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Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices (2014)

Chapter: Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling

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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
×
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Suggested Citation:"Chapter 3 - Integrated Transportation Project Development and Delivery Process Modeling." National Academies of Sciences, Engineering, and Medicine. 2014. Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices. Washington, DC: The National Academies Press. doi: 10.17226/22252.
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Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

25 C H A P T E R 3 Introduction This chapter summarizes the work completed to identify existing project development and delivery workflows and develop a reference (or typical) model of the transportation project development and delivery process at state DOTs. The chapter outlines different approaches to visualize the process and describes a generic model based on a review of processes and documentation at most state DOTs around the country. This chapter also summarizes the work completed to develop a real property acquisition and relocation assistance model in accordance with the requirements in the Uniform Act (42 U.S.C. 4601 et seq.). The chapter outlines the meth- odology followed to develop the model and describes each existing property acquisition and relocation assistance proce- dure and business practice without constraints from existing regulations. To provide a proper context to the analysis, the chapter describes the existing transportation project development and delivery process while highlighting components of the process that (a) represent, (b) are needed to support, or (c) require a direct, major output from real property acquisition and relo- cation assistance activities. Although the generic models described in this chapter are intended to represent typical conditions, the models incor- porate a few suggestions from stakeholders (as well as les- sons learned from prior research and implementation work carried out by members of the research team) regarding best practices for project development and delivery. Examples of these best practices include depicting project management as an activity that spans project development and delivery; starting the design phase with a significant level of proj- ect definition; and conducting design, utility coordination and relocation, and real property acquisition in parallel as opposed to sequentially. Traditional Approaches to Visualize the Process Varied representations of the transportation project devel- opment and delivery process appear in the literature. For example, Figure 7 shows a depiction of the process accord- ing to the FHWA Real Estate Acquisition Guide for Local Public Agencies (30). This depiction shows a linear process that starts with a planning phase followed by a phase in which project impacts are analyzed, a design phase that involves the devel- opment of project specifications, and finally, phases involv- ing real property acquisition and then construction. The LPA guide refers to the entire process from planning to construc- tion as the “project development process” (i.e., it does not dis- tinguish “development” from “delivery”). The description of the process written in the LPA guide assumes the following phases and activities: • Planning. This phase includes all activities to prioritize projects based on needs and funding capabilities. The guide shows environmental coordination and public involvement as components of the planning phase. • Typical project development cycle. This phase includes the following high-level activities: – Project alternative development. – Hazardous material and contaminant evaluation. – Environmental assessment (EA). – Public involvement. – Alignment selection. – Project design. – Utilities. – Right-of-way plans. – Acquisition. – Right-of-way certification. The LPA guide’s characterization of the project develop- ment and delivery process has limitations, including a linear Integrated Transportation Project Development and Delivery Process Modeling

26 graphical representation of the process with no overlap between phases and a lack of correspondence between the graphical rep- resentation of the process and the written description of activi- ties. In the specific case of real property acquisition, the process shown in Figure 7 suggests that this activity takes place after completing the design and project specifications. However, the written description of activities indicates that acquisition can start after completing activities such as the environmental analysis and developing right-of-way plans. Figure 8 depicts the process described in the 1997 FHWA publication Flexibility in Highway Design (31). This depiction is similar to that shown in Figure 7, except that it acknowledges the possibility of overlap between phases and activities. This report highlights that considerable overlap occurs in terms of coordination among the various disciplines that work on a proj- ect. The report refers to the entire process from planning to con- struction as “planning and development.” The report also refers to “project development” (in Figure 8) as “preliminary design.” The written description of the process in this FHWA report assumes the following phases and activities: • Planning. This phase includes all activities to prioritize projects based on needs and funding capabilities. The report recognizes planning at three levels of government: state, regional, and local. • Project development. This phase, which is heavily influ- enced by the environmental review process, includes the following high-level activities: – Refine the project purpose and need. – Develop project alternatives. – Evaluate alternatives and the impact on the natural and built environments. – Develop appropriate mitigation. • Final design. This phase involves the development of a complete set of plans, specifications, and estimates (PS&E) of required quantities of materials after a preferred alter- native has been selected and agreement exists on the proj- ect description as stated in the environmental document. Completing the design involves the following activities: – Develop a design concept to provide focus to the design phase. – Develop a detailed design. • Right-of-way acquisition. The 1997 FHWA report assumes that real property acquisition takes place after completing the project design. • Construction. Figure 9 depicts the process according to the 2004 AASHTO publication A Guide for Achieving Flexibility in Highway Design (32). This depiction assumes the following project develop- ment stages: • Concept definition. This phase includes all activities needed to define the project, including determinations of need, geographic limits, and other information required for studies to begin. • Planning and alternatives development. This phase includes all activities that result in the selection of a pre- ferred plan that meets regulatory requirements. This phase includes the environmental review process, although the diagram does not explicitly include a box to cover environ- mental review activities. • Preliminary design. This phase follows the acceptance of the preferred plan after considering all the alternatives. It involves developing the geometric elements of the project to establish their impact as well as identifying real property, utility, and construction requirements. This phase includes preparing documentation of relevant design requirements. • Final design. This phase involves the completion of design documents, construction specifications, and cost estimates. The AASHTO publication considers the construction and maintenance phases to be post project development. Notice that the process depicted in Figure 9 is fairly linear and only accepts the possibility of activity overlap within phases. The Figure 7. Project development and delivery process according to the LPA Real Estate Acquisition Guide (adapted from [30]). Courtesy of FHWA. Plan System & Needs Analyze Project Impacts Design Project Specs Acquire Land Build Figure 8. Project development and delivery process according to FHWA’s Flexibility in Highway Design (adapted from [31]). Courtesy of FHWA. Planning Project Development Final Design Right-of-Way Construction

27 model also does not provide an explicit representation of indi- vidual functions (e.g., real property acquisition or environ- mental review) within the process. Nonetheless, the model is a useful reference because, as documented in the following section, it contains many elements found in current practice at state DOTs throughout the country. Representation of the Process at State Agencies This section summarizes the result of a review of available documentation at state DOTs that was conducted to develop an understanding of the way state DOTs visualize and manage their project development and delivery process. The literature search consisted of an online search of documentation avail- able on state DOT websites, which was complemented by emails and phone calls to gather additional documentation when the online search was not sufficient. The search was intended to develop an understanding of typical practices, not to develop a detailed or comprehensive inventory of processes, which was beyond the scope of the research project. Table 3 summarizes the results of the litera- ture search, which produced the following results: • State DOT organization chart: 45 states. • Right-of-way division (or headquarters equivalent func- tion) organization chart: 8 states. • Project development process manual (or equivalent): 37 states. • Project development process diagram: 35 states. • Right-of-way process diagram: 16 states. • Right-of-way manual (standalone or included in another manual): 42 states. • Utility manual (standalone or included in another man- ual): 32 states. Information about utility manuals was relevant to docu- ment utility relocation practices as they pertain to provisions in the Uniform Act and 49 CFR 24, not in connection with the identification and management of utility conflicts and other utility coordination topics (which were outside the scope of this research). A high-level review of the documentation gathered led to the following observations: • There are many similarities in the ways state DOTs visual- ize and manage their transportation project development and delivery process. This is not surprising given the high level of standardization that has resulted from decades of implementation of federal laws, regulations, and policies, as well as outreach and dissemination by organizations such as FHWA or AASHTO. The next section of this chap- ter describes a generic reference (or typical) model of the transportation project development and delivery process that draws on the similarities found in state practices. • Despite the similarities, however, state DOTs have devel- oped a wide range of unique variations to conceptualize and manage their transportation project development and delivery process. This also is not surprising given the wide range in local and regional conditions, as well as in legal, political, and administrative processes, that state DOTs face when developing transportation projects. Therefore, along with the reference (or typical) model of the process, the next section of this chapter provides a few examples of variations in process among state DOTs. • State DOTs use a variety of ways to visualize and docu- ment their process, including diagrams, reports, guides, and manuals. Examples of diagrams include workflow diagrams, Gantt charts, cross-functional (e.g., swim lane) diagrams, and organization charts. The level of detail in the written documentation also varies substantially, from Figure 9. Project development and delivery process according to AASHTO’s A Guide for Achieving Flexibility in Highway Design (adapted from [32]). Needs Study Outside Requests Long-Range Transportation Plan Conduct Project Planning (Alternatives, Studies) Develop Project Concepts Programming Prioritization Preliminary Engineering (Preferred Plans) Final Design Data (Mapping, Traffic, Accidents, etc.) Construction Maintenance Agency Standards, Criteria, and Policies Concept Definition Planning and Alternatives Development Preliminary Design Final Design Post Project Development

State Organization Chart Available? Project Dev. Process Manual Available? Process Diagrams Available? Right-of-Way Manual Available? Utility Manual Available? State DOT Right-of-Way Project Dev. Process Right-of-Way Process Standalone In Another Manual Standalone In Another Manual Alaska Y Y Y Y Y Alabama Y Y Y Y Y Arkansas Y Y Y Arizona Y Y Y California Y Y Y Y Y In Right-of-Way Manual Colorado Y Y Y Y Y Connecticut Y Y Y District of Columbia Y In Design Engineering Manual In Design Engineering Manual In Design Engineering Manual Delaware Y Y Y Y Florida Y Y Y Y Y Y Georgia Y Y Y Y Y Y Hawaii Y Iowa Y Y Y Y Idaho Y Y Y Y Y Y Illinois Y In Design Engineering Manual In Design and Environmental Manual In Design and Environmental Manual Y In Design and Environmental Manual Indiana Y In Design Manual Y Y Kansas Y Y Kentucky Y Overview Y Louisiana Y Y Massachusetts Y Y Y Y Y Y Maryland Y Y Y Y Maine Y In Highway Design Guide In Highway Design Guide Y Michigan Y Minnesota Y Y Y Y Missouri Y Y Y Y Mississippi Y Y, for LPAs Y Y, for LPAs Montana Y Y Y Y In Right-of-Way Operations Manual North Carolina Y Y Y In Policy and Procedure Manual Y North Dakota Y Y Y Y Y Nebraska Y Table 3. Documentation gathered on project development process.

New Hampshire In Highway Design Manual In Highway Design Manual In Highway Design Manual In Highway Design Manual New Jersey Y Y Y New Mexico Y Y Nevada Y Y New York Y Y Y Y Y Ohio Y Y Y Y Y In Real Estate Manual Oklahoma Y Oregon Y Y Y Y Y Y Pennsylvania Y Y In Highway Design Manual and Environmental Assessment Handbook In Highway Design Manual and Environmental Assessment Handbook In Highway Design Manual In Highway Design Manual Rhode Island Y Y In Project Development Manual In Project Development Manual In Project Development Manual South Carolina Y Y Y Y South Dakota Y In Road Design Manual In Road Design Manual Tennessee Y In LPA Guidelines Y Y Y In LPA Guidelines Texas Y Y Y Y Y Y Y Utah Y Y Y Y Y Y Virginia Y Y Y Y Y Vermont Y Y Y Y Washington Y Y Y Y Y Wisconsin Y In Facilities Development Manual Y Y Y Y West Virginia Y In Design Directives Y Wyoming Y Y Y Y Total 45 8 37 35 16 34 8 22 10

30 highly detailed prescriptive descriptions to brief docu- ments that focus primarily on milestones but provide little information about the process. An increasing number of states are automating the visualization and documenta- tion of their process (e.g., by using scheduling software to develop typical or project-specific timeline views of the process). • State DOTs use a variety of terms to refer to similar processes or phases of activities. For example, the term “right-of-way authorization” in New Jersey is similar to the “right-of- way release” in Texas, “authorize right-of-way” in Virginia, and “authorization to acquire right-of-way” in Vermont. Similarly, the term “preliminary design” in New Jersey and Texas is similar to “initial/preliminary roadway design” in Virginia and “conceptual design” in Vermont. Table 4 shows a sample of terminologies used to depict similar processes or phases. • State DOTs also use similar or identical terms to refer to different phases or activities or to phases and activities that vary in scope. This variability in terminology, scopes, and definitions makes understanding and documenting pro- cesses more difficult. Examples of this variability include: – The term “project development” means different things in different states. Some states use the term “project development” to describe the entire process from con- cept to design. Other states include construction in this characterization. Other states use the term “proj- ect development” to describe planning, programming, and preliminary engineering (but not design). At least one state uses the term “project delivery” to describe all phases from planning to construction. – The term “detailed design” means different things in different states. Some states use the term to describe the activities that take place after the release of the environ- mental document. Other states divide the design phase (after the release of the environmental document) into design concept and detailed design. However, some states use the term “concept” or “design concept” to refer to activities that other states accomplish earlier in the planning or preliminary engineering phase. – Most states use design stages or milestones such as 30 percent, 60 percent, 90 percent, and 100 percent design. Significant agreement exists about the mean- ing of most of these milestones (e.g., 60 percent design is when most utility coordination activities start after the horizontal and vertical alignments are in place and the drainage design is substantially finished). However, states differ as to the level of design completion at which they hand off the project to the design group. These dif- fering levels of design completion tend to vary signifi- cantly according to factors such as project type, needs, requirements, and urgency. Table 4. Project development process terminology crosswalk. State Synonyms for Preliminary Design Phase Document at the End of the Environmental Process Authorization to Begin Right-of- Way Acquisition Design Phase Milestone in Design Phase Document at the End of the Design Phase Maine Authorize Initiation of Acquisition Negotiations Right-of-Way Class 1-3 Certificate Montana Final Environmental Document Certificates of Right-of-Way New Hampshire Environmental Report Right-of-Way Certificate New Jersey Feasibility Assessment/ Preliminary Design Approved Environmental Document Final Design Authorization Final Design Right-of-Way Availability New Mexico Environmental Clearance Right-of-Way, Utility, and Railroad Certifications Ohio Environmental Clearance Stage 2 and Stage 3 Design Certificate of Rights of Way South Carolina Environmental Document Right-of-Way Certification Texas Preliminary Design Environmental Clearance Right-of-Way Release Detailed Design 30%, 60%, 90% Right-of-Way Certification Virginia Initial/Preliminary Roadway Design Environmental Document Final Notice to Proceed Detailed/Final Roadway Design 60%, 90%, 100% Right-of-Way and Utility Certifications Vermont Project Definition NEPA Documentation Approval Authorization to Acquire Right-of- Way Project Design Preliminary, Semifinal, and Final Plan Development Wyoming Environmental Clearance Final Design Right-of-Way and Utility Clearances

