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46 APPENDIX A Survey Questionnaire November 2015 Synthesis 47-14 seeks to determine how previous research has been incorporated into current practice and compile information about how state transportation agencies (STAs) and utility stakeholders are scoping, conducting, and managing effective utility coordination. Additional information will be collected on factors including: ⢠Identification of the core elements of effective utility coordination; ⢠Current practices to manage consultant-led utility coordination, both stand-alone and those incorporated into design contracts; ⢠Current practices to perform utility coordination in-house; ⢠How and when stakeholders are integrated into the utility coordination process (e.g., design team, contractors, utility owners, consultants, resource agencies); ⢠Prequalification requirements for consultants and evaluation measures of performance; ⢠Training and certification available and/or required for utility stakeholders; ⢠How academic programs are educating students about utility engineering; ⢠The process by which an effective utility coordination project is scoped (e.g. project schedule, type and complexity of project, level of effort, level of risk); ⢠Gaps in knowledge and research; and ⢠Examples of inconsistencies between legislation, regulations, guidance, and practice. Pilot tests indicated an average time of [X] minutes to complete the survey. Please complete the online questionnaire by [date]. If you have questions or would prefer to complete a paper-copy questionnaire, please contact: Roy Sturgill Email: roy.sturgill@uky.edu Phone: (859) 218-0119 Please include your contact information. NCHRP will email you a link to the online report when it is completed. Agency: __________________________________________________________ Address: __________________________________________________________ _________________________________________________________________ City: _____________________________________________________________ State: ____________________________________________________________ ZIP: _____________________________________________________________ Questionnaire Contact: ______________________________________________ Position/Title: _____________________________________________________ In case of questions and for NCHRP to send you a link to the final report, please provide: Tel: ______________________________________________________________ Email: ___________________________________________________________
47 General Utility Coordination Process Information 1. Does your agency use documented procedures (manual of instructions, policy, and/or guidance manual) for utility coordina- tion? (There is a follow-up opportunity to provide documentation, web link(s), file(s), or contact information at the conclu- sion of this survey.)  £ Yes  £ No 2. Would you be willing to participate in a follow-up phone interview?  £ Yes  £ No 3. Please rank the statements below that best describes your STAâs typical approach to the utility coordination process? (1 being the most applicable term, 3 being the least applicable term) â Proactive (try to anticipate needs and accomplish them prior to realization) â Reactive (wait until needs are realized and then start to address them) â Interactive (work collaboratively with project teams in the creation and addressing of needs) Comments: Click here to enter text. 4. Please rate the effectiveness of your utility relocation process in EACH of the following areas (RATE each of the areas according to the following scale: 5-âNot Effective,â 4-âSomewhat Effective,â 3-âEffective,â 2-âVery Effective,â 1-âExtremely Effectiveâ). â Timely Utility Involvement on the Project â Utility Coordination Communication â Utility Relocation/Alignment Is Considered Within Design Decisions â Minimized Utility Relocation Costs â Timely Utility Relocations 5. Please provide a short statement of support for your ratings in Question 4. For example, an STA may respond that they have Effective Utility Coordination practices on the basis that utility relocations are rarely impactful of lettings or project con- struction and they are involved early and work collaboratively as part of the project development team. Click here to enter text. 6. Has your agency performed any analysis of the effectiveness (in terms of the amount of utility delays during construction, percent of relocations complete prior to letting, or letting delays due to utilities) of your procedures for utility coordination? (There is a follow-up opportunity to provide documentation, web link(s), file(s), or contact information at the conclusion of this survey.)  £ Yes  £ No  £ Unsure 7. In your STA, what best describes the location of the business unit responsible for utility coordination?  £ Division of Design  £ Division of Right-of-Way  £ Division of Permitting  £ Division of Maintenance/Operations
