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N A T I O N A L C O O P E R A T I V E H I G H W A Y R E S E A R C H P R O G R A M NCHRP REPORT 771 Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices Cesar Quiroga Ioannis Tsapakis John Overman Stuart Anderson Texas a&M TransporTaTion insTiTuTe College Station, TX Lisa Harrison Alex Souder Aaron Adkins pinnacle consulTing ManageMenT group inc. Oklahoma City, OK Robert Cooney eVision parTners inc. Raleigh, NC and Robert Neblett W. Brad Anderson Jackson Walker l.l.p. Austin, TX Subscriber Categories Administration and Management ⢠Planning and Forecasting TRANSPORTAT ION RESEARCH BOARD WASHINGTON, D.C. 2014 www.TRB.org 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 research provides the most effective approach to the solution of many problems facing highway administrators and engineers. Often, highway problems are of local interest and can best be studied by highway departments individually or in cooperation with their state universities and others. However, the accelerating growth of highway transportation develops increasingly complex problems of wide interest to highway authorities. These problems are best studied through a coordinated program of cooperative research. In recognition of these needs, the highway administrators of the American Association of State Highway and Transportation Officials initiated in 1962 an objective national highway research program employing modern scientific techniques. This program is supported on a continuing basis by funds from participating member states of the Association and it receives the full cooperation and support of the Federal Highway Administration, United States Department of Transportation. The Transportation Research Board of the National Academies was requested by the Association to administer the research program because of the Boardâs recognized objectivity and understanding of modern research practices. The Board is uniquely suited for this purpose as it maintains an extensive committee structure from which authorities on any highway transportation subject may be drawn; it possesses avenues of communications and cooperation with federal, state and local governmental agencies, universities, and industry; its relationship to the National Research Council is an insurance of objectivity; it maintains a full-time research correlation staff of specialists in highway transportation matters to bring the findings of research directly to those who are in a position to use them. The program is developed on the basis of research needs identified by chief administrators of the highway and transportation departments and by committees of AASHTO. Each year, specific areas of research needs to be included in the program are proposed to the National Research Council and the Board by the American Association of State Highway and Transportation Officials. Research projects to fulfill these needs are defined by the Board, and qualified research agencies are selected from those that have submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Research Council and the Transportation Research Board. The needs for highway research are many, and the National Cooperative Highway Research Program can make significant contributions to the solution of 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. Published reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from: Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at: http://www.national-academies.org/trb/bookstore Printed in the United States of America NCHRP REPORT 771 Project 20-84 ISSN 0077-5614 ISBN 978-0-309-30810-6 Library of Congress Control Number 2014952725 © 2014 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, FAA, FHWA, FMCSA, FTA, or Transit Development Corporation 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 project that is the subject of this report was a part of the National Cooperative Highway Research Program, conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council. The members of the technical panel selected to monitor this project and to review this report were chosen for their special competencies and with regard for appropriate balance. The 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 Governing Board of the National Research Council. 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 Research Council, or the program sponsors. The Transportation Research Board of the National Academies, the National Research Council, and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturersâ names appear herein solely because they are considered essential to the object of the report.
The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. C. D. Mote, Jr., is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Victor J. Dzau is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academyâs purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. C. D. Mote, Jr., are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transporta- tion Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Boardâs varied activities annually engage about 7,000 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 individu- als interested in the development of transportation. www.TRB.org www.national-academies.org
