing UR delays and additional costs? Select all that apply.
- No-cost time extensions
- Cost of utility investigations included in the contractor’s scope
- Explicit or built-in contingencies in highway contract
- Change orders
- Claims
- Other
If other, please specify: __________________________________________________________
On a scale from 1 (least frequent) to 5 (most frequent), rate how frequently highway contractors adopt specific strategies to address utility issues found during construction.
| Contractor Strategy | Unsure | 1 | 2 | 3 | 4 | 5 |
|---|---|---|---|---|---|---|
| Contractor has dedicated staff or subcontractor to anticipate utility issues and coordinate with utility owners and their contractors | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Contractor increases unit costs for UR items when first bidding for the highway construction job | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Contractor uses RFI process to seek answers from project owner when utility issues appear | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Contractor initiates project sequencing modifications to manage problems caused by utility issues found during construction | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Contractor modifies project sequencing at the request of project owner to manage problems caused by utility issues found during construction | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Contractor submits change orders for reasons attributed to utility issues found during construction | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Contractor Strategy | Unsure | 1 | 2 | 3 | 4 | 5 |
|---|---|---|---|---|---|---|
| Contractor submits claims for reasons attributed to utility issues found during construction | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
| Other. Please specify: _____________________________ | ∘ | ∘ | ∘ | ∘ | ∘ | ∘ |
Is it possible for the research team to obtain a copy of the change order and claims databases at your agency (last 10–15 years)? Note: The purpose of the analysis is to evaluate trends regarding UR change order and claims.
- Yes
- No
If yes, please provide a point of contact to request a copy of the data (edit as needed):
First Name: ___________________________________
Last Name: ___________________________________
Title: ___________________________________
Division, Office, or Bureau: ___________________________________
Organization: ___________________________________
Email Address: ___________________________________
Phone Number: ___________________________________
PART 4 – POTENTIAL CASE STUDIES
Could you suggest 1–3 projects with utility relocations or adjustments as potential case studies for lessons learned and/or the application of innovative practices addressing utility issues during construction?
- Yes
- No
If yes, please provide some basic information about these projects, including whether the projects are still active or have been completed. Information of interest include project type and scope, estimated construction cost, actual or estimated construction dates, and UR significance. Example: “US-87 reconstruction and widening project. Estimated construction cost: $100,000,000. Letting date: February 1, 2020. Anticipated completion: March 31, 2023. Construction management consulting contract included innovative provisions for utility inspections and completion of utility as-builts.”
Project 1:
Project 2:
Project 3:
PART 5 – ADDITIONAL INFORMATION AND FOLLOW UP
May we contact you or somebody else at your organization to further discuss UR issues or practices during construction?
- Yes
- No
If yes, please provide a point of contact to follow up (edit as needed):
First Name: ___________________________________
Last Name: ___________________________________
Title: ___________________________________
Division, Office, or Bureau: ___________________________________
Organization: ___________________________________
Email Address: ___________________________________
Phone Number: ___________________________________
Please provide any concluding thoughts or comments you might have about utility conflict impacts:
Thank you for participating.