48  £ Division of Utilities  £ Other: Click here to enter text. 8. Stemming from Question 7, is the utility coordination business unit organized differently at the regional/district level versus the central/statewide level?  £ Yes  £ No 9. To expound upon your response in Questions 7 and 8, please provide a short statement regarding utility coordination within the agency. We would like to know who is responsible for utility coordination at a project level (one utility coordinator, project managers, a team of utility coordinators, or consultants), and if utility coordination responsibilities change within the project; for instance, some states handle utility coordination with a centralized utility coordinator within design but it becomes the district construction managerâs responsibility during construction. Click here to enter text. 10. What core elements would you consider the most vital for an effective utility coordination process? (Please select up to your top 8 choices.)  £ Defined Procedures (i.e., Utility Coordination Guidance Manual)  £ Early Utility Involvement in Design (30% or earlier)  £ Utility Mapping System (utility location information entered into a GIS-based system)  £ Use of Utility Corridors  £ Future Use ROW Acquisition  £ Use of SUE (Subsurface Utility Engineering)  £ Use of Standardized Utility Agreements  £ Pay for Relocations That Are Traditionally Non-reimbursable  £ Identify and Plan for Long-Lead Items  £ Communication of Long-Range Transportation Plan  £ Communication of Short-Range Transportation Plan  £ Regularly Scheduled Meetings with Utility Owners  £ Training Program for Design Engineers on Utility Coordination  £ Utility Conflict Matrix Tracking System  £ Documented Guidance on Utility Conflict Resolution Methods (by type of conflict)  £ Utility Preconstruction Meetings  £ Programmatic/System Collaborative Planning with Utilities (matching utility infrastructure plans to long-term highway plans)  £ Process for Utility Risk Management  £ Considerations of Costs & Reimbursements for Design/Construction Versus Utility Relocations  £ Consideration of Utilities Relocation Schedules in Relation to Project Schedules  £ Uses of Advanced Utility Location/Marking Technologies (Marker Balls, etc.)  £ Process for Safety Mitigation in Utility Coordination  £ Other: Click here to enter text.
49 11. At what point in project development/design does the utility coordination process typically begin? (Select the best answer relative to your STA.)  £ During Planning  £ 10% Project Design Complete  £ 30% Project Design Complete  £ 60% Project Design Complete  £ 90% Project Design Complete Comments: Click here to enter text. 12. When do particular project stakeholders become involved in your utility coordination process (as a percent of the utility coordination and relocation processâthe process being considered is from identified potential conflicts through the reloca- tion of affected utilities)? Project Design Managers £Start £10% £30% £60% £90% Project Design Consultants £Start £10% £30% £60% £90% Location Services £Start £10% £30% £60% £90% ROW Agents/Managers £Start £10% £30% £60% £90% Utility Owners £Start £10% £30% £60% £90% Utility Contractors £Start £10% £30% £60% £90% Utility Designers £Start £10% £30% £60% £90% Other: Click here to enter text. £Start £10% £30% £60% £90% 13. What has been your STAâs level of implementation of the following SHRP2 Utility Focused practices? SHRP2 R01A: 3D Utility Location Data Repository ~ technologies that support, store, retrieve, and use 3D utility location data  £ None  £ Little  £ Some  £ Complete  £ Not Sure SHRP2 R01B: 3D Utility Investigation Technologies ~ the advanced application of SUE through combining multiple tech- nologies (multi-channel ground penetrating radar, time domain electromagnetic induction, etc.) based on soil type, utility material, terrain type, and other features  £ None  £ Little  £ Some  £ Complete  £ Not Sure
50 SHRP2 R15B: Identifying and Managing Utility Conflicts ~ the development and use of a utility conflict matrix and database system to manage utility conflicts throughout the design and construction  £ None  £ Little  £ Some  £ Complete  £ Not Sure Comments (please add comments, especially if you incorporated these practices prior to the SHRP2 projects, or if you are a pilot state for any of the above): Click here to enter text. 14. Is a single point of contact used to conduct and manage the utility coordination process (i.e., you attempt to have a single project utility coordinator for the life of the project)?  £ Yes  £ No 15. In regard to Question 14, please expound as to how the utility coordination is managed. Click here to enter text. 16. Does your STA have a process for setting the scope (utility relocation/coordination, project schedule/durations, and cost esti- mate) required for a projectâs utility coordination? (There is a follow-up opportunity to provide documentation, web link(s), file(s), or contact information at the conclusion of this survey.)  £ Yes  £ No 17. Please rank order the factors considered in scoping an individual projectâs utility coordination. (1 being the top consideration and 9 being the least important) â Project Schedule â Number of Utilities Involved â Type of Utilities Involved â Number of ROW Parcels Involved â ROW Parcels Type (Residential, Commercial, Urban, Rural, etc.) â Project Classification (New Route, Road Widening, Resurfacing, etc.) â Location Classification (Urban versus Rural) â Level of Coordination Effort â Level of Utility Risk 18. What utility coordination practices are used by your STA? (Please check all that apply; include practices that you use in a limited fashion or even as a trial. Many of these are not appropriate for use on every project.)  £ Defined Procedures (i.e., Utility Coordination Guidance Manual)  £ Early Utility Involvement in Design (30% or earlier)  £ Utility Mapping System (utility location information entered into a GIS-based system)  £ Use of Utility Corridors  £ Future Use ROW Acquisition  £ Use of SUE (Subsurface Utility Engineering)
51  £ Use of Standardized Utility Agreements  £ Pay for Relocations That Are Traditionally Non-reimbursable  £ Identify and Plan for Long-Lead Items  £ Communication of Long-Range Transportation Plan  £ Communication of Short-Range Transportation Plan  £ Regularly Scheduled Meetings with Utility Owners  £ Training Program for Design Engineers on Utility Coordination  £ Utility Conflict Matrix Tracking System  £ Documented Guidance on Utility Conflict Resolution Methods (by type of conflict)  £ Utility Preconstruction Meetings  £ Programmatic/System Collaborative Planning with Utilities (matching utility infrastructure plans to long-term highway plans)  £ Process for Utility Risk Management  £ Considerations of Costs & Reimbursements for Design/Construction Versus Utility Relocations  £ Consideration of Utilities Relocation Schedules in Relation to Project Schedules  £ Uses of Advanced Utility Location/Marking Technologies (Marker Balls, etc.)  £ Process for Safety Mitigation in Utility Coordination  £ Other: Click here to enter text.  £ Other: Click here to enter text. 19. Rate utility coordination involved with alternative contract procurement methods (design-build, P3, CMGC) in comparison to utility coordination on design-bid-build projects.  £ Better  £ Same  £Worse  £ Not Applicable 20. In regard to Question 19, please expound as to how the utility coordination is affected by alternative procurement methods. Click here to enter text. Practices Related to Consultant-Led Utility Coordination 21. Does your STA use consultant-led utility coordination (either as part of a stand-alone utility consultant agreement or a project design consultant agreement? (If no, skip to the next section of questions.)  £ Yes  £ No 22. Please categorize your contracts associated with consultant-led coordination.  £ Stand-alone  £ Part of a Project Design Consultant Agreement  £ Both
52 23. If you use a stand-alone utility consultant agreement, how would you rate consultant-led utility coordination relative to in-house?  £ Better  £ Same  £Worse  £ Not Applicable Comments: Click here to enter text. 24. If the utility coordination is part of a project design consultant agreement, how would you rate consultant-led utility coordina- tion relative to in-house?  £ Better  £ Same  £Worse  £ Not Applicable Comments: Click here to enter text. 25. Does your agency require pre-qualifications (including qualification as part of the consultant solicitation) for consultant-led utility coordination? (There is a follow-up opportunity to provide documentation, web link(s), file(s), or contact information at the conclusion of this survey.)  £ Yes  £ No 26. Does your agency evaluate performance in consultant-led utility coordination? (There is a follow-up opportunity to provide documentation, web link(s), file(s), or contact information at the conclusion of this survey.)  £ Yes  £ No 27. How does the STA manage the consultant-led utility coordination? (Select the best answer relative to your STA.)  £ Central/Statewide Oversight  £ Local Coordinator Oversight  £ Local Design Team Oversight  £ Other: Click here to enter text. 28. Why does your STA use consultant-led utility coordination? (Select the best answer relative to your STA.)  £ Limited Number of STA In-House Staff  £ Lack of STA In-House Expertise  £ Complexity of Design  £ Complexity of Utilities Involved  £ Scope/Size of Project  £ Other: Click here to enter text.