31 Generic Project Development and Delivery Process Model The research team considered a number of business pro- cess modeling environments to develop the reference (or typ- ical) model of the transportation project development and delivery process, including Gantt charts, Unified Modeling Language (UML), and Integration Definition (IDEF). After evaluating several modeling alternatives, the research team selected a new modeling environment called Business Process Model and Notation (BPMN), which has gained considerable traction in recent years and is becoming increasingly popular because it relies on simple, intuitive constructs such as swim lanes, activities, and gateways (33). Using swim lanes has the advantage that activities associated with specific functions or specialties (e.g., right-of-way or environmental activities) can be grouped together easily while facilitating the development of more detailed, or zoomed-in, views as needed. The research team developed three levels of models to represent the project development and delivery process. The three levels are as follows: • Level 1. This model provides a high-level depiction of the entire process (Figure 10). • Level 2. This model provides an intermediate-level depic- tion of the entire process (Figure 11). Detailed partial views of the Level 2 model are provided in Figure 12 through Figure 18. • Level 3. This model provides a detailed depiction of the real property acquisition process according to the Uniform Act without constraints from regulations. Subsequent sec- tions in this chapter describe the Level 3 model, includ- ing a general view, zoomed-in views, and a depiction of the relationship between this model and the Level 1 and Level 2 models. Files containing standalone versions of these models are pro- vided in CRP-CD 154 in Visio 2010 format and in portable document format (PDF). The models in Figure 10 through Figure 18 depict both phases and functional areas of the traditional design-bid- build project development and delivery method, as follows: • Phases: – Planning. – Preliminary design. – Detailed design. – Letting. – Construction. – Post-construction. • Major functional areas: – Definition, selection, financing, and scheduling. – Alternative analysis and preliminary plans. – Environmental process. – Design and PS&E assembly. – Right-of-way map, authorization to acquire property, property acquisition, and relocation assistance. – Property management. – Utility conflict analysis, permits, relocation, and reim- bursement. – Letting. – Construction. – Project management. Appendix C of NCHRP Report 771 contains a detailed descrip- tion of each process phase and activity. The models in Figure 10 and Figure 11 correspond to the general case in which a project goes through all phases of development. In reality, the type of project will drive what phases and activities are involved. A commonly used charac- terization of project types is as follows (32): • New construction. New construction projects involve the design and construction of a roadway on a new alignment or major widening or improvement of an existing facility. • Reconstruction. Reconstruction projects frequently involve substantial changes to the horizontal and/or ver- tical alignment of a road, generally within the currently available right-of-way (although some real property acqui- sition may be necessary, such as to meet current geometric design standards and criteria for new facilities). Types of improvement under this category include road widening to increase capacity. • Resurfacing, restoration, rehabilitation (3R). 3R proj- ects generally focus on extending the service life of exist- ing facilities, in many cases to enhance safety. Examples of 3R projects include resurfacing, repairing pavement structures and joints, widening minor lanes and shoulders, making minor alterations to horizontal and/or vertical alignments, repairing bridges, and removing or protecting roadside obstacles. • Maintenance. Maintenance projects include actions needed to keep an existing road in good condition. Examples of maintenance projects include repainting pavement mark- ings, removing debris from drainage inlets, repairing surface drainage, and mowing. Real property impacts are common with new construction or reconstruction projects (i.e., projects that involve a new road- way facility or major changes to an existing highway). State DOTs use various terms to designate project types, frequently to classify design criteria. For example, the Texas DOT uses the following design criteria categories: preventive maintenance (PM); non-freeway resurfacing or restoration

32 (2R); non-freeway rehabilitation (3R); new location and reconstruction (4R); and mobility corridor (5R) (34). Some state DOTs (e.g., New York and Wyoming) use the abbrevia- tion 1R instead of PM (35, 36). As mentioned, the models in Figure 10 and Figure 11 depict the traditional design-bid-build project development and delivery method. Other methods could involve different activ- ity sequences. For example, in design-build projects, it is com- mon to hand off the project to a contractor at the beginning of the design phase, and that contractor is responsible for com- pleting the design as well as the actual construction. Figure 19 shows an example of a typical design-build project sequence at the Washington State DOT (37). In design-build projects, state DOTs typically retain overall responsibility for real property acquisition, although in some situations, states delegate these activities to the contractor (to the extent possible). Regard- less of project delivery method, laws and regulations govern when certain critical activities can take place. For example, real property acquisition generally can begin only after the environmental document has been prepared, reviewed, and approved. Certain exceptions to this rule exist, including flex- ibilities introduced by the 2012 MAP-21 legislation. Variations from the Generic Process The available documentation suggests that many state DOTs follow a project development process essentially as depicted in the previous section of this chapter. However, it is appropriate to discuss a few examples of variations from the generic model to illustrate how different state DOTs have implemented and documented their project development and delivery process. Florida The Florida DOT implemented a process called “efficient transportation decision making (ETDM)” that includes an environmental technical advisory team (ETAT) (38, 39). Fig- ure 20 provides a graphical depiction of ETDM. The ETAT provides coordination services throughout the entire project development process, including long-range transportation planning, programming, schematic design, and design. The Florida DOT uses the ETDM process for all new capacity projects. Officials carry out ETDM by using an environmental screening tool (EST) to manage an efficient, early interaction with other agencies and the community. Figure 10. Typical project development and delivery process (Level 1 model). Alternative Analysis and Preliminary Plans Environmental Process Utility Conflict Analysis, Permits, Relocation, and Reimbursement Property Acquisition and Relocation Assistance Design and PS&E Assembly Letting Construction Planning Preliminary Design Detailed Design Letting Construction PostConstruction Property Management Planning linkages Definition, Selection, Financing, Sched. Environmental Commitments Preliminary Utility Conflict Analysis Right-of-Way Map Development Agreements, Scope Update Construction authorization Environmental reevaluation Environmental approval Right-of-way authorization Project Management 30% design 60% design 90% design 15-20% design 0% design Note: This diagram is included in CRP-CD 154 in Visio format and PDF. (text continues on page 44)

33 D es ig n an d PS &E A ss em bl y Prepare Draft Environmental Documentation D ef in iti on , Se le ct ., Fi na nc in g, an d Sc he du lin g A lte rn at iv e A n al ys is an d Pr el im in ar y Pl an s En vi ro nm en ta lP ro ce ss R ig ht -o f-W ay M ap , A u th or iz at io n to A cq ui re Pr o pe rty , Pr op er ty Ac qu is iti on , an d R el oc at io n A ss is ta nc e Ut ili ty Co n fli ct A n al ys is ,P er m its ,R el oc at io n, an d R ei m bu rs em en t Le tti ng A cq ui si tio n Conduct Conceptual Design Meeting Collect data for preliminary design Obtain permission to enter property Examples include traffic data, information about existing utilities, aerial photography, topographic surveys, and other surveys. Provide planning and environmental linkages Identify public and environmental concerns Includes Initial Site Assessment. Conduct early and frequent interagency coordination Conduct public meetings Evaluate natural and cultural resource impacts Evaluate socioeconomic impacts Evaluate noise impacts Evaluate hazardous materials Includes identification of potential displacees. Conduct air quality analysis Prepare draft environmental document Obtain environmental clearance Develop final environmental document R el oc at io n A ss is ta nc e Provide planning and real property acquisition linkages Conduct real property research Coordinate with other stakeholders Obtain authorization to acquire real property Prepare right-of- way map and property descriptions Co ns tru ct io n Planning Preliminary Design Pr op er ty M an ag em en t Provide planning and utility process linkages Conduct preliminary utility investigations Develop alternative alignments (preliminary schematics) Select preferred alternative and develop geometric schematic Obtain approval for final geometric schematic Conduct value engineering study Required documents (depending on project type): Partial design summary report. Advanced planning risk analysis. Conduct coordination meetings Including early or advance acquisition. Pr oje ct M an ag em en t Establish project management team Identify project need and purpose Prepare cost estimate and identify funding sources Authorize project development Develop long-range transportation plans Identify project requirements and conduct studies Examples include feasibility study, major investment study, planning and environment linkage study, traffic study, and identification of major project features. Examples include metropolitan and rural transportation plans, multimodal transportation plan, and statewide transportation plan. Develop/update intermediate and short-range programs Examples include the Unified Transportation Program and the Statewide Transportation Improvement Program. Secure federal, state, and local agreements Authorize project design Scoping Process Update project requirements, cost estimate, and schedule Including one or more required public hearings. In relation to engineering, potential relocation, hazmat issues, and requirements. A 0% design 15-2 desi B C D Manage project development and delivery process Survey visible utility appurtenances and assess impact Coordinate utility relocation design with utility owners Note: This diagram is included in CRP-CD 154 in Visio format and PDF. Activities with a red outline correspond to activities with a significant real property component. The large circled letters (A–G) correspond to partial views of the model shown in Figure 12 through Figure 18). Figure 11. Typical project development and delivery process (Level 2 model). (continued on next page)

34 Meet environmental commitments after clearance Includes handling contamination according to existing laws and regulations and coordination during right-of-way acquisition. Depending on the requirements of the environmental commitment, this activity could continue long after project construction ends. Prepare utility certification Prepare right-of- way certification Establish just compensation Detailed Design Letting Construction Post Construction Notes: Property management activities are arranged for presentation purposes only. They do not indicate specific duration or an ordered sequence. Some activities are not part of the project development and delivery process. They are shown here for completeness because they are normally included in the property management function at state DOTs. Conduct appraisal or waiver valuation Prepare and make written offer Acquire by negotiation Acquire by condemnation Determine relocation assistance eligibility Provide relocation assistance advisory (residential) Provide relocation assistance advisory (non-residential) Issue relocation payments (residential) Issue relocation payments (non-residential) Conduct detailed utility investigations Conduct design analyses Develop final horizontal and vertical alignments Conduct detailed design Prepare PS&Epackage Let project Build and deliver project Conduct environmental reevaluation Conduct design meeting Conduct 30%, 60%, and 90% design meetings Conduct final design and initial construction coordination meetings Conduct pre- construction meeting Prepare and execute utility agreements The starting point depends on: Changes in design, scope, land use, or real property requirements. Changes to environmental impacts. Regulatory changes. A prescribed number of years of no activity. Demolish and dispose improvements Authorize project construction D es ig n an d PS &E A ss em bl y D ef in iti on , Se le ct ., Fi na nc in g, an d Sc he du lin g A lte rn at iv e A n al ys is an d Pr el im in ar y Pl an s En vi ro nm en ta lP ro ce ss R ig ht -o f-W ay M ap ,A ut ho riz at io n to A cq ui re Pr op er ty , Pr op er ty Ac qu is iti on , an d R el oc at io n A ss is ta nc e Le tti ng A cq ui si tio n R el oc at io n A ss is ta nc e Co ns tru ct io n Pr op er ty M an ag em en t 30% design 60% design 90% design 100% design Inventory and manage property interests Dispose property interests Lease real property interests 15-20% design Manage project development and delivery process Pr oje ct M an ag em en t Survey visible utility appurtenances and assess impact Coordinate utility relocation design with utility owners Ut ili ty Co nf lic tA n al ys is ,P er m its , R el oc at io n, an d R ei m bu rs em en t Monitor utility relocations and reimburse utility owners E F G Figure 11. (Continued).

35 Figure 12. Typical project development and delivery process (Level 2 model)—Part A. D es ig n an d PS &E A ss em bl y D ef in iti on ,S el ec t., Fi na nc in g, an d Sc he du lin g A lte rn at iv e A na ly si s an d Pr el im in ar y Pl an s En vi ro nm en ta lP ro ce ss Provide planning and environmental linkages Planning Identify project need and purpose Prepare cost estimate and identify funding sources Authorize project development Develop long-range transportation plans Identify project requirements and conduct studies Examples include feasibility study, major investment study, planning and environment linkage study, traffic study, and identification of major project features. Examples include metropolitan and rural transportation plans, multimodal transportation plan, and statewide transportation plan. Develop/update intermediate and short-range programs Examples include the Unified Transportation Program and the Statewide Transportation Improvement Program. Scoping Process

36 Figure 13. Typical project development and delivery process (Level 2 model)—Part B. Prepare Draft Environmental Documentation Obtain permission to enter property Examples include traffic data, information about existing utilities, aerial photography, topographic surveys, and other surveys. Identify public and environmental concerns Includes Initial Site Assessment. Conduct early and frequent interagency coordination Conduct public meetings Evaluate natural and cultural resource impacts Evaluate socioeconomic impacts Evaluate noise impacts Evaluate hazardous materials Includes identification of potential displacees. Conduct air quality analysis Prepare draft environmental document Obtain environmental clearance Develop final environmental document Preliminary Design Develop alternative alignments (preliminary schematics) Select preferred alternative and develop geometric schematic Obtain approval for final geometric schematic Conduct value engineering study Required documents (depending on project type): Partial design summary report. Advanced planning risk analysis. Secure federal, state, and local agreements Authorize project design Update project requirements, cost estimate, and schedule Including one or more required public hearings. Conduct Conceptual Design Meeting Collect data for preliminary design D ef in iti on , Se le ct ., Fi na nc in g, an d Sc he du lin g A lte rn at iv e A na ly si s an d Pr el im in ar y Pl an s En vi ro nm en ta lP ro ce ss D es ig n an d PS &E A ss em bl y

37 R ig ht -o f-W ay M ap , A u th or iz at io n to A cq ui re Pr op er ty , Pr op er ty A cq ui si tio n, an d Re lo ca tio n A ss is ta nc e Le tti ng A cq ui si tio n R el oc at io n A ss is ta nc e Provide planning and real property acquisition linkages Co ns tr uc tio n Pr op er ty M an ag em en t Provide planning and utility process linkages Conduct coordination meetings Establish project management team Ut ili ty Co n fli ct A na ly si s, Pe rm its ,R el oc at io n, an d R ei m bu rs em en t Planning Pr oje ct M an ag em en t 0% design Manage project development and delivery process Figure 14. Typical project development and delivery process (Level 2 model)—Part C.

38 Manage project development and delivery process R ig ht -o f-W ay M ap , A u th or iz at io n to A cq ui re Pr o pe rty , Pr op er ty Ac qu is iti on ,a n d R el oc at io n A ss is ta nc e Le tti ng A cq ui si tio n R el oc at io n A ss is ta nc e Conduct real property research Coordinate with other stakeholders Obtain authorization to acquire real property Prepare right-of- way map and property descriptions Co ns tru ct io n Pr op er ty M an ag em en t Conduct preliminary utility investigations Survey visible utility appurtenances and assess impact Coordinate utility relocation design with utility owners Including early or advance acquisition. In relation to engineering, potential relocation, hazmat issues, and requirements. Ut ili ty Co n fli ct A n al ys is , Pe rm its , R el oc at io n, an d R ei m bu rs em en t Preliminary Design 15-20% design 0% design Pr oje ct M an ag em en t Figure 15. Typical project development and delivery process (Level 2 model)—Part D.

39 Meet environmental commitments after clearance Includes handling contamination according to existing laws and regulations and coordination during right-of-way acquisition. Depending on the requirements of the environmental commitment, this activity could continue long after project construction ends. Detailed Design Conduct design analyses Develop final horizontal and vertical alignments Conduct detailed design Prepare PS&Epackage Conduct environmental reevaluation Conduct design meeting Conduct 30%, 60%, and 90% design meetings Conduct final design and initial construction coordination meetings The starting point depends on: Changes in design, scope, land use, or real property requirements. Changes to environmental impacts. Regulatory changes. A prescribed number of years of no activity. Authorize project construction D es ig n an d PS & E A ss em bl y D ef in iti on ,S el ec t., Fi na nc in g, an d Sc he du lin g A lte rn at iv e A na ly si s an d Pr el im in ar y Pl an s En vi ro nm en ta lP ro ce ss Figure 16. Typical project development and delivery process (Level 2 model)—Part E.

40 Survey visible utility appurtenances and assess impact Manage project development and delivery process Pr oje ct M an ag em en t Prepare utility certification Prepare right-of- way certification Establish just compensation Notes: Property management activities are arranged for presentation purposes only. They do not indicate specific duration or an ordered sequence. Some activities are not part of the project development and delivery process. They are shown here for completeness because they are normally included in the property management function at state DOTs. Conduct appraisal or waiver valuation Prepare and make written offer Acquire by negotiation Acquire by condemnation Determine relocation assistance eligibility Provide relocation assistance advisory (residential) Provide relocation assistance advisory (non-residential) Issue relocation payments (residential) Issue relocation payments (non-residential) Conduct detailed utility investigations Prepare and execute utility agreements Monitor utility relocations and reimburse utility owners Inventory and manage property interests Dispose property interests Lease real property interests Demolish and dispose improvements Coordinate utility relocation design with utility owners Le tti ng A cq ui si tio n R el oc at io n A ss is ta nc e Co ns tru ct io n Pr op er ty M an ag em en t R ig ht -o f-W ay M ap ,A ut ho riz at io n to A cq ui re Pr op er ty , Pr op er ty A cq ui si tio n, an d R el oc at io n A ss is ta nc e 30% design 60% design 90% design 100% design 15-20% design Ut ili ty Co n fli ct A n al ys is ,P er m its , R el oc at io n, an d R ei m bu rs em en t Detailed Design Figure 17. Typical project development and delivery process (Level 2 model)—Part F.