C O O P E R A T I V E R E S E A R C H P R O G R A M S AUTHOR ACKNOWLEDGMENTS The research reported herein was performed under NCHRP Project 20-84 by the Texas A&M Trans- portation Institute (TTI) in collaboration with Pinnacle Consulting Management Group Inc., eVision Partners Inc., and Jackson Walker L.L.P. TTI was the prime contractor for this study, with Sponsored Research Services at the Texas A&M University System serving as Fiscal Administrator. Dr. Cesar Quiroga, P.E., Senior Research Engineer at TTI, was the Principal Investigator. The other authors of this report are Dr. Ioannis Tsapakis, Assistant Research Scientist, and John Overman, Associate Research Scientist, both at TTI; Dr. Stuart Anderson, Professor of Civil Engineering at Texas A&M University; Lisa Harrison, President, Alex Souder, Senior Vice President, and Aaron Adkins, Program Manager, all at Pinnacle Con- sulting Management Group; Robert Cooney, President at eVision Partners; and Robert Neblett, Head of the Eminent Domain Section, and W. Brad Anderson, Associate, at Jackson Walker L.L.P. CRP STAFF FOR NCHRP REPORT 771 Christopher W. Jenks, Director, Cooperative Research Programs Christopher Hedges, Manager, National Cooperative Highway Research Program David A. Reynaud, Senior Program Officer Megan A. Chamberlain, Senior Program Assistant Eileen P. Delaney, Director of Publications Sharon Lamberton, Editor NCHRP PROJECT 20-84 PANEL Area TwentyâSpecial Projects John L. Garner, Tallahassee, FL (Chair) John P. Campbell, Texas DOT, Austin, TX Gerald L. Gallinger, Olympia, WA (retired) John Michael Jones, Federal Highway Administration, Washington, DC Lyle McMillan, Utah DOT, Salt Lake City, UT James S. Thiel, Madison, WI Kenneth M. Towcimak, Tallahassee, FL Mark L. Weaver, California DOT, Oakland, CA Kathleen A. Facer, Leawood, KS (retired) Bruce H. Bradley, FHWA Liaison Kimberly Fisher, TRB Liaison James B. McDaniel, TRB Liaison
F O R E W O R D By David A. Reynaud Staff Officer Transportation Research Board This report provides (a) improved, integrated real property procedures and business prac- tices in the project development and delivery process; and (b) suggestions to improve prop- erty management practices. An online survey, follow-up interviews, and a peer exchange meeting were used to determine which business practices are critical to the mission of the project development and delivery process and real property management. This report will be of interest to right-of-way administrators and real property managers. Inefficiencies in the process to acquire and manage real property have a significant impact on the ability of transportation agencies to develop and deliver transportation projects effectively. Acquisition of real property is frequently on the critical path of transportation projects. Delays in acquiring real property are one of the main reasons (along with environ- mental reviews and utility relocations) for project delays and cost overruns. Current right-of-way practice and procedural manuals are the products of forty years of statutes, case law, regulations, management styles, and best practices, brought into com- pliance with the requirements in the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (Uniform Act). State procedures vary widely because of differences in state laws. Local agencies are required to follow state DOT procedural manu- als when they use state or federal funding. Questions arise as new staff try to understand the reason or underlying basis for requirements. Contractors and consultants face a wide array of requirements and forms among the various states. The objective of NCHRP Project 20-84 was to develop (1) improved right-of-way proce- dures and business practices for the project development and delivery process, and (2) best practices for the long-term management of real property interests. This research compares a typical right-of-way business model currently in compliance with the Uniform Act and federal regulations with an improved model based upon an objective analysis of its key elements. The research was performed by Texas A&M Transportation Institute and produced (a) an integrated model of the transportation project development and delivery process, including a real property acquisition and relocation assistance model in accordance with 42 U.S.C. 4601 et seq.; (b) a reference real property acquisition and relocation assistance work sched- ule; and (c) a discussion of issues and challenges affecting project development and delivery that typically involve real property components, as well as strategies to address those issues and challenges. Standalone versions of the integrated model and reference work schedule were also developed and are included with this report in the attached CRP-CD 154.
C O N T E N T S 1 Summary 8 Chapter 1 Background 9 Chapter 2 Survey, Follow-up Interviews, and Literature Review 9 Introduction 9 Online Survey and Follow-up Interviews 11 Previous Initiatives and Studies 25 Chapter 3 Integrated Transportation Project Development and Delivery Process Modeling 25 Introduction 25 Traditional Approaches to Visualize the Process 27 Representation of the Process at State Agencies 31 Generic Project Development and Delivery Process Model 32 Variations from the Generic Process 50 Real Property Acquisition and Relocation Assistance According to the Uniform Act 67 Summary 69 Chapter 4 Reference Real Property Acquisition and Relocation Assistance Work Schedule 69 Introduction 69 Project Duration 74 Reference Work Schedule 85 Summary 86 Chapter 5 Issues, Challenges, and Strategies for Improvement or Optimization 86 Introduction 86 Definition, Selection, Financing, and Scheduling 88 Alternative Analysis and Preliminary Plans 89 Environmental Process 90 Design and PS&E Assembly 91 Right-of-Way Map, Authorization to Acquire Property, Property Acquisition, and Relocation Assistance 108 Property Management 111 Utility Conflict Analysis, Permits, Relocation, and Reimbursement 112 Project Management 113 Other Issues and Strategies for Improvement or Optimization 115 Summary 118 Chapter 6 Conclusions and Suggestions 118 Conclusions 122 Suggestions
124 References 128 Additional Resources 129 List of Abbreviations A-1 Appendix A Survey Instrument B-1 Appendix B Survey Results C-1 Appendix C Integrated Transportation Project Development and Delivery Process Phases and Activities Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at www.trb.org) retains the full-color versions.