53 Utility Coordination Certification, Training, and Education Questions 29. Does your STA make available and/or require any certification or training for utility coordination? (If no, skip to the next section of questions.) (There is a follow-up opportunity to provide documentation, web link(s), file(s), or contact information at the conclusion of this survey.)  £ Yes  £ No Comments: Click here to enter text. 30. What stakeholder groups are offered training in utility coordination by your STA? (Select all that apply.)  £ In-House Utility Coordination Staff  £ In-House Design Staff  £ In-House Construction Staff  £ Stand-Alone Utility Coordination Consultants  £ Design Consultants Conducting Utility Coordination  £ Other: Click here to enter text.  £ Other: Click here to enter text. 31. Do any universities/trade programs/technical colleges offer utility coordination curriculum within your state?  £ Yes  £ No  £ Unsure Utility-Related Legislation, Regulations, and Guidance Questions 32. Do you find there are inconsistencies in state or federal legislation or regulations causing utility coordination issues? (If no or unsure, skip the next question.)  £ Yes  £ No  £ Unsure 33. If the response to Question 32 is yes, please give a brief description below so we can further research the inconsistencies. Click here to enter text. 34. Do you find there are guidance (STA guidance manuals, federal guidance, etc.) related inconsistencies causing utility coor- dination issues? (If no, skip the next question.)  £ Yes  £ No
54 35. If the response to Question 34 is yes, please give a brief description below so we can further research the inconsistencies. Click here to enter text. Future Opportunities 36. Which areas seem to be of most need relative to the future of the utility engineering field? (Select your top 3.)  £ Location Technologies  £ Standard Coordination Procedures  £ Updated Legislation & Regulations  £ Standardized Relocation Cost Rates (Predetermined Schedule of Costs)  £ Improved Understanding of SUE  £ Other: Click here to enter text.  £ Other: Click here to enter text. 37. What knowledge gaps (areas for future technology, current legislation needs, etc.) do you see in the field of utility coordination? Click here to enter text. Follow-Up Documentation 38. Question 1 asked, âDoes your agency use documented procedures (manual of instructions, policy, and/or guidance manual) for utility coordination?â If you responded yes, please attach any documentation (or relevant tools) in the form of text, web link(s), file(s), or contact information to make a request for the information below. Click here to enter text. 39. Question 6 asked, âHas your agency performed any analysis of the effectiveness (in terms of the amount of utility delays during construction, percent of relocations complete prior to letting, or letting delays due to utilities) of your procedures for utility coordination?â If you responded yes, please attach any associated documentation of the analysis in the form of text, web link(s), file(s), or contact information to make a request for the information below. Click here to enter text. 40. Question 16 asked, âDoes your STA have a process for setting the scope (utility relocation/coordination, project schedule/ durations, and cost estimate) required for a projectâs utility coordination?â If you responded yes, please attach any documen- tation in the form of text, web link(s), file(s), or contact information to make a request for the information below. Click here to enter text. 41. Question 25 asked, âDoes your agency require pre-qualifications (including qualification as part of the consultant solicita- tion) for consultant-led utility coordination?â If you responded yes, please attach any documentation below on the types of pre-qualifications required in the form of text, web link(s), file(s), or contact information to make a request for the information. Click here to enter text. 42. Question 26 asked, âDoes your agency evaluate performance in consultant-led utility coordination?â If you responded yes, please attach any documentation in the form of text, web link(s), file(s), or contact information to make a request for the information below. Click here to enter text.