41 Manage project development and delivery process Pr oje ct M an ag em en t Let project Build and deliver project Conduct pre- construction meeting Monitor utility relocations and reimburse utility owners Inventory and manage property interests Dispose property interests Lease real property interests Le tti ng A cq ui si tio n R el oc at io n A ss is ta nc e Co ns tru ct io n Pr op er ty M an ag em en t R ig ht -o f-W ay M ap ,A ut ho riz at io n to A cq ui re Pr op er ty , Pr op er ty A cq ui si tio n, an d R el oc at io n A ss is ta nc e Ut ili ty Co n fli ct A n al ys is ,P er m its , R el oc at io n, an d R ei m bu rs em en t Letting Construction Post Construction Figure 18. Typical project development and delivery process (Level 2 model)— Part G.

Figure 19. Design documentation sequence for a typical design-build project in Washington State (37).

Figure 20. Florida DOT’s efficient transportation decision-making process (38). Initialisms not defined previously include: EIS: environmental impact statement; FONSI: finding of no significant impact; LDCA: location and design concept acceptance; LRTP: long-range transportation plan; SEIR: state environmental impact report; and SIS: strategic intermodal system.

44 The Florida DOT’s ETDM resulted from a consensus pro- cess that involved 24 state agencies in Florida. Participants identified three key features to improve the environmental process: early and continuous agency involvement, good data, and opportunity for feedback. The ETDM process builds in two formal opportunities for agencies to review projects before the preliminary design phase: a planning screen and a programming screen (Figure 20). The planning screen occurs around the time of preparation of long-term transportation plans to evaluate potential environmental and community effects, avoidance opportunities, mitigation requirements, and associated costs. Resource agencies review project infor- mation and communicate possible effects to project planners to help identify project configurations that minimize adverse effects. Input from those agencies may change project feasi- bility and cost estimates, and ultimately affect project priority. The programming screen occurs before project selection to identify environmental issues that need to be addressed dur- ing the formal environmental review process. Resource agency input during the programming screen is more detailed than during the planning screen and includes a dispute resolution option. One of the benefits of the programming screen is that the Florida DOT does not need to prove a finding of no impact by a resource agency. For example, if no resource agency has indicated a potential biological issue during the programming screen, the DOT does not need to prove this finding by con- ducting a biological assessment during project development (38). The result is a scope of work document that focuses on known technical issues. The Florida DOT developed a guide- line that explains the types of projects that require program- ming screens as a function of the transportation system, project funding source (federal, state, or local), and the responsible agency (40). Table 5 summarizes that guideline. The Florida DOT implemented the Environmental Screen- ing Tool (EST) to facilitate the ETDM process (38). EST includes four major components, as follows: • Data entry. The Florida DOT and MPOs enter data into the system. In addition, resource agencies provide environmen- tal data to the Florida Geographic Data Library (FGDL). • GIS analysis. Analysts apply GIS techniques to integrate the data provided in the data entry phase. • Project review. ETAT members have an opportunity to provide online comments. The public has read-only access to the information, although opportunities for comment- ing exist through traditional public involvement activities such as workshops and hearings. • Summary report. MPO and Florida DOT ETDM coordi- nators prepare a report summarizing ETAT comments and, as appropriate, specific study requirements that must be addressed during project development. Each phase of the ETDM process, including the planning screen and program- ming screen, ends with the preparation of a summary report. Although ETDM is a process to involve external resource agencies during the planning and programming phase, it is nonetheless relevant to this research because the concept offers a potential model for more effective, earlier participation of right- of-way officials in the project development and delivery process. System Federal Dollars State Dollars Local Dollars Only Responsible Agency ETDM Screening Responsible Agency ETDM Screening Responsible Agency ETDM Screening Highways on the State Highway System (SHS) and on the Strategic Intermodal System (SIS) Florida DOT Yes Florida DOT Lead Florida DOT Yes Florida DOT Yes Local Local and Florida DOT Local Option Local and Florida DOT Local Option Highways on the SHS but Not on the SIS Florida DOT Yes Florida DOT Lead Florida DOT Yes Florida DOT Yes Local Local and Florida DOT Local Option Local and Florida DOT Local Option Highways Not on the SHS but on the SIS Florida DOT Yes Florida DOT Lead Florida DOT Yes Florida DOT Yes Local Local and Florida DOT Local Option Local and Florida DOT Local Option Highways Not on the SHS and Not on the SIS Florida DOT Yes Florida DOT Lead Florida DOT Yes Local N/A Local Local Local Option Major Transit Projects (New Fixed Guideway, New Starts) or Major Freight Projects Florida DOT Yes Florida DOT Yes Local N/A Local Local Option Local Local Option Table 5. ETDM programming screen decision matrix (adapted from [40]). (text continued from page 32)

45 Maine Most state DOTs depict the completion of right-of-way and utility relocation activities in their process charts and manuals at the end of design and/or letting. In some cases, the completion of those activities is shown as taking place dur- ing construction. In Maine, the Maine DOT documentation is an exception in that it explicitly shows remaining activi- ties after the construction phase ends, primarily to address dispute resolution issues (41). Maine DOT documentation also includes activities for environmental coordination dur- ing letting and construction. New Jersey The New Jersey DOT project delivery process (Figure 21) has five phases: problem screening, concept development, prelimi- nary engineering, final design, and construction (42). Concept development and preliminary engineering correspond roughly to the preliminary design phase shown in Figure 10. The New Jersey DOT has established guidelines that provide informa- tion on how to adjust the project delivery process based on project-specific needs. The New Jersey DOT delivery process, depicted in Figure 21, is also unique in that it explicitly identi- fies critical drivers and output products associated with each phase, including funding sources, key tasks, public involve- ment requirements, key products, and responsible divisions. Ohio The Ohio DOT has a project development and delivery process that consists of five general phases after long-term planning: planning, preliminary engineering, environmental engineering, final engineering, and construction (43). Within each phase, specific activities depend on the specific path a project follows. As Table 6 shows, the Ohio DOT has identified five different project paths, depending on project size, com- plexity, and/or potential environmental impacts. The project path indicates the level of analysis required, the amount of stakeholder participation, and the activities conducted dur- ing each phase. This classification provides project managers with flexibility to adjust scope activities within each phase to facilitate decision making. The Ohio DOT also has established typical project milestones for each of the five paths (Table 7). The milestones must be evaluated and selected based on the project’s critical path during the scoping process. Vermont The Vermont Agency of Transportation project develop- ment and delivery process uses a different definition for what is included in the design phase (44). In the Vermont process, the preliminary engineering phase is called project definition or conceptual design. This phase ends with the approval of the environmental document. The design phase, which is called project design and includes letting, includes three lev- els of plan development (Figure 22): • Preliminary plan development. This level follows the approval of the environmental document and results in the development of preliminary plans. These plans include ele- ments such as width and depth transitions, roadside barriers, cut-fill transitions, drainage and erosion control, and inter- secting highway approaches. As part of this level, the Vermont Agency of Transportation sends a copy of the preliminary plans to utility owners, with a request to prepare relocation plans within 2 months of receiving the preliminary plans. The agency also schedules visits to affected property owners. • Semifinal plan development. This level involves includ- ing any changes in design details resulting from the meet- ing with property owners or in response to feedback from permitting agencies. After completing this level, officials develop right-of-way maps and request authorization to acquire right-of-way. • Final plan development. This level involves finalizing the design, including the development of most of the struc- tural design, traffic signal, and landscaping details. This phase also includes the acquisition of any necessary prop- erty rights and execution of any necessary utility and rail- road agreements. This level ends with the completion of the contract plans, specifications, and the estimate, along with the advertisement of the project for bids. Washington State The Washington State DOT follows a project development and delivery process that assigns a percentage of design comple- tion to all phases of development after planning and program- ming (45). Each phase has a number of milestones associated with it, both at the project overview level and by functional area. As an illustration, Table 8 lists typical milestones at the project overview level as well as milestones associated with critical real property acquisition and utility process activities. At the individual project level, the Washington State DOT uses scheduling software that ties the list of deliverables at each step of the process with the activities that need to take place to complete the project. Developing the schedule for a project involves the following high-level activities: • Identify the project route type and the corresponding design matrix. Using this matrix, identify the design level, design elements, and project type for the project. • Identify project milestones. (text continues on page 50)

Figure 21. The New Jersey DOT’s project development and delivery process (42).

47 Path Type of Project 1 Path 1 projects are simple transportation improvements generated by traditional maintenance and preventive maintenance needs. They involve minor structure and roadway maintenance work with no real property or utility impacts. These projects are typically NEPA excluded or require CE Level 1 documents. 2 Path 2 projects are simple projects that might include minor structure and roadway work. Examples include culvert and bridge replacement or reconstruction, resurfacing, and addition of turn lanes and shoulders. These projects can involve non-complex real property acquisitions (e.g., strip takes, temporary easements and channel easements). These projects typically require CE Level 1 documents. 3 Path 3 projects involve a higher level of complexity than projects in Path 1 and Path 2. They include moderate roadway and structure work such as intersection and minor interchange upgrades, minor realignments, reconstruction, and median widening. They can involve real property acquisition and utility relocations. These projects typically require CE Level 2, CE Level 3, or CE Level 4 documents. 4 Path 4 projects involve complex roadway and structure work that may add capacity. Path 4 projects typically have multiple alternatives. Projects may include highway widening, new alignments in suburban or rural settings, reconstruction, access management, complex bridge replacement, and multiple intersection and interchange alternatives. They typically have substantial real property and utility impacts. These projects typically require CE Level 3, CE Level 4, EA, or EIS documents. 5 Path 5 projects have the highest complexity and typically add capacity. Examples include new capacity in complex urban centers, major highway widening, and reconstructing or adding interchanges. These projects normally have substantial, complex real property and utility issues, involve multiple alternatives, and have access management issues. These projects typically require CE Level 4, EA, or EIS documents. Table 6. The Ohio DOT’s project paths (adapted from [43]). Phase Path 1 Milestones Path 2 Milestones Path 3 Milestones Path 4/5 Milestones Planning (project specific, after long- term planning) Project Initiation Package Concept, Scope, and Budget/Estimates Project Initiation Package Purpose and Need Concept, Scope, and Budget/Estimates Project Start-Up Meeting Project Initiation Package Purpose and Need Concept, Scope, and Budget/Estimates Project Start-Up Meeting Project Initiation Package Purpose and Need Concept, Scope, and Budget/Estimates Preliminary Engineering NEPA Study Feasibility Study NEPA Study Updated Cost Estimates Establish Preferred Alternative Feasibility Study NEPA Study Establish Preferred Alternative Updated Cost Estimates Feasibility Study NEPA Study Updated Cost Estimates Alternative Evaluation Report Establish Preferred Alternative Stage 1 Design Environmental Engineering NEPA and Permit Approval Stage 2 Design and Approval Preliminary Right-of-Way Plans NEPA and Permit Approval Final Right-of-Way Plans Updated Cost Estimates Establish Construction Limits Stage 2 Design and Approval Preliminary Right-of-Way Plans NEPA and Permit Approval Final Right-of-Way Plans Updated Cost Estimates Mitigation Plans Stage 1 Approval Preliminary Right-of-Way Plans Stage 2 Design and Approval NEPA and Permit Approval Final Right-of-Way Plans Updated Cost Estimates Mitigation Plans Final Engineering and Right-of-Way Stage 3 Design and Approval Updated Cost Estimates Final Plan Package Real Property Acquisition Stage 3 Design and Approval Updated Cost Estimates Final Plan Package Real Property Acquisition Stage 3 Design and Approval Updated Cost Estimates Final Plan Package Real Property Acquisition Stage 3 Design and Approval Updated Cost Estimates Final Plan Package Construction Advertise Award Contract Monitor Contract Advertise Award Contract Monitor Contract Advertise Award Contract Monitor Contract Advertise Award Contract Monitor Contract Table 7. The Ohio DOT’s project development process milestones (adapted from [43]).

Figure 22. The Vermont Agency of Transportation’s project design phase (adapted from [44]).

49 Phase Project Overview Milestones Real Property Acquisition Milestones Utility Process Milestones Project Definition Requirements for real property documented Utilities within the project limits notified Washington Utilities Transportation Commission (WUTC) permit application for railroad crossings submitted Project Initiation and Alignment Expected level of effort Authorized budget Deliverable list Preliminary real property needs identified Potential utility relocations identified Responsibility for costs established Project Planning and Scoping (10%) Milestone dates set Study framework set Study criteria set Assumptions defined Design criteria set Title reports ordered Utility as-builts requested Railroad issues identified Relocation cost responsibility defined Franchise and permit documentation collected Utility relocation strategy for project established Geometric Review (30%) Design concept fixed Design features defined NEPA/State Environmental Policy Act (SEPA) approval obtained Type size and location of all structures fixed Footprint set Approval to begin real property acquisition process Approval of geometric design Design concurrence/approval Right-of-way plan completed and approved Real property appraisals completed Relocation plan completed Real property project funding estimate prepared Right-of-entry for project investigations obtained Utility plan with as-built information completed and transmitted to utility owners Preliminary utility conflicts identified Utility object relocation record (UORR) sent to utility owners Project Overview Meeting held with utility owners Quality level C (QLC) and quality level D (QLD) completed Determination of need for quality level B (QLB) and quality level A (QLA) Relocation plans and schedule requested from utility owners Franchise and permit process initiated Cost recovery accounts initiated Utility property rights verified Railroad standard construction maintenance agreement (CMA) obtained General Plans Review (60%) All key project elements and features that drive the project outcome and costs defined Type, size, and location of key elements and features fixed Geometric review comments resolved and documented Real property appraisal reviews completed and offers made Real property acquisition and relocation initiated Utility conflicts confirmed and relocation letters sent to utility owners Utility relocation meeting held Utility relocation plans and schedules obtained and approved Utility and railroad agreements completed Utility permits and franchises obtained Utility agreements finalized (cost responsibility estimate completed) Preliminary Contract Review (90%) Deliverables substantially complete Review and acceptance of design detail of key elements and features Permits obtained; all environmental permits approved, verified, and accepted for inclusion into the plans General plan review comments resolved and documented Real property negotiations completed Utility relocation plan information and specifications incorporated in PS&E Letters of Understanding issued to utility owners requiring relocation Utility, service, and railroad agreements completed Utility relocation and schedule monitored and coordination completed CMA completed Final Contract Review (100%) Deliverables complete All review comments adjudicated Plans and specifications stamped and sealed at end Right-of-way certification Final project approval Real property relocations completed Contract Advertisement and Award Design accepted Approval to advertise Right-of-way is clear Right-of-way certified Utility relocation work completed Project Close Out and Archiving PS&E documents boxed with original plans and sent to archive Electronic files and supporting project documentation transmitted to Washington State DOT project manager Table 8. Washington State DOT deliverable expectation matrix—project overview, right-of-way, and utilities (adapted from [45]).

