TRANSPORTATION RESEARCH BOARD 2024 EXECUTIVE COMMITTEE*

OFFICERS

CHAIR: Carol A. Lewis, Professor, Transportation Studies, Texas Southern University, Houston

VICE CHAIR: Leslie S. Richards, General Manager, Southeastern Pennsylvania Transportation Authority (SEPTA), Philadelphia

EXECUTIVE DIRECTOR: Victoria Sheehan, Transportation Research Board, Washington, DC

MEMBERS

Michael F. Ableson, CEO, Arrival Automotive–North America, Detroit, MI

James F. Albaugh, President and CEO, The Boeing Company (retired), Scottsdale, AZ

Carlos M. Braceras, Executive Director, Utah Department of Transportation, Salt Lake City

Douglas C. Ceva, Vice President, Customer Lead Solutions, Prologis, Inc., Jupiter, FL

Nancy Daubenberger, Commissioner of Transportation, Minnesota Department of Transportation, St. Paul

Marie Therese Dominguez, Commissioner, New York State Department of Transportation, Albany

Garrett Eucalitto, Commissioner, Connecticut Department of Transportation, Newington

Chris T. Hendrickson, Hamerschlag University Professor of Engineering Emeritus, Carnegie Mellon University, Pittsburgh, PA

Randell Iwasaki, President and CEO, Iwasaki Consulting Services, Walnut Creek, CA

Ashby Johnson, Executive Director, Capital Area Metropolitan Planning Organization (CAMPO), Austin, TX

Joel M. Jundt, Secretary of Transportation, South Dakota Department of Transportation, Pierre

Hani S. Mahmassani, W.A. Patterson Distinguished Chair in Transportation; Director, Transportation Center, Northwestern University, Evanston, IL

Scott C. Marler, Director, Iowa Department of Transportation, Ames

Ricardo Martinez, Adjunct Professor of Emergency Medicine, Emory University School of Medicine, Decatur, GA

Michael R. McClellan, Vice President, Strategic Planning, Norfolk Southern Corporation, Norfolk, VA

Russell McMurry, Commissioner, Georgia Department of Transportation, Atlanta

Craig E. Philip, Research Professor and Director, VECTOR, Department of Civil and Environmental Engineering, Vanderbilt University, Nashville, TN

Steward T.A. Pickett, Distinguished Senior Scientist, Cary Institute of Ecosystem Studies, Millbrook, NY

Susan A. Shaheen, Professor and Co-director, Transportation Sustainability Research Center, University of California, Berkeley

Marc Williams, Executive Director, Texas Department of Transportation, Austin

EX OFFICIO MEMBERS

Michael R. Berube, Deputy Assistant Secretary for Sustainable Transportation, U.S. Department of Energy, Washington, DC

Shailen Bhatt, Administrator, Federal Highway Administration, U.S. Department of Transportation, Washington, DC

Amit Bose, Administrator, Federal Railroad Administration, Washington, DC

Tristan Brown, Deputy Administrator, Pipeline and Hazardous Materials Safety Administration, U.S. Department of Transportation, Washington, DC

Steven Cliff, Executive Officer, California Air Resources Board, Sacramento

Rand Ghayad, Senior Vice President, Association of American Railroads, Washington, DC

LeRoy Gishi, Chief, Division of Transportation, Bureau of Indian Affairs, U.S. Department of the Interior, Germantown, MD

William H. Graham, Jr. (Major General, U.S. Army), Deputy Commanding General for Civil and Emergency Operations, U.S. Army Corps of Engineers, Washington, DC

Robert C. Hampshire, Deputy Assistant Secretary for Research and Technology, U.S. Department of Transportation, Washington, DC

Sue Lawless, Acting Deputy Administrator, Federal Motor Carrier Safety Administration, Washington, DC

Niloo Parvashtiani, Engineer, Mobility Consultant Solutions, Iteris Inc., Fairfax, VA, and Chair, TRB Young Members Coordinating Council

Sophie Shulman, Acting Administrator, National Highway Traffic Safety Administration, Washington, DC

Karl Simon, Director, Transportation and Climate Division, U.S. Environmental Protection Agency, Washington, DC

Paul P. Skoutelas, President and CEO, American Public Transportation Association, Washington, DC

Polly Trottenberg, Deputy Secretary of Transportation and Acting Administrator, Federal Aviation Administration, U.S. Department of Transportation, Washington, DC

Jim Tymon, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC

Veronica Vanterpool, Acting Administrator, Federal Transit Administration, Washington, DC

___________________

^* Membership as of May 2024.

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM

NCHRP RESEARCH REPORT 1110

Minimizing Utility Issues
During Construction

A GUIDE

Cesar Quiroga
Jenny Naranjo
Harshit Shukla
TEXAS A&M TRANSPORTATION INSTITUTE
College Station, TX

Jesse Cooper
HDR ENGINEERING, INC.
Austin, TX

Subscriber Categories
Highways • Construction • Design

Research sponsored by the American Association of State Highway and Transportation Officials in cooperation with the Federal Highway Administration

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM

Systematic, well-designed, and implementable research is the most effective way to solve many problems facing state departments of transportation (DOTs) administrators and engineers. Often, highway problems are of local or regional interest and can best be studied by state DOTs individually or in cooperation with their state universities and others. However, the accelerating growth of highway transportation results in increasingly complex problems of wide interest to highway authorities. These problems are best studied through a coordinated program of cooperative research.

