KYTC executes legally binding agreements that establish, in writing, the responsibilities assigned to a utility company and the Cabinet during utility relocation.

2.1 Agreement Types

Table 1 describes the types of agreement KYTC uses to facilitate utility relocations.

2.2 Processing Agreements

For an agreement to be effective, it must contain all required information and an appropriate level of detail. Agreements should include the following:

• County
• Item #
• Funding line
• Route
• Vendor name
• Vendor address
• Correct name and address
• Form TC 10 date
• Dollar amount
• Scope of work

The flowchart below illustrates the process of drafting and routing an agreement.

To draft an agreement in KURTS go to the project and click the Initiation tab. Then select funding type:

Once the funding type is set, click the Agreement/Approvals tab. Then click the Draft Agreement tab:

Once the Draft Agreement tab is clicked, another window opens that requests information about the agreement:

After entering the required data, KURTS generates a draft agreement that contains all of this information:

After the agreement is generated, return to KURTS and click the Upload Agreement tab.

Select which utility company the agreement is for and the type of agreement. Once the DUS and AC approve the draft agreement in KURTS, it is ready to be sent for signatures in DocuSign.

In DocuSign click the New dropdown menu and select Send an Envelope:

Upload documentation into DocuSign. Required documentation varies based on agreement type:

• Relocation Agreements
  • Agreement
  • Plans
  • Estimates
• Engineering Service Agreements
  • Agreement
  • Engineering services contract package
  • Engineering services estimate

Once documents are uploaded click the vertical ellipsis ( ) and choose Apply Template:

Click on Utilities Agreement Template. Then click Next. This brings up the signature panel with the required signatures loaded:

Verify signature tabs are in the correct place. After confirming, click Send on the bottom right of the page. If a document signed outside of DocuSign is uploaded, users must manually enter the recipients and position the signature tabs.

No Charge Agreement

A different process is used for No Charge Agreements. In KURTS go to Manage Documents and click Upload Document. The Upload/Create Document window pop ups. On the Utility dropdown menu, chose the relevant utility company. On the Document dropdown menu, select Plans. In response to the question, Is any work reimbursable under state law to the company?, click No. At this point, the Create Draft button appears.

Click Create Draft. At this point KURTS generates a No Charge Agreement:

Once the draft is created, return to the KURTS Upload/Create Document window and upload the draft agreement and plans. The draft agreement is sent out for signatures via DocuSign. Signature procedures are the same as described above for a keep cost agreement.

3.1 Basic Concepts

When Change Orders are Needed

For keep-cost agreements a utility company must request a change order if it needs to perform work or acquire materials not specified under the original agreement.

For lump sum agreements a utility company must request a change order if it needs to perform work or acquire materials not included in or anticipated by the agreed-upon scope of work.

Request and Approval of Change Orders

A utility company is not authorized to perform additional work until (1) it submits a completed Form TC 69-4 (Utility/Rail Agreement Change Order) to the Utility Supervisor (US) and (2) justifying documentation have been reviewed, processed, and approved by the following authorities:

• The US, if the amount of the change order is $25,000 or less
• The US and Central Office Utilities and Rail Branch, if the change order exceeds $25,000

In addition to approval by these authorities a change order cannot receive final approval, nor can work proceed, until funding is available to reimburse costs associated with the change order. If a utility company does not receive prior authorization from KYTC before performing work specified in a change order, it may not be reimbursed.

Availability of Funds for Change Orders

There must be available non-encumbered funds authorized via Form TC 10 (Project Authorization) associated with the specified work change by executed agreement to cover the additional change order costs.

There must be federally approved non-encumbered funds authorized via Form PR-1 (Federal Reimbursement Authorization) if additional work is part of a federally approved phase of the project.

If KYTC does not have enough funds to cover the change order amount, the Utilities Section must acquire additional funding by submitting a request in KURTS for additional funds (see UR-603 for details).

3.2 Processing Change Orders

All change orders should be generated in KURTS. To do this, visit the Project Status page and scroll down to the list of Executed Agreements. Select the appropriate agreement. Then click the Change Order button:

Once the change order has been generated, it goes through the process illustrated in the flowchart below.

Utility companies submit invoices for design and relocations costs according to the terms of their agreement with KYTC.

4.1 Invoice Definitions

An invoice (i.e., letter invoice) is a document prepared by a utility company document that contains a request for reimbursement. The invoice includes backup documentation to support the invoice.

A Statement of Charges is contained in Form TC 69-8 (Utility/Rail Agreement Statement of Charges). This form is generated electronically and submitted using KURTS. Before this form is submitted, verify the following information is correct:

• Funding line
• Item #
• Agreement #
• Agreement start date
• Payment #
• Invoice # (from the company)
• Remit to address
• Dollar amount of the payment

Along with an invoice a utility company must submit supporting documentation that addresses issues such as:

• Costs associated with ROW or easement acquisition
• Labor costs which may require man-hours and rates
• Overhead costs
• Materials costs
• Cost to remove materials
• Equipment costs
• Salvage credits
• Betterment credits
• Service life credit
• As-built plans (for final bills)

4.2 Processing Invoices

To obtain correct project information, generate the statement of charges (SOC) in KURTS. Once the utility company signs the SOC, it can be uploaded into KURTS for approvals.

From the Project Status page, select a utility company from the list of executed agreements. Then click the Invoice button:

Clicking the Invoice button brings up a list of current invoices. Click the Generate Invoice button to create a new invoice.

Enter the type of invoice (partial or final) and its amount. Verify the SOC is generated by KURTS so that all the correct project information is carried forward. Once the utility company signs the SOC, upload it to KURTS on the Statement of Charges page by clicking the Upload Invoice button. Once the invoice is uploaded into KURTS, it is ready for approvals.

• All partial and final lump sum invoices are processed at the District level by the District eMARS processor. These invoices only require approval of the DUS and PDBM.
• All final keep-cost invoices are approved by the DUS, PDBM, Director of ROW, AC, and UBM. Once all approvals have been received these invoices are processed in eMARS by Central Office.

Once the invoice has been processed in eMARS follow the steps in the flowchart below to pay the invoice.

If a payment is cancelled it shows up in the Status column:

Common reasons for cancelled payments include:

• The check was sent to the wrong remit to address
• An incorrect company name appeared on the check
• The check was paid against the wrong agreement

If a payment is canceled and a new check issued, note the new check number or PRC # in the notes on the Project Status page. This provides evidence that the payment number was paid as well as the PRC #.

Utilities and Rails Guidance Manual

KYTC Utility Coordination Website

Utility Betterments and Agreements 

Utility Engineering and Coordination

Subsurface Utility Engineering (SUE)

Utility Coordination Deliverables

Utility Relocation Plans

Tracking Utility Conflicts