50 • Create the work breakdown structure (WBS) for the proj- ect using the master deliverable list (MDL) and the deliver- able expectation matrix. – Start at Level 1 and delete what is not needed. – Repeat for each MDL level. – Add subtasks to each project deliverable. • Identify tasks and deliverables in the task planning work- sheet using the WBS. • For each task: – Select the method to determine percentage completed (e.g., units produced, milestones, 0–100 convention). – Estimate task duration. • Determine task constraints (i.e., dependencies) and resources for the project. • Create the network (precedence) diagram and the Gantt chart for the project. Real Property Acquisition and Relocation Assistance According to the Uniform Act The Uniform Act, as amended by Congress, is codified as 42 U.S.C. 4601 et seq. in the U.S. Code. Table 9 provides a correlation between the various provisions in 42 U.S.C. 4601 42 U.S.C. 4601 et seq. Uniform Act (as Amended) Comment Most current version Public Law 91-646 (01/1971) Public Law 100-17 (04/1987) Public Law 102-240 (12/1991) Public Law 105-117 (11/1997) Public Law 112-141 (07/2012) Subchapter I—General Provisions Title I—General Provisions §4601 §101 §4602 §102 §4603 Added by Public Law 93-477 in 1974 §4604 §103 §4605 §104 Subchapter II—Uniform Relocation Assistance Title II—Uniform Relocation Assistance §4621 §201 §4622 §202 §4623 §203 §4624 §204 §4625 §205 §4626 §206 §4627 §207 §4628 §208 §4629 §209 §4630 §210 §4631 §211 §4632 §212 §4633 §213 §4634 §214 Repealed by Public Law 100-17 in 1987 Added by Public Law 112-141 in 2012 42 U.S.C. 4634 likely to be added for the next U.S. Code update §4635 §215 §4636 §216 §4637 Repealed by Public Law 100-17 in 1987 §4638 §218 Subchapter III—Uniform Real Property Acquisition Policy Title III—Uniform Real Property Acquisition Policy §4651 §301 §4652 §302 §4653 §303 §4654 §304 §4655 §305 Table 9. Comparison between 42 U.S.C. 4601 et seq. and the Uniform Act (as amended). (continued from page 45)

51 et seq. and the corresponding provisions in the original Uni- form Act and subsequent laws that have amended or supple- mented the Uniform Act. The research team developed a graphical depiction of the property acquisition and relocation assistance model accord- ing to 42 U.S.C. 4601 et seq., without encumbrances from current regulations (i.e., the Level 3 model). Figure 23 shows this model. Figure 24 shows the relationship between this model and the Level 1 and Level 2 models. The next 15 fig- ures (Figure 25 through Figure 39) provide detailed views of the Level 3 model. For clarity, the partial views of the Level 3 model in these figures use throw and catch link intermediate events instead of the sequence flows shown in Figure 23. The Uniform Act includes several provisions that cannot be mapped easily to individual activities in the project devel- opment and delivery process (e.g., provisions that pertain to Figure 23. Real property acquisition according to the Uniform Act (Level 3 model). Conduct appraisal Inspect property Available to All Displaced Persons Who Are Eligible for Advisory Services Not lawfully present in the U.S. Va lu at io n A cq ui si tio n R el oc at io n A ss is ta nc e Va lu at io n Pl an ni ng A pp ra is al o r W ai ve rV al ua tio n R el oc at io n A ss is ta nc e El ig ib ili ty De te rm in at io n Displaced person Not eligible for assistance W rit te n O ffe r N eg ot ia tio n Not a displaced person §4625(a) Conduct early planning to anticipate displacements and associated problems §4625(b) Does not occupy adjacent property §4625(b) Occupies adjacent property Substantial economic injury No substantial economic injury Lawfully present in the U.S. §4625(c)(1) Determine and make timely recommendations on needs and preferences of displaced persons for relocation assistance §4625(c)(2) Provide information on comparable replacement dwellings for homeowners and tenants R el oc at io n A ss is ta nc e A dv is or y §4625(c)(5) Supply information about other federal and state programs and provide assistance in applying for assistance under those programs §4625(c)(6) Provide other services in order to minimize hardships to displaced persons in adjusting to relocation Residential Non-residental Comparable dwelling not available §4605 Eligible for relocation assistance services To an individual who is the displaced person’s spouse, parent, or child and who is a U.S. citizen or permanent resident in the U.S. Relocation assistance advisory includes measures, facilities, or services as needed or appropriate (§4625). §4625(a) Provide for the resolution of problems to minimize adverse impacts on displaced persons and expedite project completion R el oc at io n A ss is ta nc e Pa ym en ts Expense and dislocation allowance option §4622(b) Pay allowance according to schedule established by the U.S. DOT Actual moving cost option §4622(a) Determine actual reasonable moving expenses Utility facility relocation Franchise No franchise Non-routine relocation expense, not included in annual utility budget as an operational expense. Utility owner has a franchise or similar agreement with respect to the use of the displacing agency’s right-of-way, easement, or other property. Utility relocation costs, betterment, and accrued depreciation. §4622(a) Pay actual moving and related expenses Homeowner at displaced dwelling ≥90 days at displaced dwelling Tenant at displaced dwelling Purchase at new site §4623(a) Determine replacement housing payments If homeowner purchases and occupies a decent, safe, and sanitary replacement dwelling within one year after (a) receiving acquisition payment or (b) displacing agency’s obligation under §4625(c)(3) is met. Not to exceed $31,000 as adjusted by regulation, in accordance with §4633(d), including the following (§4623(a)): (a) Difference in acquisition cost between dwelling acquired by displacing agency and reasonable cost of comparable replacement dwelling. (b) Increased interest and other debt service costs for financing acquisition of such comparable replacement dwelling (payable only if mortgage at dwelling acquired by displacing agency was in place for ≥180 days prior to initiation of negotiations). (c) Reasonable expenses for evidence of title, recording fees, and other closing costs for the purchase of the replacement dwelling (not including prepaid expenses). The limit of $31,000 does not apply to last resort housing (§4626). Prior to the initiation of negotiations for the acquisition of the property (§4623(a)). §4624 Determine additional costs to rent or lease a comparable replacement dwelling Rent at new site Purchase replacement dwelling §4623 Pay replacement housing amount §4624 Determine eligibility for maximum amount The displacing agency may increase the payment to the maximum of $7,200 (used for down payment and other incidental expenses) (§4624(b)), as adjusted by regulation, in accordance with §4633(d)). Administrative settlement Negotiation is not successful Alternate dispute resolution §4651(3) Establish just Compensation Not anticipated low fair market value Starting point not included in the Uniform Act. The following is assumed as the starting point for formal real property acquisition activities: (a) Authorization to acquire property has been received. (b) Right-of-way map and other related documents have been prepared. (c) Environmental document has been prepared and approved, except under certain conditions (23 USC 108). Ju st Co m pe ns at io n §4651(2) Invite owner to accompany appraiser during inspection Not less than the agency’s approved appraisal of the fair market value of the property. Must be for the full amount of just compensation as established by the agency (and summary of basis for just compensation). Where appropriate, list just compensation for acquired property and damages for remaining real property separately. §4651(3) Develop appraisal of the fair market value of the property. Disregard decrease or increase in the fair market value of the property caused by the project (or the likelihood the property would be acquired for the project). §4651(3) Prepare written offer The Uniform Act does not explain the process to require persons to move if they are not eligible for assistance because they are not lawfully present in the U.S. Do not take any coercive action (such as advancing the time of condemnation, delaying negotiations or condemnation, or delaying depositing funds in court) in order to compel an agreement on the price to be paid for the property. The Uniform Act does not address the need or procedure for updating appraisals or reestablishing just compensation. §4651(1) §4651(7) Conduct negotiations Donation The Uniform Act mentions donations (§4651(2), §4651(10)). It does not mention other options such as administrative settlements or alternate dispute resolutions. These options are included in the diagram for completeness and illustration purposes. §4651(4) Pay to owner agreed purchase price to acquire property Conditional event if owner finds it necessary to institute legal proceedings to prove the fact of the taking of his real property (§4651(8), §4654(c)). Co nd em na tio n Amount not less than the agency’s approved appraisal of the fair market value or the amount of the award of compensation in the condemnation proceedings (§4651(4)). Includes: (a) Recording fees, transfer taxes, and other similar expenses. (b) Penalty costs for prepayment of preexisting mortgage. (c) Pro rata portion of real property taxes. §4651(4) Deposit funds in court in accordance with 40 USC 3114(a) to (d) Agency can acquire by condemnation Agency cannot acquire by condemnation §4654(a), §4654(b) Pay reasonable attorney, appraisal, and engineering fees to owner Or agency abandons proceedings. Owner sues agency Judgment outcome Pay reasonable attorney, appraisal, and engineering fees to owner (if court renders a judgment for the plaintiff) (§4654(c)). Early Relocation Planning The Uniform Act does not define what notice of intent to acquire is. The notice could be the offer itself or a different document. It includes a statement of the right to receive just compensation for such property. Report appraisal of uneconomic remnant separately from that of the required real property. The reason is that eminent domain does not apply to uneconomic remnants (i.e., the owner is not obligated to sell uneconomic remnants). §4652(a) Include equal interest in buildings, structures, or other improvements that need to be removed or that are adversely affected §4652(b)(1) For buildings, structures, or other improvements, select larger of: (a) Contribution to fair market value of property to be acquired (b) Fair market value for removal from the real property Notwithstanding right or obligation of tenant to remove building, structure, or other improvement at the expiration of the lease. Requires informing owner of the right to receive just compensation (§4651(10)). §4653 Reimburse owner for reasonable title transfer expenses Includes: (a) Recording fees, transfer taxes, and other similar expenses. (b) Penalty costs for prepayment of preexisting mortgage. (c) Pro rata portion of real property taxes. A displaced person is any person who moves from real property or moves his/her personal property from real property in connection with the acquisition of right-of-way or in connection with rehabilitation, demolition, or other permanent displacing activities undertaken by a federal agency or with federal financial assistance. The Uniform Act includes provisions for determining whether a person can be classified as a displaced person (§4601(6)). Exceptional and extremely unusual hardship The Uniform Act (§4601(10) defines a comparable replacement dwelling to be any dwelling that is: (a) Decent, safe, and sanitary. (b) Adequate in size to accommodate the occupants. (c) Within the financial means of the displaced person. (d) Functionally equivalent. (e) In an area not subject to unreasonable adverse environmental conditions. (f) In a location generally not less desirable than the location of the displaced person’s dwelling with respect to public utilities, facilities, services, and the displaced person’s place of employment. As needed, exceed maximum amount on a case-by-case basis. The Uniform Act suggests that insuring a mortgage is not mandatory for an agency (§4623(b)). Eligible person purchases a decent, safe, and sanitary replacement dwelling (§4624). Within statutory limits: $31,000 (§4623(a)) $7,200 (§4624(a)) Both amounts are adjusted by regulation, in accordance with §4633(d). Project cannot proceed on a timely basis because comparable dwelling (within statutory limits) is not available. §4623 Pay replacement housing amount Legend Exclusive gateway: When splitting, only one branch is activated. When merging, the active branch must complete. Parallel gateway: When splitting, all branches are activated simultaneously. When merging, all incoming branches must complete. Activity: Unit of work. Types of activities include tasks and sub-processes. Group: Set of graphical elements within the same category. Po ol Pool: Process partition that represents amajor functional area or role. It may include one or more lanes. La ne Lane: Process sub-partition within a pool. Annotation. Sequence flow. Sub-process (expanded). Start event. Start event (conditional). End event. Po st A cq ui si tio n The process must be non-discriminating against any displaced person. <90 days at displaced dwelling The Uniform Act does not address the possibility of renting. Eligible for additional payment Application by mortgagee No application by mortgagee Fixed payment option Actual moving cost option No Yes §4622(a) Pay actual moving and related expenses In lieu of the payment authorized under §4622(a). Adjusted by regulation in accordance with §4633(d). Is the sole business at the displacement dwelling the rental of the dwelling to others? Trigger event not included in the Uniform Act. The following is assumed as the starting point for the determination of utility relocation expenses: (a) Need for utility relocation has been established. (b) Utility relocation drawings and other related documents have been prepared. See relocation eligibility determination lane below for other permanent displacement activities (e.g., rehabilitation and demolition) that can trigger a process starting point (§4601(6)). §24.103(b) §24.102(k) §24.105(a) §24.105(c) §24.102(d), §710.201(j) §24.5, §24.102(d) A permanent displacement activity (e.g., rehabilitation and demolition) under a program or project undertaken by a Federal agency or with federal financial assistance (§4601(6)(A)). See valuation planning lane above for right-of-way acquisition activities that can trigger a process starting point. Comparable replacement dwelling (§4624(a)). Not to exceed 42 months and not to exceed $7,200, as adjusted by regulation, in accordance with §4633(d), unless it is last resort housing (§4624). Computation of payment must consider income of low-income displaced person. The Uniform Act defines a utility facility as any system such as the following (§4622(d)): (a) Electric, gas, water, steam power, or material transmission or distribution system. (b) Transportation system. (c) Communication system (including cable television). (d) Fixtures, equipment, or other property associated with the operation, maintenance, or repair of that system. The utility facility must be located on property owned by a state or local government or over which a state or local government has an easement or right-of-way. A utility facility may be publicly, privately, or cooperatively owned. §24.102(c)(2)(i), §24.108, §710.505(a) §24.102(c)(1) §24.102(c)(1) §24.105(c) includes a reference to salvage value in the case of tenant-owned improvements, which is not mentioned in the Uniform Act. §24.105(a) applies exclusively to the acquisition of tenant-owned improvements. §24.102(e)(1) §24.5, §24.102(b), §24.203(d) §24.102(h), §710.313(b), §24.102(g) §24.102(a), §24.102(f) §24.102(i), §24.108, §710.505(a) §24.108, §710.505(a) §24.102(i), §710.105(b) §24.102(j) §24.106 §24.102(j) §24.106 §24.107(a), §24.107(b) §24.102(l) §24.107(c) §24.2(a)(9) §24.208 §24.205(c)(2)(i), §24.205(c)(2)(ii) §24.205(c)(2)(v) §24.205(c)(2)(iv) §24.205(c)(2)(ii) §24.401(b) §24.402(a) §24.404 §24.404(c) §24.5, §24.203(c) §24.205(c)(2)(iii) §24.205(c)(2)(iii) §24.5, §24.203(c) §24.205(c)(1) §24.302 §24.301(a) §24.301(a) §24.401(a)(1), §24.402(a)(1) §24.402(b) §24.401(a)(2) §24.401(b) Not in 49 CFR 24 Not in 49 CFR 24 §24.402(c) §24.402(b) §24.402(a), §24.404(a) §24.401(b) §24.401(c) §24.401(d) §24.401(e) §24.404(a) §24.402(c)(1) §24.305(a)(4) §24.305(a) §24.305(a), §24.305(c), §24.305(d) §24.301(a)§24.301(a) §24.301(g)(14) §24.301(g)(17) §24.304§24.301(a) §24.301(a) §24.301(a) §24.304 §24.306 49 CFR 24 and 23 CFR 710 mention donations and administrative settlements but not alternate dispute resolutions. §24.102(l) §24.205(a) §24.205(c)(1) §24.205(c)(1) §24.208 §24.2(a)(6) §24.204(a) Replacement housing for homeowners and tenants (§4623(a)(1), §4624(a)). §24.401(f) §24.102(d) U.S. Code provision. (In red italics) Provision in 49 CFR 24. §4651 (3) §710.305, §710.501, §710.503, §710.505 La ne La ne (In red italics) Annotation that pertains to a Code of Federal Regulations provision.Annotation §4651 Acquisition by agreement with owner Acquisition by Condemnation Proceedings §4605 §4622(d) Utility Relocation Expenses Occupied property §4651(5) Provide 90-day written notice of date by which move is required §4601(6) Apply procedure to determine whether a person is a displaced person §4653 Reimburse owner for reasonable title transfer expenses §4651(2) Conduct inspection §4625(b) Advisory services available at the discretion of the acquiring agency Not occupied property Exceptions that require a person to move immediately from dwelling (§4625(c)(3)): (a) A major disaster as defined in §5122(2). (b) A national emergency declared by the President. (c) Any other emergency which requires the person to move immediately from the dwelling because continued occupancy of such dwelling by such person constitutes a substantial danger to the health or safety of such person. §24.204(b) The Uniform Act does not address basic conditions of emergency move, such as those described in §24.204(c). §4625(c)(3) Assure person is not required to move without opportunity to relocate to comparable replacement dwelling §4651(4) Require owner to surrender possession Decide to rent to original owner or tenant If leased to original owner or tenant, the lease amount cannot exceed the fair rental value of the property. §24.102(m), §710.403(d) §24.102(j) §4651(6) Rent acquired property Decide to rent to others Decide not to rent Not occupied property In the case of an occupied property, this activity can take place only if 90 days have passed since providing the 90-day written notice (of date by which move is required) to the owner (§4651(5)). Decide to rent to others or not to rent §24.205(e) §4625(f) Eligible for advisory assistance services to the extent determined by the displacing agency §4651(5) Provide 90-day written notice of date by which move is required §4625(c)(4) Assist businesses and farm operations in obtaining and becoming established at a suitable replacement location §4625(c)(2) Provide information on suitable locations for businesses and farm operations §4623(b) Insure mortgage on comparable replacement dwelling No utility relocation Extraordinary relocation cost No extraordinary cost §4622(d) Pay utility relocation costs less increase in value minus salvage cost Timer: Time span between two successive activities. §24.306(c) Negotiation is successful Offer accepted §4601(6)(A) Provide written notice of intent to acquire property §4626(a) Take actions as necessary to provide a comparable dwelling §4626 Identify last-resort housing replacement §4622(a) Determine actual reasonable moving and related expenses, including the following: (1) Actual reasonable moving expenses. (2) Actual direct losses of tangible personal property (not to exceed amount equal to the reasonable expenses that would have been required to relocate such property). (3) Actual reasonable expenses in searching for a replacement business or farm. (4) Actual reasonable expenses to reestablish operations at the site (not to exceed $25,000, as adjusted by regulation, in accordance with §4633(d)).Actual movingexpenses Loss of tangible personal property Searching for replacement business or farm Expenses to reestablish operations Small business Non-small business Farm Non-profit organization Eligibility §4622(d) Determine utility relocation costs, increase in value, and salvage cost §4622(c) Pay fixed payment according to criteria established by the U.S. DOT ($1,000 - $40,000) §4651(9) Include uneconomic remnant in real property appraisal §4651(3)Develop approved appraisal of the fair market value of the property Prepare waiver valuation Not anticipated acquisition by sale or donation Anticipated low fair market value Anticipated acquisition by sale or donation Occupied property No alternate dispute resolution or alternate dispute resolution was not successful §4651(8) Conduct condemnation proceedings §24.102(l) The Uniform Act does not use the term “inverse condemnation proceedings”. The Uniform Act does not define what a small business is. The Uniform Act does not describe the procedure for preparing waiver valuations. The head of the lead agency may prescribe this procedure (§4651(2)). §24.102(c) §4651(2) Decision to waive appraisal §710.505(a) (In red italics) Provision in 23 CFR 710. Annotation Comparable dwelling available §4654(c) Proceedings for claims against the United States Not eligible for additional payment Rent at new site The Uniform Act does not address what happens if the duration is <90 days. Make written offer Offer must not result in duplication of payments. No such payment is made unless the landowner disclaims all interest in the improvements of the tenant. Tenant must assign, transfer, and release right, title, and interest. Tenant has a right to reject payment under this section and seek payment under other applicable laws. §4651(3) Make prompt written offer to owner to acquire the property §4652 Make offer to tenant for tenant-owned improvements §4651(9) Include offer to acquire uneconomic remnants §24.102(d) §24.102(k) §24.102(e)(3), §24.105 §24.105(d)(1) to (3) According to §24.301(a) and §24.304, non-profit organizations are eligible for the same benefits as small businesses and farms. Note: Standalone versions of this diagram in Visio format and PDF are also provided in CRP-CD 154. (text continues on page 59)