Recognizing this need, the leadership of the American Association of State Highway and Transportation Officials (AASHTO) in 1962 initiated an objective national highway research program using modern scientific techniques—the National Cooperative Highway Research Program (NCHRP). NCHRP is supported on a continuing basis by funds from participating member states of AASHTO and receives the full cooperation and support of the Federal Highway Administration (FHWA), United States Department of Transportation, under Agreement No. 693JJ31950003.

The Transportation Research Board (TRB) of the National Academies of Sciences, Engineering, and Medicine was requested by AASHTO to administer the research program because of TRB’s recognized objectivity and understanding of modern research practices. TRB is uniquely suited for this purpose for many reasons: TRB maintains an extensive committee structure from which authorities on any highway transportation subject may be drawn; TRB possesses avenues of communications and cooperation with federal, state, and local governmental agencies, universities, and industry; TRB’s relationship to the National Academies is an insurance of objectivity; and TRB maintains a full-time staff of specialists in highway transportation matters to bring the findings of research directly to those in a position to use them.

The program is developed on the basis of research needs identified by chief administrators and other staff of the highway and transportation departments, by committees of AASHTO, and by the FHWA. Topics of the highest merit are selected by the AASHTO Special Committee on Research and Innovation (R&I), and each year R&I’s recommendations are proposed to the AASHTO Board of Directors and the National Academies. Research projects to address these topics are defined by NCHRP, and qualified research agencies are selected from submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Academies and TRB.

The needs for highway research are many, and NCHRP can make significant contributions to solving highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement, rather than to substitute for or duplicate, other highway research programs.

NCHRP RESEARCH REPORT 1110

Project 15-69

ISSN 2572-3766 (Print)

ISSN 2572-3774 (Online)

ISBN 978-0-309-70986-6

Library of Congress Control Number 2024938780

© 2024 by the National Academy of Sciences. National Academies of Sciences, Engineering, and Medicine and the graphical logo are trademarks of the National Academy of Sciences. All rights reserved.

COPYRIGHT INFORMATION

Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein.

Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, APTA, FAA, FHWA, FTA, GHSA, or NHTSA endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP.

NOTICE

The research report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine.

The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; the FHWA; or the program sponsors.

The Transportation Research Board does not develop, issue, or publish standards or specifications. The Transportation Research Board manages applied research projects which provide the scientific foundation that may be used by Transportation Research Board sponsors, industry associations, or other organizations as the basis for revised practices, procedures, or specifications.

The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers’ names or logos appear herein solely because they are considered essential to the object of the report.

Published research reports of the

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM

are available from

National Academies Press
500 Fifth Street, NW, Keck 360
Washington, DC 20001

(800) 624-6242

and can be ordered through the Internet by going to
https://nap.nationalacademies.org

Printed in the United States of America

The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, nongovernmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president.

The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. John L. Anderson is president.

The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president.

The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine.

Learn more about the National Academies of Sciences, Engineering, and Medicine at www.nationalacademies.org.

The Transportation Research Board is one of seven major program divisions of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to mobilize expertise, experience, and knowledge to anticipate and solve complex transportation-related challenges. The Board’s varied activities annually engage about 8,500 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation.

Learn more about the Transportation Research Board at www.TRB.org.

COOPERATIVE RESEARCH PROGRAMS

CRP STAFF FOR NCHRP RESEARCH REPORT 1110

Waseem Dekelbab, Deputy Director, Cooperative Research Programs, and Manager, National Cooperative Highway Research Program

Camille Crichton-Sumners, Senior Program Officer

Mazen Alsharif, Program Coordinator

Natalie Barnes, Director of Publications

Heather DiAngelis, Associate Director of Publications

NCHRP PROJECT 15-69 PANEL

Field of Design—Area of General Design

Larry Ditty, Jr., Pennsylvania Department of Transportation, Harrisburg, PA (Chair)

Gregory W. Faber, Texas Department of Transportation, Austin, TX

JoAnn D. Kurts, Louisiana Department of Transportation and Development, Baton Rouge, LA

James E. Moore, II, University of Southern California, Los Angeles, CA

Kevin C. Payne, Johnson, Mirmiran & Thompson, Hunt Valley, MD

Mario Benito Rojas, Choice Engineering Consultants, Inc., Miami, FL

Casey Soneira, AASHTO, Washington, DC

Gorette Yung, Michigan Department of Transportation, Southfield, MI

Julie A. Johnston, FHWA Liaison

AUTHOR ACKNOWLEDGMENTS

The research reported herein was performed under NCHRP Project 15-69 by the Texas A&M Transportation Institute (TTI) in collaboration with HDR Engineering, Inc. TTI was the prime contractor for this study, with Sponsored Research Services at the Texas A&M University System serving as fiscal administrator.