55 43. Question 29 asked, âDoes your STA make available and/or require any certification or training for utility coordination?â If you responded yes, please attach any documentation in the form of text, web link(s), file(s), or contact information to make a request for the information below. Click here to enter text. The survey is complete. Thank you for your participation! NCHRP Topic 47-14 Non-State Stakeholder Survey Questionnaire November 2015 Synthesis 47-14 seeks to determine how previous research has been incorporated into current practice and compile information about how state transportation agencies (STAs) and utility stakeholders are scoping, conducting, and managing effective utility coordination. Additional information will be collected on factors including: ⢠Identification of the core elements of effective utility coordination; ⢠Current practices to manage consultant-led utility coordination, both stand-alone and those incorporated into design contracts; ⢠Current practices to perform utility coordination in-house; ⢠How and when stakeholders are integrated into the utility coordination process (e.g., design team, contractors, utility owners, consultants, resource agencies); ⢠Pre-qualification requirements for consultants and evaluation measures of performance; ⢠Training and certification available and/or required for utility stakeholders; ⢠How academic programs are educating students about utility engineering; ⢠The process by which an effective utility coordination project is scoped (e.g., project schedule, type and complexity of project, level of effort, level of risk); ⢠Gaps in knowledge and research; and ⢠Examples of inconsistencies between legislation, regulations, guidance, and practice. Pilot tests indicated an average time of [X] minutes to complete the survey. Please complete the online questionnaire by [date]. If you have questions or would prefer to complete a paper-copy questionnaire, please contact: Roy Sturgill Email: roy.sturgill@uky.edu Phone: (859) 218-0119 Please include your contact information. NCHRP will email you a link to the online report when it is completed. Company/Agency: __________________________________________________ Address: __________________________________________________________ _________________________________________________________________ City: _____________________________________________________________ State: ____________________________________________________________ ZIP: _____________________________________________________________ Questionnaire Contact: ______________________________________________ Position/Title: _____________________________________________________ In case of questions and for NCHRP to send you a link to the final report, please provide: Tel: ______________________________________________________________ Email: ___________________________________________________________
56 General Utility Coordination Process Information 1. Which of the following best describes your agency?  £ Utility Coordination Consultant  £ Road Design Consultant Conducting Utility Coordination  £ Utility Owner (Design/Construction/Management)  £ Utility Designer (Consultant to Utility Company)  £ Utility Contractor (Consultant to Utility Company)  £ Researcher  £ Other: Click here to enter text. 2. If your agency/company manages the utility coordination for an STA, do you use documented procedures (policy and/or guidance manual)? (There is a follow-up opportunity to provide documentation, web link(s), file(s), or contact information at the conclusion of this survey.)  £ Yes  £ No  £ Not Applicable 3. Would you be willing to participate in a follow-up phone interview?  £ Yes  £ No 4. Does your company have an interest in improved utility coordination regarding an STAâs schedule and budget (i.e., our com- pany strives to aid in STA project success)?  £ Yes  £ No  £ Unsure Please provide comments regarding your response: Click here to enter text. 5. What core elements would you consider the most vital for an effective utility coordination process? (Please select your top 8 choices.)  £ Defined Procedures (i.e., Utility Coordination Guidance Manual)  £ Early Utility Involvement in Design (30% or earlier)  £ Utility Mapping System (utility location information entered into a GIS-based system)  £ Use of Utility Corridors  £ Future Use ROW Acquisition  £ Use of SUE (Subsurface Utility Engineering)  £ Use of Standardized Utility Agreements  £ Pay for Relocations That Are Traditionally Non-reimbursable  £ Identify and Plan for Long-Lead Items  £ Communication of Long-Range Transportation Plan  £ Communication of Short-Range Transportation Plan  £ Regularly Scheduled Meetings with Utility Owners
57  £ Training Program for Design Engineers on Utility Coordination  £ Utility Conflict Matrix Tracking System  £ Documented Guidance on Utility Conflict Resolution Methods (by type of conflict)  £ Utility Preconstruction Meetings  £ Programmatic/System Collaborative Planning with Utilities (matching utility infrastructure plans to long-term highway plans)  £ Process for Utility Risk Management  £ Considerations of Costs & Reimbursements for Design/Construction Versus Utility Relocations  £ Consideration of Utilities Relocation Schedules in Relation to Project Schedules  £ Uses of Advanced Utility Location/Marking Technologies (Marker Balls, etc.)  £ Process for Safety Mitigation in Utility Coordination  £ Other: Click here to enter text. 6. At what point in project development does your companyâs typically get involved regarding utility coordination? (Select the answer based upon your agency/company experience.)  £ During Planning  £ 10% Project Design Complete  £ 30% Project Design Complete  £ 60% Project Design Complete  £ 90% Project Design Complete Comments: Click here to enter text. 7. Is a single point of contact used to conduct and manage the utility coordination process (i.e., you attempt to have a single project utility coordinator for the life of the project)?  £ Yes  £ No  £ Not Applicable 8. In regard to Question 7, please expound as to how the utility coordination is managed. Click here to enter text. 9. Which of the following practices have you witnessed being used within utility coordination? (Please check all that apply.)  £ Defined Procedures (i.e., Utility Coordination Guidance Manual)  £ Early Utility Involvement in Design (30% or earlier)  £ Utility Mapping System (utility location information entered into a GIS-based system)  £ Use of Utility Corridors  £ Future Use ROW Acquisition  £ Use of SUE (Subsurface Utility Engineering)  £ Use of Standardized Utility Agreements  £ Pay for Relocations That Are Traditionally Non-reimbursable  £ Identify and Plan for Long-Lead Items  £ Communication of Long-Range Transportation Plan
58  £ Communication of Short-Range Transportation Plan  £ Regularly Scheduled Meetings with Utility Owners  £ Training Program for Design Engineers on Utility Coordination  £ Utility Conflict Matrix Tracking System  £ Documented Guidance on Utility Conflict Resolution Methods (by type of conflict)  £ Utility Preconstruction Meetings  £ Programmatic/System Collaborative Planning with Utilities (matching utility infrastructure plans to long-term highway plans)  £ Process for Utility Risk Management  £ Considerations of Costs & Reimbursements for Design/Construction Versus Utility Relocations  £ Consideration of Utilities Relocation Schedules in Relation to Project Schedules  £ Uses of Advanced Utility Location/Marking Technologies (Marker Balls, etc.)  £ Process for Safety Mitigation in Utility Coordination  £ Other: Click here to enter text.  £ Other: Click here to enter text. 10. Rate utility coordination involved with alternative contract procurement methods (design-build, P3, CMGC) in comparison to utility coordination on design-bid-build projects.  £ Better  £ Same  £Worse  £ Not Applicable 11. In regard to Question 10, please expound as to how the utility coordination is affected by alternative procurement methods. Click here to enter text. Practices Related to Consultant-Led Utility Coordination 12. How would you rate consultant-led utility when compared to coordination by STA staff?  £ Better  £ Same  £Worse  £ Not Applicable 13. Please categorize the types of contracts your organization has used or been involved in associated with consultant-led coordination.  £ Stand-Alone  £ Incorporated into Project Design  £ Both  £ None
59 14. Does your agency/organization require or been required to attain pre-qualifications for consultant-led utility coordination?  £ Yes  £ No  £ N/A 15. Has your agency/organization evaluated, or been evaluated on, performance in consultant-led utility coordination?  £ Yes  £ No  £ N/A 16. Would you like to note any challenges relative to consultant-led utility coordination? Click here to enter text. 17. Would you like to note any opportunities relative to consultant-led utility coordination? Click here to enter text. Utility Coordination Certification, Training, and Education Questions 18. Does your agency/company make available or been required to have any certification or training for utility stakeholders? (If no, skip to the next section of questions.)  £ Yes  £ No 19. If the response to Question 18 is yes, please discuss below. Click here to enter text. 20. Do any universities/trade programs/technical colleges offer utility coordination curriculum within your state?  £ Yes  £ No  £ Unsure Utility-Related Legislation, Regulations, and Guidance Questions 21. Do you find there are inconsistencies in state or federal legislation or regulations causing utility coordination issues? (If no, skip the next question.)  £ Yes  £ No 22. If the response to Question 21 is yes, please give a brief description below so we can further research the inconsistencies. Click here to enter text. 23. Do you find there are guidance (STA guidance manuals, federal guidance, etc.) related inconsistencies causing utility coor- dination issues? (If no, skip the next question.)  £ Yes  £ No
60 24. If the response to Question 23 is yes, please give a brief description below so we can further research the inconsistencies. Click here to enter text. Future Opportunities 25. Which areas seem to be of most need relative to the future of the utility engineering field? (Select your top 3.)  £ Location Technologies  £ Standard Coordination Procedures  £ Updated Legislation & Regulations  £ Standardized Relocation Cost Rates (Predetermined Schedule of Costs)  £ Improved Understanding of SUE  £ Other: Click here to enter text.  £ Other: Click here to enter text. 26. What knowledge gaps (areas for future technology, current legislation needs, etc.) do you see in the field of utility coordination? Click here to enter text. Follow-Up Documentation 27. Question 2 asks, âIf your agency/company manages the utility coordination for an STA, do you use documented procedures (policy and/or guidance manual)?â If you responded yes, please attach any documentation below on the types of pre-quali- fications required in the form of text, web link(s), file(s), or contact information to make a request for the information. Click here to enter text. The survey is complete. Thank you for your participation!