Alternative Analysis and Preliminary Plans Environmental Process Utility Conflict Analysis, Permits, Relocation, and Reimbursement Property Acquisition and Relocation Assistance Design and PS&E Assembly Letting Construction Planning Preliminary Design Detailed Design Letting Construction PostConstruction Property Management Planning linkages Definition, Selection, Financing, Sched. Environmental Commitments Preliminary Utility Conflict Analysis Right-of-Way Map Development Agreements, Scope Update Construction authorization Environmental reevaluation Environmental approval Right-of-way authorization Project Management 30% design 60% design 90% design 15-20% design 0% design D e s i g n a n d P S & E A s s e m b l y D e f i n i t i o n , S e l e c t . , F i n a n c i n g , a n d S c h e d u l i n g A l t e r n a t i v e A n a l y s i s a n d P r e l i m i n a r y P l a n s E n v i r o n m e n t a l P r o c e s s R i g h t - o f - W a y M a p , A u t h o r i z a t i o n t o A c q u i r e P r o p e r t y , P r o p e r t y A c q u i s i t i o n , a n d R e l o c a t i o n A s s i s t a n c e U t i l i t y C o n f l i c t A n a l y s i s , P e r m i t s , R e l o c a t i o n , a n d R e i m b u r s e m e n t L e t t i n g A c q u i s i t i o n Conduct Conceptual Design Meeting Collect data for preliminary design Obtain permission to enter property Examples include traffic data, information about existing utilities, aerial photography, topographic surveys, and other surveys. Provide planning and environmental linkages Includes Initial Site Assessment. Conduct public meetings Includes identification of potential displacees. Obtain environmental clearance Develop final environmental document Meet environmental commitments after clearance Includes handling contamination according to existing laws and regulations and coordination during right-of-way acquisition. Depending on the requirements of the environmental commitment, this activity could continue long after project construction ends. R e l o c a t i o n A s s i s t a n c e Provide planning and real property acquisition linkages Conduct real property research Coordinate with other stakeholders Obtain authorization to acquire real property Prepare right-of- way map and property descriptions Prepare utility certification Prepare right-of- way certification Establish just compensation C o n s t r u c t i o n Planning Preliminary Design Detailed Design Letting Construction Post Construction Notes: Property management activities are arranged for presentation purposes only. They do not indicate specific duration or an ordered sequence. Some activities are not part of the project development and delivery process. They are shown here for completeness because they are normally included in the property management function at state DOTs. Conduct appraisal or waiver valuation Prepare and make written offer Acquire by negotiation Acquire by condemnation Determine relocation assistance eligibility Provide relocation assistance advisory (residential) Provide relocation assistance advisory (non-residential) Issue relocation payments (residential) Issue relocation payments (non-residential) P r o p e r t y M a n a g e m e n t Provide planning and utility process linkages Conduct preliminary utility investigations Survey visible utility appurtenances and assess impact Conduct detailed utility investigations Conduct design analyses Develop final horizontal and vertical alignments Conduct detailed design Prepare PS&Epackage Let project Build and deliver project Conduct environmental reevaluation Conduct design meeting Conduct 30%, 60%, and 90% design meetings Conduct final design and initial construction coordination meetings Conduct pre- construction meeting Coordinate utility relocation design with utility owners Prepare and execute utility agreements Develop alternative alignments (preliminary schematics) Select preferred alternative and develop geometric schematic Obtain approval for final geometric schematic Conduct value engineering study Required documents (depending on project type): Partial design summary report. Advanced planning risk analysis. Conduct coordination meetings 30% design 60% design 90% design Monitor utility relocations and reimburse utility owners The starting point depends on: Changes in design, scope, land use, or real property requirements. Changes to environmental impacts. Regulatory changes. A prescribed number of years of no activity. Including early or advance acquisition. Inventory and manage property interests Dispose property interests Lease real property interests Demolish and dispose improvements P r o j e c t M a n a g e m e n t Establish project management team Manage project development and delivery process Identify project need and purpose Prepare cost estimate and identify funding sources Authorize project development Develop long-range transportation plans Identify project requirements and conduct studies Examples include feasibility study, major investment study, planning and environment linkage study, traffic study, and identification of major project features. Examples include metropolitan and rural transportation plans, multimodal transportation plan, and statewide transportation plan. Develop/update intermediate and short-range programs Examples include the Unified Transportation Program and the Statewide Transportation Improvement Program. Secure federal, state, and local agreements Authorize project design Authorize project construction Scoping Process 15-20% design Update project requirements, cost estimate, and schedule 100% design 0% design Including one or more required public hearings. In relation to engineering, potential relocation, hazmat issues, and requirements. V a l u a t i o n V a l u a t i o n P l a n n i n g A p p r a i s a l o r W a i v e r V a l u a t i o n §4651(3) Establish just Compensation Not anticipated low fair market value Starting point not included in the Uniform Act. The following is assumed as the starting point for formal real property acquisition activities: (a) Authorization to acquire property has been received. (b) Right-of-way map and other related documents have been prepared. (c) Environmental document has been prepared and approved, except under certain conditions (23 USC 108). J u s t C o m p e n s a t i o n Not less than the agency’s approved appraisal of the fair market value of the property. Report appraisal of uneconomic remnant separately from that of the required real property. The reason is that eminent domain does not apply to uneconomic remnants (i.e., the owner is not obligated to sell uneconomic remnants). Notwithstanding right or obligation of tenant to remove building, structure, or other improvement at the expiration of the lease. Legend Exclusive gateway: When splitting, only one branch is activated. When merging, the active branch must complete. Parallel gateway: When splitting, all branches are activated simultaneously. When merging, all incoming branches must complete. Activity: Unit of work. Types of activities include tasks and sub-processes. Group: Set of graphical elements within the same category. P o o l Pool: Process partition that represents a major functional area or role. It may include one or more lanes. L a n e Lane: Process sub-partition within a pool. Annotation. Sequence flow. Sub-process (expanded). Start event. Start event (conditional). End event. See relocation eligibility determination lane below for other permanent displacement activities (e.g., rehabilitation and demolition) that can trigger a process starting point (§4601(6)). §24.102(d), §710.201(j) §24.102(c)(2)(i), §24.108, §710.505(a) §24.105(c) includes a reference to salvage value in the case of tenant-owned improvements, which is not mentioned in the Uniform Act. §24.105(a) applies exclusively to the acquisition of tenant-owned improvements. §24.102(d) U.S. Code provision. (In red italics) Provision in 49 CFR 24. §4651 (3) §710.305, §710.501, §710.503, §710.505 L a n e L a n e (In red italics) Annotation that pertains to a Code of Federal Regulations provision.Annotation Timer: Time span between two successive activities. §4651(3) Develop approved appraisal of the fair market value of the property Prepare waiver valuation Not anticipated acquisition by sale or donation Anticipated low fair market value Anticipated acquisition by sale or donation The Uniform Act does not describe the procedure for preparing waiver valuations. The head of the lead agency may prescribe this procedure (§4651(2)). §24.102(c) §4651(2) Decision to waive appraisal §710.505(a) (In red italics) Provision in 23 CFR 710. Annotation Conduct appraisal Inspect property §4651(2) Invite owner to accompany appraiser during inspection §4651(3) Develop appraisal of the fair market value of the property. Disregard decrease or increase in the fair market value of the property caused by the project (or the likelihood the property would be acquired for the project). §4652(a) Include equal interest in buildings, structures, or other improvements that need to be removed or that are adversely affected §4652(b)(1) For buildings, structures, or other improvements, select larger of: (a) Contribution to fair market value of property to be acquired (b) Fair market value for removal from the real property §24.103(b) §24.102(k) §24.105(a) §24.105(c) §24.102(c)(1) §24.102(c)(1) §4651(2) Conduct inspection §4651(9) Include uneconomic remnant in real property appraisal Level 1 Level 2 Level 3 Note: Standalone versions of the three models are provided in Visio and PDF format in CRP-CD 154. Partial views are shown in Figure 25 through Figure 39. Available to All Displaced Persons Who Are Eligible for Advisory Services Not lawfully present in the U.S. A c q u i s i t i o n R e l o c a t i o n A s s i s t a n c e R e l o c a t i o n A s s i s t a n c e E l i g i b i l i t y D e t e r m i n a t i o n Displaced person Not eligible for assistance W r i t t e n O f f e r N e g o t i a t i o n Not a displaced person §4625(a) Conduct early planning to anticipate displacements and associated problems §4625(b) Does not occupy adjacent property §4625(b) Occupies adjacent property Substantial economic injury No substantial economic injury Lawfully present in the U.S. §4625(c)(1) Determine and make timely recommendations on needs and preferences of displaced persons for relocation assistance §4625(c)(2) Provide information on comparable replacement dwellings for homeowners and tenants R e l o c a t i o n A s s i s t a n c e A d v i s o r y §4625(c)(5) Supply information about other federal and state programs and provide assistance in applying for assistance under those programs §4625(c)(6) Provide other services in order to minimize hardships to displaced persons in adjusting to relocation Residential Non-residental Comparable dwelling not available §4605 Eligible for relocation assistance services To an individual who is the displaced person’s spouse, parent, or child and who is a U.S. citizen or permanent resident in the U.S. Relocation assistance advisory includes measures, facilities, or services as needed or appropriate (§4625). §4625(a) Provide for the resolution of problems to minimize adverse impacts on displaced persons and expedite project completion R e l o c a t i o n A s s i s t a n c e P a y m e n t s Expense and dislocation allowance option §4622(b) Pay allowance according to schedule established by the U.S. DOT Actual moving cost option §4622(a) Determine actual reasonable moving expenses Utility facility relocation Franchise No franchise Non-routine relocation expense, not included in annual utility budget as an operational expense. Utility owner has a franchise or similar agreement with respect to the use of the displacing agency’s right-of-way, easement, or other property. Utility relocation costs, betterment, and accrued depreciation. §4622(a) Pay actual moving and related expenses Homeowner at displaced dwelling ≥90 days at displaced dwelling Tenant at displaced dwelling Purchase at new site §4623(a) Determine replacement housing payments If homeowner purchases and occupies a decent, safe, and sanitary replacement dwelling within one year after (a) receiving acquisition payment or (b) displacing agency’s obligation under §4625(c)(3) is met. Not to exceed $31,000 as adjusted by regulation, in accordance with §4633(d), including the following (§4623(a)): (a) Difference in acquisition cost between dwelling acquired by displacing agency and reasonable cost of comparable replacement dwelling. (b) Increased interest and other debt service costs for financing acquisition of such comparable replacement dwelling (payable only if mortgage at dwelling acquired by displacing agency was in place for ≥180 days prior to initiation of negotiations). (c) Reasonable expenses for evidence of title, recording fees, and other closing costs for the purchase of the replacement dwelling (not including prepaid expenses). The limit of $31,000 does not apply to last resort housing (§4626). Prior to the initiation of negotiations for the acquisition of the property (§4623(a)). §4624 Determine additional costs to rent or lease a comparable replacement dwelling Rent at new site Purchase replacement dwelling §4623 Pay replacement housing amount §4624 Determine eligibility for maximum amount The displacing agency may increase the payment to the maximum of $7,200 (used for down payment and other incidental expenses) (§4624(b)), as adjusted by regulation, in accordance with §4633(d)). Administrative settlement Negotiation is not successful Alternate dispute resolution Must be for the full amount of just compensation as established by the agency (and summary of basis for just compensation). Where appropriate, list just compensation for acquired property and damages for remaining real property separately. §4651(3) Prepare written offer The Uniform Act does not explain the process to require persons to move if they are not eligible for assistance because they are not lawfully present in the U.S. Do not take any coercive action (such as advancing the time of condemnation, delaying negotiations or condemnation, or delaying depositing funds in court) in order to compel an agreement on the price to be paid for the property. The Uniform Act does not address the need or procedure for updating appraisals or reestablishing just compensation. §4651(1) §4651(7) Conduct negotiations Donation The Uniform Act mentions donations (§4651(2), §4651(10)). It does not mention other options such as administrative settlements or alternate dispute resolutions. These options are included in the diagram for completeness and illustration purposes. §4651(4) Pay to owner agreed purchase price to acquire property Conditional event if owner finds it necessary to institute legal proceedings to prove the fact of the taking of his real property (§4651(8), §4654(c)). C o n d e m n a t i o n Amount not less than the agency’s approved appraisal of the fair market value or the amount of the award of compensation in the condemnation proceedings (§4651(4)). Includes: (a) Recording fees, transfer taxes, and other similar expenses. (b) Penalty costs for prepayment of preexisting mortgage. (c) Pro rata portion of real property taxes. §4651(4) Deposit funds in court in accordance with 40 USC 3114(a) to (d) Agency can acquire by condemnation Agency cannot acquire by condemnation §4654(a), §4654(b) Pay reasonable attorney, appraisal, and engineering fees to owner Or agency abandons proceedings. Owner sues agency Judgment outcome Pay reasonable attorney, appraisal, and engineering fees to owner (if court renders a judgment for the plaintiff) (§4654(c)). Early Relocation Planning The Uniform Act does not define what notice of intent to acquire is. The notice could be the offer itself or a different document. It includes a statement of the right to receive just compensation for such property. Requires informing owner of the right to receive just compensation (§4651(10)). §4653 Reimburse owner for reasonable title transfer expenses Includes: (a) Recording fees, transfer taxes, and other similar expenses. (b) Penalty costs for prepayment of preexisting mortgage. (c) Pro rata portion of real property taxes. A displaced person is any person who moves from real property or moves his/her personal property from real property in connection with the acquisition of right-of-way or in connection with rehabilitation, demolition, or other permanent displacing activities undertaken by a federal agency or with federal financial assistance. The Uniform Act includes provisions for determining whether a person can be classified as a displaced person (§4601(6)). Exceptional and extremely unusual hardship The Uniform Act (§4601(10) defines a comparable replacement dwelling to be any dwelling that is: (a) Decent, safe, and sanitary. (b) Adequate in size to accommodate the occupants. (c) Within the financial means of the displaced person. (d) Functionally equivalent. (e) In an area not subject to unreasonable adverse environmental conditions. (f) In a location generally not less desirable than the location of the displaced person’s dwelling with respect to public utilities, facilities, services, and the displaced person’s place of employment. As needed, exceed maximum amount on a case-by-case basis. The Uniform Act suggests that insuring a mortgage is not mandatory for an agency (§4623(b)). Eligible person purchases a decent, safe, and sanitary replacement dwelling (§4624). Within statutory limits: $31,000 (§4623(a)) $7,200 (§4624(a)) Both amounts are adjusted by regulation, in accordance with §4633(d). Project cannot proceed on a timely basis because comparable dwelling (within statutory limits) is not available. §4623 Pay replacement housing amount P o s t A c q u i s i t i o n The process must be non-discriminating against any displaced person. <90 days at displaced dwelling The Uniform Act does not address the possibility of renting. Eligible for additional payment Application by mortgagee No application by mortgagee Fixed payment option Actual moving cost option No Yes §4622(a) Pay actual moving and related expenses In lieu of the payment authorized under §4622(a). Adjusted by regulation in accordance with §4633(d). Is the sole business at the displacement dwelling the rental of the dwelling to others? Trigger event not included in the Uniform Act. The following is assumed as the starting point for the determination of utility relocation expenses: (a) Need for utility relocation has been established. (b) Utility relocation drawings and other related documents have been prepared. §24.5, §24.102(d) A permanent displacement activity (e.g., rehabilitation and demolition) under a program or project undertaken by a Federal agency or with federal financial assistance (§4601(6)(A)). See valuation planning lane above for right-of-way acquisition activities that can trigger a process starting point. Comparable replacement dwelling (§4624(a)). Not to exceed 42 months and not to exceed $7,200, as adjusted by regulation, in accordance with §4633(d), unless it is last resort housing (§4624). Computation of payment must consider income of low-income displaced person. The Uniform Act defines a utility facility as any system such as the following (§4622(d)): (a) Electric, gas, water, steam power, or material transmission or distribution system. (b) Transportation system. (c) Communication system (including cable television). (d) Fixtures, equipment, or other property associated with the operation, maintenance, or repair of that system. The utility facility must be located on property owned by a state or local government or over which a state or local government has an easement or right-of-way. A utility facility may be publicly, privately, or cooperatively owned. §24.102(e)(1) §24.5, §24.102(b), §24.203(d) §24.102(h), §710.313(b), §24.102(g) §24.102(a), §24.102(f) §24.102(i), §24.108, §710.505(a) §24.108, §710.505(a) §24.102(i), §710.105(b) §24.102(j) §24.106 §24.102(j) §24.106 §24.107(a), §24.107(b) §24.102(l) §24.107(c) §24.2(a)(9) §24.208 §24.205(c)(2)(i), §24.205(c)(2)(ii) §24.205(c)(2)(v) §24.205(c)(2)(iv) §24.205(c)(2)(ii) §24.401(b) §24.402(a) §24.404 §24.404(c) §24.5, §24.203(c) §24.205(c)(2)(iii) §24.205(c)(2)(iii) §24.5, §24.203(c) §24.205(c)(1) §24.302 §24.301(a) §24.301(a) §24.401(a)(1), §24.402(a)(1) §24.402(b) §24.401(a)(2) §24.401(b) Not in 49 CFR 24 Not in 49 CFR 24 §24.402(c) §24.402(b) §24.402(a), §24.404(a) §24.401(b) §24.401(c) §24.401(d) §24.401(e) §24.404(a) §24.402(c)(1) §24.305(a)(4) §24.305(a) §24.305(a), §24.305(c), §24.305(d) §24.301(a)§24.301(a) §24.301(g)(14) §24.301(g)(17) §24.304§24.301(a) §24.301(a) §24.301(a) §24.304 §24.306 49 CFR 24 and 23 CFR 710 mention donations and administrative settlements but not alternate dispute resolutions. §24.102(l) §24.205(a) §24.205(c)(1) §24.205(c)(1) §24.208 §24.2(a)(6) §24.204(a) Replacement housing for homeowners and tenants (§4623(a)(1), §4624(a)). §24.401(f) §4651 Acquisition by agreement with owner Acquisition by Condemnation Proceedings §4605 §4622(d) Utility Relocation Expenses Occupied property §4651(5) Provide 90-day written notice of date by which move is required §4601(6) Apply procedure to determine whether a person is a displaced person §4653 Reimburse owner for reasonable title transfer expenses §4625(b) Advisory services available at the discretion of the acquiring agency Not occupied property Exceptions that require a person to move immediately from dwelling (§4625(c)(3)): (a) A major disaster as defined in §5122(2). (b) A national emergency declared by the President. (c) Any other emergency which requires the person to move immediately from the dwelling because continued occupancy of such dwelling by such person constitutes a substantial danger to the health or safety of such person. §24.204(b) The Uniform Act does not address basic conditions of emergency move, such as those described in §24.204(c). §4625(c)(3) Assure person is not required to move without opportunity to relocate to comparable replacement dwelling §4651(4) Require owner to surrender possession Decide to rent to original owner or tenant If leased to original owner or tenant, the lease amount cannot exceed the fair rental value of the property. §24.102(m), §710.403(d) §24.102(j) §4651(6) Rent acquired property Decide to rent to others Decide not to rent Not occupied property In the case of an occupied property, this activity can take place only if 90 days have passed since providing the 90-day written notice (of date by which move is required) to the owner (§4651(5)). Decide to rent to others or not to rent §24.205(e) §4625(f) Eligible for advisory assistance services to the extent determined by the displacing agency §4651(5) Provide 90-day written notice of date by which move is required §4625(c)(4) Assist businesses and farm operations in obtaining and becoming established at a suitable replacement location §4625(c)(2) Provide information on suitable locations for businesses and farm operations §4623(b) Insure mortgage on comparable replacement dwelling No utility relocation Extraordinary relocation cost No extraordinary cost §4622(d) Pay utility relocation costs less increase in value minus salvage cost §24.306(c) Negotiation is successful Offer accepted §4601(6)(A) Provide written notice of intent to acquire property §4626(a) Take actions as necessary to provide a comparable dwelling §4626 Identify last-resort housing replacement §4622(a) Determine actual reasonable moving and related expenses, including the following: (1) Actual reasonable moving expenses. (2) Actual direct losses of tangible personal property (not to exceed amount equal to the reasonable expenses that would have been required to relocate such property). (3) Actual reasonable expenses in searching for a replacement business or farm. (4) Actual reasonable expenses to reestablish operations at the site (not to exceed $25,000, as adjusted by regulation, in accordance with §4633(d)).Actual movingexpenses Loss of tangible personal property Searching for replacement business or farm Expenses to reestablish operations Small business Non-small business Farm Non-profit organization Eligibility §4622(d) Determine utility relocation costs, increase in value, and salvage cost §4622(c) Pay fixed payment according to criteria established by the U.S. DOT ($1,000 - $40,000) Occupied property No alternate dispute resolution or alternate dispute resolution was not successful §4651(8) Conduct condemnation proceedings §24.102(l) The Uniform Act does not use the term “inverse condemnation proceedings”. The Uniform Act does not define what a small business is. Comparable dwelling available §4654(c) Proceedings for claims against the United States Not eligible for additional payment Rent at new site The Uniform Act does not address what happens if the duration is <90 days. Make written offer Offer must not result in duplication of payments. No such payment is made unless the landowner disclaims all interest in the improvements of the tenant. Tenant must assign, transfer, and release right, title, and interest. Tenant has a right to reject payment under this section and seek payment under other applicable laws. §4651(3) Make prompt written offer to owner to acquire the property §4652 Make offer to tenant for tenant-owned improvements §4651(9) Include offer to acquire uneconomic remnants §24.102(d) §24.102(k) §24.102(e)(3), §24.105 §24.105(d)(1) to (3) According to §24.301(a) and §24.304, non-profit organizations are eligible for the same benefits as small businesses and farms. Prepare Draft Environmental Documentation Identify public and environmental concerns Conduct early and frequent interagency coordination Evaluate natural and cultural resource impacts Evaluate socioeconomic impacts Evaluate noise impacts Evaluate hazardous materials Conduct air quality analysis Prepare draft environmental document Figure 24. Relationships between the Level 1, Level 2, and Level 3 models.