Cesar Quiroga, Ph.D., P.E., senior research engineer and manager of the Utility Engineering Program at TTI, was the principal investigator. The other authors of this guide are Jenny Naranjo and Harshit Shukla, Ph.D., assistant research scientists in the Utility Engineering Program at TTI, and Jesse Cooper, RPLS, senior utility manager at HDR Engineering, Inc.

FOREWORD

By Camille Crichton-Sumners

Staff Officer

Transportation Research Board

NCHRP Research Report 1110 provides practitioners with a guide to help mitigate utility conflicts during highway projects through strategies such as improving pre-letting utility investigations, inspection procedures, and change order documentation. The associated conduct of research report, NCHRP Web-Only Document 396, includes successful practices identified by state departments of transportation (DOTs) for managing utility conflicts and issues that arise during the highway project delivery process, especially during construction. The web-only document contains practical case studies from several DOTs, with successful approaches to mitigation identified. The conduct of research report is complemented with a list of functional requirements offered for the potential development of a decision support system. The guide and web-only document should be of interest to roadway owners and operators, design practitioners, project managers, and utility owners interested in or responsible for utility relocation and highway project delivery.

Roadways intersect utility facilities above and below ground, such as water, sewer, natural gas, fiber optic, and electric lines. These utility facilities may be impacted by highway improvement projects and often require relocation. Issues and conflicts between highway features and utility facilities can arise and impede highway construction projects, causing construction delays, economic impacts, and safety concerns.

Utility coordination in the preconstruction phases of project delivery does not always address issues and conflicts that arise during construction. Examples of utility issues during construction include unexpectedly finding active or abandoned utility installations that were not well documented, damage to utility installations and disruptions to utility service, utility relocation delays, as well as unnecessary utility relocations. These issues often result in construction delays, additional costs, and traveler delays. Utility risk areas cover a wide spectrum and include documentation and management of utility facilities in confined spaces, evaluation of structural characteristics and constructability impacts, traffic control, damage prevention, worker safety, and construction schedules.

Under NCHRP Project 15-69, “Utility Conflict Impacts During Highway Construction,” the Texas A&M University, Transportation Institute (TTI) was asked to catalog successful practices for conducting utility inspections and managing utility conflicts during the construction phase; evaluate the use of utility impact analysis tools; develop a list of functional requirements for decision support tool development; and develop a guide for practitioners. TTI identified utility coordination programs within state DOTs, municipalities, and other jurisdictions conducting performance evaluation and data collection that enables quantitative risk analysis. The research team compiled and quantified utility conflict impacts during construction that stemmed from change orders, claims, work orders, time extensions, and related causes. Case studies using

completed projects with utility relocations or adjustments were developed that documented lessons learned and successful practices during construction. TTI also developed a list of functional requirements for the future development of a decision support tool that will improve and expand the collection of risk analysis data to minimize utility delays.

Accompanying this guide is a description of the research on which the guide is based (NCHRP Web-Only Document 396: Strategies to Address Utility Issues During Highway Construction), a PowerPoint presentation, and an Implementation Plan that are available on the National Academies Press webpage (nap.nationalacademies.org) by searching for NCHRP Research Report 1110: Minimizing Utility Issues During Construction: A Guide.

CONTENTS

Chapter 1 Introduction

Chapter 2 Causes of Utility Issues During Construction

Literature Review

Practitioner Survey

Change Order and Claim Trends

Chapter 3 Strategies to Minimize Utility Issues During Construction

Strategies Prior to Letting

Conduct Utility Investigations Systematically

Apply a Utility Conflict Management Approach to Identify and Resolve Utility Conflicts

Conduct Constructability Reviews Whenever Utility Facilities Are Involved

Include Utility Relocations in Assessment of Critical Path for the Project

Prepare Robust Utility Relocation Documentation

Develop a Utility Construction Plan and Include It in the Highway Contract

Use Right-of-Way Clearing Contracts for Utility Relocations

Strategies During Construction

Stake Right-of-Way and Maintain Markers for Utility Relocations

Develop a Common Repository of Utility Data and Other Project-Related Data

Schedule Utility Preconstruction Meeting or Include Utility Owners in Highway Preconstruction Meetings

Schedule Recurrent Utility Coordination Meetings During Construction

Use Plastic Pipe to Mark Underground Lines

Use Utility Layout to Show Abandoned Utility Facilities

Conduct Utility Relocation Inspections Systematically

Chapter 4 Utility Inspection Procedures

Data Collection Equipment and Software

Data Collection Protocols

Project Survey Control Point Verification

Point Features

Line Features

Polygon Features

3D Objects

Chapter 5 Strategies to Improve Change Order Documentation for Future Analyses

Quality of Change Order Descriptions

Analysis of Existing Change Order Records

Abbreviations, Acronyms, and Initialisms

This page intentionally left blank.