Figure 25. Real property acquisition according to the Uniform Act—valuation (valuation planning). Va lu at io n Va lu at io n Pl an ni ng Starting point not included in the Uniform Act. The following is assumed as the starting point for formal real property acquisition activities: (a) Authorization to acquire property has been received. (b) Right-of-way map and other related documents have been prepared. (c) Environmental document has been prepared and approved, except under certain conditions (23 USC 108). See relocation eligibility determination lane below for other permanent displacement activities (e.g., rehabilitation and demolition) that can trigger a process starting point (§4601(6)). §24.102(c)(2)(i), §24.108, §710.505(a) §710.305, §710.501, §710.503, §710.505 Anticipated low fair market value Anticipated acquisition by sale or donation §4651(2) Decision to waive appraisal A Not anticipated low fair market value B Not anticipated acquisition by sale or donation C D Figure 26. Real property acquisition according to the Uniform Act—valuation (appraisal or waiver valuation). Conduct appraisal Inspect property A pp ra is al or W ai ve r Va lu at io n §4651(2) Invite owner to accompany appraiser during inspection §4651(3) Develop appraisal of the fair market value of the property. Disregard decrease or increase in the fair market value of the property caused by the project (or the likelihood the property would be acquired for the project). Report appraisal of uneconomic remnant separately from that of the required real property. The reason is that eminent domain does not apply to uneconomic remnants (i.e., the owner is not obligated to sell uneconomic remnants). §4652(a) Include equal interest in buildings, structures, or other improvements that need to be removed or that are adversely affected §4652(b)(1) For buildings, structures, or other improvements, select larger of: (a) Contribution to fair market value of property to be acquired (b) Fair market value for removal from the real property Notwithstanding right or obligation of tenant to remove building, structure, or other improvement at the expiration of the lease. §24.103(b) §24.102(k) §24.105(a) §24.105(c) §24.102(c)(1) §24.102(c)(1) §24.105(c) includes a reference to salvage value in the case of tenant- owned improvements, which is not mentioned in the Uniform Act. §24.105(a) applies exclusively to the acquisition of tenant-owned improvements. §4651(2) Conduct inspection §4651(9) Include uneconomic remnant in real property appraisal §4651(3) Develop approved appraisal of the fair market value of the property Prepare waiver valuation The Uniform Act does not describe the procedure for preparing waiver valuations. The head of the lead agency may prescribe this procedure (§4651(2)). §24.102(c) Va lu at io n C B D E F Figure 27. Real property acquisition according to the Uniform Act— valuation (just compensation). §4651(3) Establish just Compensation Ju st Co m pe ns at io n Not less than the agency’s approved appraisal of the fair market value of the property. §24.102(d), §710.201(j) Va lu at io n E F G Figure 28. Real property acquisition according to the Uniform Act—acquisition (written offer). A cq ui si tio n W rit te n O ffe r Must be for the full amount of just compensation as established by the agency (and summary of basis for just compensation). Where appropriate, list just compensation for acquired property and damages for remaining real property separately. §4651(3) Prepare written offer §24.5, §24.102(d) §24.102(e)(1) Make written offer Offer must not result in duplication of payments. No such payment is made unless the landowner disclaims all interest in the improvements of the tenant. Tenant must assign, transfer, and release right, title, and interest. Tenant has a right to reject payment under this section and seek payment under other applicable laws. §4651(3) Make prompt written offer to owner to acquire the property §4652 Make offer to tenant for tenant-owned improvements §4651(9) Include offer to acquire uneconomic remnants §24.102(d) §24.102(k) §24.102(e)(3), §24.105 §24.105(d)(1) to (3) G H

Ne g o t i a t i o n Administrative settlement Negotiation is not successful Alternate dispute resolution Do not take any coercive action (such as advancing the time of condemnation, delaying negotiations or condemnation, or delaying depositing funds in court) in order to compel an agreement on the price to be paid for the property. The Uniform Act does not address the need or procedure for updating appraisals or reestablishing just compensation. §4651(1) §4651(7) Conduct negotiations Donation The Uniform Act mentions donations (§4651(2), §4651(10)). It does not mention other options such as administrative settlements or alternate dispute resolutions. These options are included in the diagram for completeness and illustration purposes. §4651(4) Pay to owner agreed purchase price to acquire property Includes: (a) Recording fees, transfer taxes, and other similar expenses. (b) Penalty costs for prepayment of preexisting mortgage. (c) Pro rata portion of real property taxes. Requires informing owner of the right to receive just compensation (§4651(10)). §24.102(h), §710.313(b), §24.102(g) §24.102(a), §24.102(f) §24.102(i), §24.108, §710.505(a) §24.108, §710.505(a) §24.102(i), §710.105(b) §24.102(j) §24.106 49 CFR 24 and 23 CFR 710 mention donations and administrative settlements but not alternate dispute resolutions. §4651 Acquisition by agreement with owner §4653 Reimburse owner for reasonable title transfer expenses Negotiation is successful Offer accepted A c q u i s i t i o n H I No alternate dispute resolution or alternate dispute resolution was not successful J Figure 29. Real property acquisition according to the Uniform Act—acquisition (negotiation).

Figure 30. Real property acquisition according to the Uniform Act—acquisition (condemnation proceedings). Or agency abandons proceedings. Pay reasonable attorney, appraisal, and engineering fees to owner (if court renders a judgment for the plaintiff) (§4654(c)). Conditional event if owner finds it necessary to institute legal proceedings to prove the fact of the taking of his real property (§4651(8), §4654(c)). C o n d e m n a t i o n Amount not less than the agency’s approved appraisal of the fair market value or the amount of the award of compensation in the condemnation proceedings (§4651(4)). §4651(4) Deposit funds in court in accordance with 40 USC 3114(a) to (d) Agency can acquire by condemnation Agency cannot acquire by condemnation §4654(a), §4654(b) Pay reasonable attorney, appraisal, and engineering fees to owner Owner sues agency Judgment outcome §4653 Reimburse owner for reasonable title transfer expenses §24.102(j) §24.106 §24.107(a), §24.107(b) §24.102(l) §24.107(c) §24.102(l) Acquisition by Condemnation Proceedings §4651(8) Conduct condemnation proceedings §24.102(l) The Uniform Act does not use the term “inverse condemnation proceedings.” §4654(c) Proceedings for claims against the United States A c q u i s i t i o n I J Includes: (a) Recording fees, transfer taxes, and other similar expenses. (b) Penalty costs for prepayment of preexisting mortgage. (c) Pro rata portion of real property taxes.

56 Figure 31. Real property acquisition according to the Uniform Act—acquisition (post acquisition). Po st A cq ui si tio n §4651(4) Require owner to surrender possession Decide to rent to original owner or tenant If leased to original owner or tenant, the lease amount cannot exceed the fair rental value of the property. §24.102(m), §710.403(d) §24.102(j) §4651(6) Rent acquired property Decide to rent to others Decide not to rent Not occupied property In the case of an occupied property, this activity can take place only if 90 days have passed since providing the 90-day written notice (of date by which move is required) to the owner (§4651(5)). Decide to rent to others or not to rent Occupied property A cq ui si tio n J K Q Figure 32. Real property acquisition according to the Uniform Act—relocation assistance (relocation assistance eligibility determination—Part 1). R el oc at io n A ss is ta nc e R el oc at io n A ss is ta nc e El ig ib ili ty De te rm in at io n §4625(a) Conduct early planning to anticipate displacements and associated problems §4625(a) Provide for the resolution of problems to minimize adverse impacts on displaced persons and expedite project completion Early Relocation Planning The Uniform Act does not define what notice of intent to acquire is. The notice could be the offer itself or a different document. It includes a statement of the right to receive just compensation for such property. A displaced person is any person who moves from real property or moves his/her personal property from real property in connection with the acquisition of right-of-way or in connection with rehabilitation, demolition, or other permanent displacing activities undertaken by a federal agency or with federal financial assistance. The Uniform Act includes provisions for determining whether a person can be classified as a displaced person (§4601(6)). A permanent displacement activity (e.g., rehabilitation and demolition) under a program or project undertaken by a Federal agency or with federal financial assistance (§4601(6)(A)). See valuation planning lane above for right-of-way acquisition activities that can trigger a process starting point. §24.5, §24.102(b), §24.203(d) §24.2(a)(9) §24.205(a) Occupied property §4601(6) Apply procedure to determine whether a person is a displaced person Not occupied property §4601(6)(A) Provide written notice of intent to acquire property A L

57 Figure 33. Real property acquisition according to the Uniform Act—relocation assistance (relocation assistance eligibility determination—Part 2). Not lawfully present in the U.S. Displaced person Not eligible for assistance Not a displaced person §4625(b) Does not occupy adjacent property §4625(b) Occupies adjacent property Substantial economic injury No substantial economic injury Lawfully present in the U.S. §4605 Eligible for relocation assistance services To an individual who is the displaced person’s spouse, parent, or child and who is a U.S. citizen or permanent resident in the U.S. The Uniform Act does not explain the process to require persons to move if they are not eligible for assistance because they are not lawfully present in the U.S. Exceptional and extremely unusual hardship The process must be non-discriminating against any displaced person. §24.208 §24.205(c)(1) §24.205(c)(1) §24.205(c)(1) §24.208§4605 §4625(b) Advisory services available at the discretion of the acquiring agency §24.205(e) §4625(f) Eligible for advisory assistance services to the extent determined by the displacing agency K L MR el oc at io n A ss is ta nc e R el oc at io n A ss is ta nc e El ig ib ili ty D et er m in at io n Figure 34. Real property acquisition according to the Uniform Act—relocation assistance (relocation assistance advisory—Part 1). Available to All Displaced Persons Who Are Eligible for Advisory Services §4625(c)(1) Determine and make timely recommendations on needs and preferences of displaced persons for relocation assistance Re lo ca tio n As si st an ce Ad vi so ry §4625(c)(5) Supply information about other federal and state programs and provide assistance in applying for assistance under those programs §4625(c)(6) Provide other services in order to minimize hardships to displaced persons in adjusting to relocation Relocation assistance advisory includes measures, facilities, or services as needed or appropriate (§4625). §24.205(c)(2)(i), §24.205(c)(2)(ii) §24.205(c)(2)(v) §24.205(c)(2)(iv) Re lo ca tio n As si st an ce M N

The Uniform Act (§4601(10)) defines a comparable replacement dwelling to be any dwelling that is: (a) Decent, safe, and sanitary. (b) Adequate in size to accommodate the occupants. (c) Within the financial means of the displaced person. (d) Functionally equivalent. (e) In an area not subject to unreasonable adverse environmental conditions. (f) In a location generally not less desirable than the location of the displaced person’s dwelling with respect to public utilities, facilities, services, and the displaced person’s place of employment. §4625(c)(2) Provide information on comparable replacement dwellings for homeowners and tenantsResidential Non-residental Comparable dwelling not available As needed, exceed maximum amount on a case-by-case basis. Within statutory limits: $31,000 (§4623(a)) $7,200 (§4624(a)) Both amounts are adjusted by regulation, in accordance with §4633(d). Project cannot proceed on a timely basis because comparable dwelling (within statutory limits) is not available. §24.205(c)(2)(ii) §24.401(b) §24.402(a) §24.404 §24.404(c) §24.5, §24.203(c) §24.205(c)(2)(iii) §24.205(c)(2)(iii) §24.5, §24.203(c) §24.2(a)(6) §24.204(a) §4651(5) Provide 90-day written notice of date by which move is required Exceptions that require a person to move immediately from dwelling (§4625(c)(3)): (a) A major disaster as defined in §5122(2). (b) A national emergency declared by the President. (c) Any other emergency which requires the person to move immediately from the dwelling because continued occupancy of such dwelling by such person constitutes a substantial danger to the health or safety of such person. §24.204(b) The Uniform Act does not address basic conditions of emergency move, such as those described in §24.204(c). §4625(c)(3) Assure person is not required to move without opportunity to relocate to comparable replacement dwelling §4651(5) Provide 90-day written notice of date by which move is required §4625(c)(4) Assist businesses and farm operations in obtaining and becoming established at a suitable replacement location §4625(c)(2) Provide information on suitable locations for businesses and farm operations §4626(a) Take actions as necessary to provide a comparable dwelling §4626 Identify last-resort housing replacement Comparable dwelling available N O R e l o c a t i o n A s s i s t a n c e A d v i s o r y R e l o c a t i o n A s s i s t a n c e P Q Figure 35. Real property acquisition according to the Uniform Act—relocation assistance (relocation assistance advisory—Part 2).

59 the entire process or that refer to other existing laws). For completeness, Figure 40 lists provisions in the Uniform Act that might pertain to the entire process, and Figure 41 lists provisions in the Uniform Act that refer to other existing laws. MAP-21 introduced several provisions designed to accel- erate project delivery and promote efficiency and effective- ness in the process. Provisions related to the acquisition of real property included amendments to the Uniform Act and 23 U.S.C. Figure 42 lists the amendments to the Uniform Act in MAP-21. These amendments address topics such as adjust- ment of relocation payments, management of the acquisition and relocation program, interagency agreements, and pay- ments. The overall goal of these amendments was to add flexibility to the process (e.g., by increasing the maximum allowable payment for relocation and by allowing the adjust- ment of the maximum payment amounts by regulation). The figures presenting information about the Level 1, Level 2, and Level 3 models (Figure 23 through Figure 39) reflect the MAP-21 amendments to the Uniform Act. Figure 43 lists sections of 23 U.S.C. that MAP-21 amended. These amendments address topics such as expediting proj- ect delivery and early acquisition of real property (e.g., by revising the conditions under which real property may be acquired before completion of the environmental review). These conditions vary depending on whether the state DOT seeks federal funding or only uses state funding. Appendix C includes a more detailed description of the impacts of MAP-21 on project development and delivery. It is worth noting that Uniform Act provisions do not address every aspect of the real property acquisition process. For example, the Uniform Act does not prescribe interactions between the project development and delivery process and the real property development and delivery process, including location(s) along the project development process where real property acquisition activities could or must start. Similarly, Uniform Act provisions do not explicitly address the following: • Encouragement to begin real property activities (other than relocation) earlier in the process. • Situations in which LPAs acquire property. • Ownership by businesses of properties that are being acquired. • Situations involving the unit rule concept in relation to the various physical components of real estate. • Handling of mobile homes and outdoor advertising signs (particularly off-premise signs), as real or personal prop- erty. In the case of outdoor advertising signs, a common issue is how to separate the acquisition of the sign itself from the acquisition of the leasehold interest of the sign company (which pertains to the specific sign location, not the entire company). Notice also that Uniform Act provisions do not explicitly address appraisal standards and scope of work, and Uniform Act provisions do not explicitly address the updating of offers of just compensation. Expense and dislocation allowance option §4622(b) Pay allowance according to schedule established by the U.S. DOT Actual moving cost option §4622(a) Determine actual reasonable moving expenses §4622(a) Pay actual moving and related expenses Prior to the initiation of negotiations for the acquisition of the property (§4623(a)). <90 days at displaced dwelling §24.302 §24.301(a) §24.301(a) §24.401(a)(1), §24.402(a)(1) Replacement housing for homeowners and tenants (§4623(a)(1), §4624(a)). The Uniform Act does not address what happens if the duration is <90 days. P Q ≥90 days at displaced dwelling R el oc at io n A ss is ta nc e Pa ym en ts R el oc at io n A ss is ta nc e Figure 36. Real property acquisition according to the Uniform Act—relocation assistance (relocation assistance payments—residential—Part 1). (text continues on page 65) (continued from page 51)

Not to exceed $31,000 as adjusted by regulation, in accordance with §4633(d), including the following (§4623(a)): (a) Difference in acquisition cost between dwelling acquired by displacing agency and reasonable cost of comparable replacement dwelling. (b) Increased interest and other debt service costs for financing acquisition of such comparable replacement dwelling (payable only if mortgage at dwelling acquired by displacing agency was in place for ≥180 days prior to initiation of negotiations). (c) Reasonable expenses for evidence of title, recording fees, and other closing costs for the purchase of the replacement dwelling (not including prepaid expenses). The limit of $31,000 does not apply to last resort housing (§4626). Homeowner at displaced dwelling Tenant at displaced dwelling Purchase at new site §4623(a) Determine replacement housing payments If homeowner purchases and occupies a decent, safe, and sanitary replacement dwelling within one year after (a) receiving acquisition payment or (b) displacing agency’s obligation under §4625(c)(3) is met. §4624 Determine additional costs to rent or lease a comparable replacement dwelling Rent at new site Purchase replacement dwelling §4623 Pay replacement housing amount §4624 Determine eligibility for maximum amount The displacing agency may increase the payment to the maximum of $7,200 (used for down payment and other incidental expenses) (§4624(b)), as adjusted by regulation, in accordance with §4633(d)). The Uniform Act suggests that insuring a mortgage is not mandatory for an agency (§4623(b)). Eligible person purchases a decent, safe, and sanitary replacement dwelling (§4624). §4623 Pay replacement housing amount The Uniform Act does not address the possibility of renting. Eligible for additional payment Application by mortgagee No application by mortgagee Comparable replacement dwelling (§4624(a)). Not to exceed 42 months and not to exceed $7,200, as adjusted by regulation, in accordance with §4633(d), unless it is last resort housing (§4624). Computation of payment must consider income of low-income displaced person. §24.402(b) §24.401(a)(2) §24.401(b) Not in 49 CFR 24 Not in 49 CFR 24 §24.402(c) §24.402(b) §24.402(a), §24.404(a) §24.401(b) §24.401(c) §24.401(d) §24.401(e) §24.404(a) §24.402(c)(1) §24.401(f) §4623(b) Insure mortgage on comparable replacement dwelling Not eligible for additional payment Rent at new site R e l o c a t i o n A s s i s t a n c e P a y m e n t s R e l o c a t i o n A s s i s t a n c e Q Figure 37. Real property acquisition according to the Uniform Act—relocation assistance (relocation assistance payments— residential—Part 2).

61 R el oc at io n A ss is ta nc e Pa ym en ts Fixed payment option Actual moving cost option No Yes §4622(a) Pay actual moving and related expenses In lieu of the payment authorized under §4622(a). Adjusted by regulation in accordance with §4633(d). Is the sole business at the displacement dwelling the rental of the dwelling to others? §24.305(a)(4) §24.305(a) §24.305(a), §24.305(c), §24.305(d) §24.301(a)§24.301(a) §24.301(g)(14) §24.301(g)(17) §24.304 §24.301(a) §24.301(a) §24.301(a) §24.304 §4622(a) Determine actual reasonable moving and related expenses, including the following: (1) Actual reasonable moving expenses. (2) Actual direct losses of tangible personal property (not to exceed amount equal to the reasonable expenses that would have been required to relocate such property). (3) Actual reasonable expenses in searching for a replacement business or farm. (4) Actual reasonable expenses to reestablish operations at the site (not to exceed $25,000, as adjusted by regulation, in accordance with §4633(d)). Actual moving expenses Loss of tangible personal property Searching for replacement business or farm Expenses to reestablish operations Small business Non-small business Farm Non-profit organization Eligibility §4622(c) Pay fixed payment according to criteria established by the U.S. DOT ($1,000 - $40,000) The Uniform Act does not define what a small business is. R el oc at io n A ss is ta nc e O According to §24.301(a) and §24.304, non-profit organizations are eligible for the same benefits as small businesses and farms. Figure 38. Real property acquisition according to the Uniform Act—relocation assistance (relocation assistance payments—non-residential).

Utility facility relocation Franchise No franchise Non-routine relocation expense, not included in annual utility budget as an operational expense. Utility owner has a franchise or similar agreement with respect to the use of the displacing agency’s right-of-way, easement, or other property. Utility relocation costs, betterment, and accrued depreciation. Trigger event not included in the Uniform Act. The following is assumed as the starting point for the determination of utility relocation expenses: (a) Need for utility relocation has been established. (b) Utility relocation drawings and other related documents have been prepared. The Uniform Act defines a utility facility as any system such as the following (§4622(d)): (a) Electric, gas, water, steam power, or material transmission or distribution system. (b) Transportation system. (c) Communication system (including cable television). (d) Fixtures, equipment, or other property associated with the operation, maintenance, or repair of that system. The utility facility must be located on property owned by a state or local government or over which a state or local government has an easement or right- of-way. A utility facility may be publicly, privately, or cooperatively owned. §24.306 §4622(d) Utility Relocation Expenses No utility relocation Extraordinary relocation cost No extraordinary cost §4622(d) Pay utility relocation costs less increase in value minus salvage cost §24.306(c) §4622(d) Determine utility relocation costs, increase in value, and salvage cost R e l o c a t i o n A s s i s t a n c e P a y m e n t s R e l o c a t i o n A s s i s t a n c e Figure 39. Real property acquisition according to the Uniform Act—relocation assistance (utility relocation expenses).

63 Figure 40. Real property acquisition according to the Uniform Act—other provisions. §4625(d). Displacing Agency: Coordinate relocation activities with other federal, state, or local agencies. §4625(e). Federal agencies: Select implementation procedures if two or more federal agencies provide financial assistance. §4632. Displacing Agency: Enter into contracts to provide relocation assistance advisory services. §4633. U.S. DOT Responsibilities: Develop, publish, and issue regulations to carry out Uniform Act provisions. Provide information developed with the Attorney General on proper implementation of §4625. Ensure that displacing agencies implement §4605 fairly and without discrimination. Ensure that relocation assistance activities are coordinated with low-income housing assistance programs or projects. Monitor implementation of Uniform Act provisions. §4635. Federal agency: Make or approve loans for planning and obtaining federally insured mortgage financing for rehabilitating or constructing housing for displaced persons. §4638. Administrator of General Services: Transfer surplus real property to a state agency for the purpose of providing replacement housing. §4627. State required to furnish real property incident to federal assistance. §4630. Federal agency: Approve grant, contract, or agreement with displacing agency only after receiving satisfactory assurances that §4622, §4623, and §4625 will be met. §4655. Federal agency: Approve grant, contract, or agreement with acquiring agency only after receiving satisfactory assurances that real property will be guided by §4651 and §4652 to the greatest extent practicable under State law, and that §4653 and §4654 will be met. §24.6 §24.4(a), §24.4(b) §24.4 §24.404(c)(1)(iv), §24.205(b) §24.1 §24.603(d) §24.205(d) 23 CFR §710.201(h). No reference found in 49 CFR 24 No reference found in 49 CFR 24 No reference found in 49 CFR 24 §4633(c). Federal agency: Applicability of policy to the Tennessee Valley Authority and the Rural Electrification Administration. §24.401(a) §4628. State acting as agent for Federal program. No reference found in 49 CFR 24 §4629. Public works programs and projects of District of Columbia government and Washington Metropolitan Area Transit Authority. No reference found in 49 CFR 24 §4631(a). Cost to displacing agency; eligibility. 23 CFR §710.103. No referencefound in 49 CFR 24 §4631(c). Agreements prior to January 2, 1971. No reference found in 49 CFR 24 §4631(b). Comparable payments under other laws. §24.3 §4604. State agency certification provisions. §4621(c)(3). Coordinate with housing programs for economically disadvantaged persons. §24.205(c)(2)(v) §24.601, §24.602, §24.603 §4621(b), §4621(c)(2). Applicability of policy when there is federal financial assistance to ensure fair and equitable treatment of displaced persons. §24.101(b), §24.1(a), §24.1(b) §4621(c)(1). Take appropriate actions to minimize waste, fraud, and mismanagement. §24.4(c) No reference found in 49 CFR 24 42 USC 4601 et seq. Provision 49 CFR 24 Provision

64 Figure 41. Real property acquisition according to the Uniform Act—compliance with other existing laws. §4602. Condemnation proceedings under the power of eminent domain. No element of value or damage not in existence between 01/02/1971. §4603 (Added to 42 USC 61 by Public Law 93-477). Additional appropriations in connection with National Park System: up to $8,400,000 in addition to provisions in Public Law 92-272. Not displaced person provision. §4621(c)(4). Consistency with Title VIII of Civil Rights Act of 1968 (Public Law 90-284) and Title VI of Civil Rights Act of 1964 (42 USC 2000d). §4636. No payment considered income for 26 USC or for eligibility under the Social Security Act (42 USC 301). §4622. Compliance with federal laws regarding utility relocations. §4651(4). Deposit in court funds to satisfy the award of compensation, in accordance with 40 USC 3114(a) through (d). §24.2(a)(9)(ii)(J) §24.8(b), §24.8(c) §24.306(a)(1), §24.306(a)(2), §24.306(a)(4 §24.209 §24.102(j) §4654(c). Claims against the United States, in compliance with 28 USC 1346(a)(2) or 1491. No reference found in 49 CFR 24 No reference found in 49 CFR 24 49 CFR 24 Provision42 USC 4601 et seq. Provision Figure 42. Anticipated amendments to 42 U.S.C. 4601 et seq. from MAP-21. §4633(d). Lead agency: Adjustment of payments. The head of the lead agency may adjust, by regulation, the amounts of relocation payments if an adjustment is indicated after determining the cost of living, inflation, or other factors. §4634(a). Federal agencies: Agency capacity. Ensure adequate resources to manage and oversee their relocation and acquisition program. §4634(b). Federal agencies: Interagency agreements. Enter into a memorandum of understanding with lead agencies to provide personnel with periodic training; address ways in which the lead agency may provide assistance to the Federal agency relating to compliance with the Act; and address the funding of activities provided by the lead agency. §4634(c). Federal agencies: Interagency payments. Transfer necessary funds to the lead agency to support the activities described in §4634(b). §1521(d) §1521(d) §1521(d) §1521(d) 42 USC 4601 et seq. ProvisionMAP-21 Provision §4623(a)(1). Increase in the maximum replacement housing payment for displaced homeowners. Elimination of the 90-180 day homeowner category. §1521(b) §4624(a). Increase in the maximum rental assistance payment for displaced tenants.§1521(c)(1) §4624(b). Elimination of the 90-180 day homeowner category.§1521(c)(2) §4622(c). Increase in the maximum eligible amount for the fixed “in lieu” payment for nonresidential displacees. §1521(a)(2) §1521(a)(1) §4622(a)(4). Increase in the maximum eligible amount of a payment for reestablishment expenses for nonresidential displacees. §4633(b)(4). Federal agencies: Provide to the lead agency a summary report describing the activities conducted by the federal agency. §1521(d)(1) Note: MAP-21 amended the Uniform Act. As of this writing, the U.S. Code had not been updated to reflect those changes. The provisions in 42 U.S.C. 4601 et seq. are assumed based on the mapping between the Uniform Act and 42 U.S.C. 4601 et seq. provisions in Table 9.

65 Figure 43. Amendments to 23 U.S.C. 101 and 108 from MAP-21. §101(b)(4). Expedite project delivery process by reducing the average length of the environmental review process.§1301(c) §108. Replace phrases “real property” and “rights-of-way” with the phrase “real property interests” and the phrase “right-of-way” with “real property interest.” §1302(a) §108(c). Revise conditions under which state-funded advance acquisitions can take place.§1302(b) §108(d). Establish conditions under which federally-funded advance acquisitions can take place.§1302(c) 23 USC 101 and 108 ProvisionMAP-21 Provision Uniform Act provisions also do not explicitly address mediation before condemnation proceedings. Developing the Level 3 unencumbered property acquisi- tion and relocation assistance model involved completing the following activities: • Analyzing each provision in the three subchapters of 42 U.S.C. 4601 et seq.: Subchapter I (General Provisions), Subchapter II (Uniform Relocation Assistance), and Sub- chapter III (Uniform Real Property Acquisition Policy). • Developing a graphical representation of 42 U.S.C. 4601 et seq. by mapping each provision to its corresponding location on the transportation project development and delivery process, taking into consideration functional areas and interdependencies. • Examining opportunities for improvement or optimization in the property acquisition and relocation assistance process (e.g., by determining activities that could occur in parallel as opposed to sequentially, regardless of regulation consider- ations, and by highlighting integration points between the property acquisition and relocation assistance process and the overall project development and delivery process). • Comparing the Uniform Act and the federal regulations (specifically 49 CFR 24 and 23 CFR 710) to identify provi- sions in the regulations that are not required in the act. Figure 44 shows the various graphical elements used for developing the Level 3 model, including pools, swim lanes, groups, activities, sequence flows, gateways (both exclusive and parallel), and events (start, intermediate, and end). The Uniform Act does not follow or provide for a sequential or chronological order of activities. Therefore, to understand Uniform Act provision interdependencies, it was critical to place each provision in a correct sequential order with respect to other provisions in the law (and with respect to other elements in the transportation project development and delivery process). This process enabled the development of a sequential model that could be used to identify critical paths and interdependencies (according to the law). It also enabled the development of a reference work schedule for real property acquisition and relo- cation assistance activities, which is discussed in Chapter 4. For consistency with the Level 1 and Level 2 models, the Level 3 real property acquisition and relocation assistance model uses the following activity sequence: • Valuation: – Valuation planning (includes determining whether an appraisal is necessary). – Appraisal or waiver valuation. – Just compensation. • Acquisition: – Written offer. – Negotiation. – Condemnation. – Post acquisition (includes taking possession and begin- ning to manage the property). • Relocation assistance: – Relocation assistance eligibility determination. – Relocation assistance advisory. – Relocation assistance payments. The Uniform Act does not explicitly define the starting point for the real property acquisition process. For consistency with other requirements in the transportation project devel- opment and delivery process, the model assumes the follow- ing conditions to start the real property acquisition process: • Authorization to acquire property has been received. • Right-of-way map and other related documents have been prepared. • Environmental document has been prepared and approved, except under certain conditions (as required by the appro- priate laws and regulations). The Uniform Act also includes a provision (§4625[a]) that encourages early planning to anticipate displacements and provide for the resolution of problems to minimize adverse (continued from page 59)

66 Exclusive gateway: When splitting, only one branch is activated. When merging, the active branch must complete. Parallel gateway: When splitting, all branches are activated simultaneously. When merging, all incoming branches must complete. Activity: Unit of work. Types of activities include tasks and sub-processes. Group: Set of graphical elements within the same category. Po ol Pool: Process partition that represents amajor functional area or role. It may include one or more lanes. La ne Lane: Process sub-partition within a pool. Annotation. Sequence flow. Sub-process (expanded). Start event. Start event (conditional). End event. §24.102(d) U.S. Code provision. (In red italics) Provision in 49 CFR 24. §4651 (3) La ne La ne (In red italics) Annotation that pertains to a Code of Federal Regulations provision. Annotation Timer: Time span between two successive activities. §710.505(a) (In red italics) Provision in 23 CFR 710. Annotation Throw intermediate link event: Connector to other process sections. Catch intermediate link event: Connector from other process sections. Figure 44. BPMN-based graphical elements used in the Level 3 property acquisition and relocation assistance model. impacts on displaced persons and expedite project comple- tion. This provision is not prescriptive with respect to timing or effort. For simplicity, Figure 32 shows provision §4625(a) at the beginning of the relocation assistance pool, which is assumed to start after the authorization to acquire real prop- erty has been received. Strictly speaking, §4625(a) could start earlier (e.g., during the preliminary design phase or even dur- ing the planning and programming phase). Relocation assistance advisory services include all activities necessary to provide advisory services to displaced persons. Those services also include providing a 90-day written notice of the date by which the move is required. The model makes a distinction between residential and non-residential services, while recognizing that certain services must be available to all displaced persons who are eligible for advisory services. The law also includes a provision to require a person to move immediately from a dwelling in the case of a major disaster or emergency (Figure 35). As Figure 39 shows, provision §4622(d) in 42 U.S.C. 4601 et seq. deals with the reimbursement of eligible utility reloca- tions that are needed in connection with a transportation proj- ect. The law does not address the issue of determining whether a utility relocation is needed (other laws and regulations address this issue). Provision §4622(d) clarifies that eligible costs for reimbursement should take into consideration the cost to relo- cate the affected utility facilities, any increase in the value of the new utility facility above the value of the old utility facility, and any salvage value derived from the old utility facility. The real property acquisition process model as depicted in Figure 23 through Figure 39 is self-explanatory by enabling readers to easily verbalize activities, sequence flows, gateways (both exclusive and parallel), events (start, intermediate, and end), annotations, and labels, as described in Figure 44. To make the model as understandable as possible without the need for additional text, the model uses the following features and rules: • Each activity box includes (within the box) a reference to a provision in the Uniform Act (as codified in 42 U.S.C. 4601 et seq.) along with a short phrase that summarizes that provision. For example, in Figure 28, the first activity box includes a reference (within the box) to provision §4651(3), which refers to the preparation of a written offer. This strat-

67 egy ensures that the graphical model is readable and com- pact, while providing a reference to the full provision in the act, which is widely available in a variety of formats. • For completeness, the model includes references to specific provisions in 49 CFR 24 and 23 CFR 710 (shown in red, typically above activity boxes) if they match a correspond- ing provision in the act. The match need not be word-for- word. Rather, if the intent and purpose is the same, the model includes a reference to the corresponding provisions. For example, in Figure 28, the first activity box includes ref- erences to §24.5 and §24.102(d) (in red, above the box), which match the intent and purpose of provision §4651(3) in 42 U.S.C. In Visio all references to regulations—both the provisions, such as §24.102(c), and the corresponding annotations—are in red and on a different layer that can be easily turned on or off as needed. As a result, figures similar to Figure 25 through Figure 39 but without any references to 49 CFR 24 and 23 CFR 710 can be easily generated. • All activities that belong to the same function are located within the same swim lane. For example, all activities related to appraisals (such as visiting and inspecting the property, conducting the appraisal, and developing an approved appraisal) are located within the appraisal or waiver valu- ation swim lane. A similar consideration applies to all the swim lanes that belong conceptually to the same pool. For example, the valuation planning swim lane, the appraisal and waiver valuation swim lane, and the just compensation swim lane are fully contained within the valuation pool. Figure 44 provides a definition and a mechanism for dif- ferentiating between lanes and pools. • Although the model does not provide a timeline of activi- ties, activity dependency is expressed from left to right (i.e., activities that depend on other activities are generally located to the right of the activities on which they depend). In general, dependencies are depicted using sequence flow arrows. To establish just compensation, for example, an approved appraisal must be developed first (or an exemp- tion can be made if the property has an anticipated low fair market value). In the model (Figure 27), the box that rep- resents the establishment of just compensation is located to the right of the box that represents the development of the approved appraisal (a sequence flow arrow connects both activities). This strategy enables the identification and visualization of critical paths within the model, which in turn facilitates the identification of potential opportuni- ties for streamlining and optimization. • Although activity dependencies are expressed from left to right in the model, hypothetical vertical cross sections do not imply that all activities that are crossed need to take place at the same time. This is particularly true in the case of activities that originate from the same exclusive gate- way decision point (which, by definition, only allows one of the branches to be activated). However, even in the case of parallel gateway decision points (which, by definition, allow all branches to be activated simultaneously), all the diagram shows is that the parallel activities involved origi- nated from the same common point and could take place simultaneously (if conditions are appropriate), not that the activities must take place at the same time. Summary This chapter summarized the work completed to identify existing project development and delivery workflows and develop a reference (or typical) model of the transportation project development and delivery process at state DOTs. The chapter outlined different approaches to visualize the process and described a generic model based on a review of processes and documentation at most state DOTs around the country. Traditional approaches have normally assumed a linear process with little or no overlap between activities. In reality, the project development process is not linear; it can vary sub- stantially depending on factors such as project type, physical characteristics, urgency, funding, and delivery method. The research team gathered a substantial amount of information from state DOTs in relation to items such as project devel- opment (37 states), real property acquisition and property management (42 states), utility relocation (32 states), and organization charts (45 states). A high-level review of the gathered documentation indi- cated that many similarities exist in the way state DOTs visu- alize and manage their transportation project development and delivery process but that, despite the similarities, state DOTs have developed a wide range of unique variations to conceptualize and manage process components and to visu- alize and document their process. The level of detail in the written documentation varies substantially, from highly detailed prescriptive descriptions to brief documents that focus primarily on milestones but provide little information about the process. Many states are automating the visual- ization and documentation of their process (e.g., by using scheduling software to develop typical or project-specific timeline views of the process). Based on the gathered documentation, the research team developed a three-level reference (or typical) model of the transportation project development and delivery process. Level 1 provides a high-level depiction of the entire process that considers both phases and functional areas. Level 2 pro- vides an intermediate-level depiction of the entire transpor- tation project development and delivery process, and Level 3 provides a detailed depiction of the real property acquisition process according to the Uniform Act. The three versions of the model also are provided in CRP-CD 154 in a standalone Visio 2010 file and in PDF.

68 These models correspond to the traditional design-bid- build project development and delivery method. Other meth- ods could involve different activity sequences. Regardless of project delivery method, laws and regulations govern when certain critical activities can take place. For example, with cer- tain exceptions, real property acquisition can take place only after the environmental documentation has been approved. Examples of variations from the generic process illustrate differences in the way state DOTs conceptualize their project development and delivery process. The chapter also sum- marized the systematic approach taken to develop a detailed graphical representation of a reference real property acquisi- tion and relocation assistance model using BPMN. Although the Uniform Act does not follow a sequential or chronological order of activities, to document interdependen- cies it was critical to place each provision of the Uniform Act in a correct sequential order with respect to other provisions in the law (and with respect to other elements in the transportation project development and delivery process). A series of figures were created to present the reference model in a self-explanatory way, enabling readers to easily identify activities, sequence flows, gateways (both exclusive and parallel), events (start, intermedi- ate, and end), annotations, and labels. In the figures, all activi- ties that belonged to the same function were located within the same swim lane or pool, and activity dependency was expressed from left to right and depicted using sequence flow arrows. The identification and visualization of critical paths within the model facilitated the analysis of potential opportunities for streamlining and optimization of a selected set of activities of interest to the transportation community. A review of Uniform Act provisions in relation to the over- all project development and delivery process and actual prac- tice highlighted a few major areas that the act does not address or cover.

Next: Chapter 4 - Reference Real Property Acquisition and Relocation Assistance Work Schedule »
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TRB’s National Cooperative Highway Research Program (NCHRP) Report 771: Strategies to Optimize Real Property Acquisition, Relocation Assistance, and Property Management Practices provides improved, integrated real property procedures and business practices in the project development and delivery process. The report also provides suggestions to improve property management practices. The report is accompanied by a CD-ROM that contains an integrated model of the transportation project development and delivery process, including a real property acquisition and relocation assistance model and reference work schedule.

The CD-ROM is also available for download from TRB’s website as an ISO image. Links to the ISO image and instructions for burning a CD-ROM from an ISO image are provided below.

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CD-ROM Disclaimer - This software is offered as is, without warranty or promise of support of any kind either expressed or implied. Under no circumstance will the National Academy of Sciences or the Transportation Research Board (collectively "TRB") be liable for any loss or damage caused by the installation or operation of this product. TRB makes no representation or warranty of any kind, expressed or implied, in fact or in law, including without limitation, the warranty of merchantability or the warranty of fitness for a particular purpose, and shall not in any case be liable for any consequential or special damages.

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