Transcription
RIGHT OF WAYGUIDANCE MANUALISSUED BYCOMMONWEALTH OF KENTUCKYTRANSPORTATION CABINETJANUARY 2019Produced by Organizational Management BranchOffice of Human Resource Management
PREFACEThis Right of Way Guidance Manual was developed to provide technical guidance to professionalsin several fields who are responsible for delivering the right-of-way programs to support theKentucky Transportation Cabinet (KYTC) and the Federal Highway Administration. This manualprovides guidance on statewide policies and standards for right-of-way transactions to bothinternal and external customers. The KYTC is a federal-rule state and follows the federalregulations found in the Uniform Relocation Assistance and Real Property Acquisition Policies Actof 1970. The intent of these laws is to assure fair and equitable treatment of displaced persons,to encourage and expedite acquisitions by negotiations, and to provide direction on properlymanaging properties once acquired by the KYTC.Right-of-way professionals are aware that public trust and confidence in the highway programrests in high degree with the professionalism and skill they display in carrying out their work. TheRight of Way Guidance Manual supports this understanding of the sensitivity and importance ofthe right-of-way process and encourages sensitivity to the needs and concerns of citizens whoare called on to relinquish property, and sometimes home or business, for the overall publicgood. Right of way is not merely a financial transaction to acquire real estate. It is a humanendeavor that requires the highest level of understanding and respect from the people whorepresent the Commonwealth of Kentucky in this activity. This manual will be used not only byKYTC staff, but also by local public agencies who acquire property for state- and federal-fundedprojects and by prequalified right-of-way consultants. This manual addresses specific topics toeach user and indicates the close relationships and interdependencies of the distinct right-of-waydisciplines. The Director of the Division of Right of Way and Utilities is authorized to interpret,clarify, or approve exceptions to provisions of this Manual. This may be done where applicationof policy as written might be misunderstood or have an unintended effect when applied to specialsituationsThe Right of Way Guidance Manual is a living document that will change as laws and regulationschange and more effective management practices evolve. All users of this manual are herebymade aware that all federal and state laws and regulations, whether mentioned herein or not,must be observed and followed to be in compliance with KYTC requirements. Users areencouraged to advise the Director of the Division of Right of Way and Utilities of the need forcorrections or provide suggestions that would improve the content of this manual.Correspondence should be addressed to:Kentucky Transportation CabinetDivision of Right of Way and Utilities200 Mero Street, Frankfort KY 40601Attn: Director, Division of Right of Way and Utilities
ROW-01TABLE OF CONTENTS01TABLE OF CONTENTS . 01/19100INTRODUCTION101 Design of This Guidance Manual . 01/19200ADMINISTRATION201 Organization . 01/19202 Responsibilities . 01/19203 Training . 01/19204 Conflicts of Interest. 01/19205 Agent Identification . 01/19206 Acronyms . 01/19300PROJECT DEVELOPMENT301 Policy . 01/19302 Studies. 01/19303 Project Scheduling (Lead-Time) . 01/19304 Public Hearings. 01/19305 Plan Development. 01/19306 Functional Replacement Program . 01/19307 Property Damages During Plan Development . 01/19308 Advanced Authorization of Right-of-Way Funds, Hardship, &Advanced Protective Buying Acquisitions. 01/19309 Ferry Acquisitions. 01/19400PROJECT AUTHORIZATION401 Policy . 01/19402 Central Office Procedures402-1 Project Files . 01/19402-2 Federal Projects . 01/19402-3 State Projects . 01/19402-4 Rural Secondary Projects . 01/19402-5 Acquisition Procedures by Subagents of KYTC & LPAs . 01/19402-6 Acquisitions for Finance & Administration Cabinet Projects. 01/19402-7 Design-Build Projects . 01/1901/19Page 1 of 5
TABLE OF CONTENTSROW-01400PROJECT AUTHORIZATION (cont.)403 District Office Procedures403-1 Project Files . 01/19403-2 Supervisory Responsibility for Project Planning . 01/19403-3 Inspection for Hazardous Materials. 01/19403-4 Relocation of Human Remains. 01/19403-5 Rural Secondary Road Projects . 01/19403-6 Acquisition Procedures by Subagents of KYTC & LPAs . 01/19403-7 Acquisitions for Finance & Administration Cabinet Projects. 01/19404 Local Public Agencies404-1 Contracting Agreements . 01/19404-2 Acquisitions for Transportation Enhancement Activities . 01/19405 State & Local Government Contributions of Right of Way . 01/19500APPRAISERS & COURT WITNESSES501 Policy . 01/19502 Assignment of Appraisers . 01/19503 Prequalification of Fee Appraisers . 01/19504 Acceptance of Appraisals . 01/19505 Instructions to Appraisers . 01/19506 Review Appraisers. 01/19507 Court Witnesses507-1 Staff Appraisal Witnesses . 01/19507-2 Contract Appraisal Witnesses . 01/19600APPRAISALS601 Policy . 01/19602 Appraisal Standards . 01/19603 Data Assemblage & Analysis . 01/19604 Inspection of Property . 01/19605 Documentation . 01/19606 Appraisal Reports . 01/19607 Appraisal Review607-1 Criteria. 01/19607-2 Procedures . 01/19700ACQUISITIONS701 Policy . 01/19702 Initiating Negotiations . 01/19703 Administrative Settlements703-1 Overview . 01/19703-2 Acquisitions from State Employees . 01/19703-3 Minor Deviation . 01/19703-4 Substantial Deviation . 01/1901/19Page 2 of 5
TABLE OF CONTENTSROW-01700ACQUISITIONS (cont.)703-5 Legal Settlements. 01/19703-6 Court-Ordered Mediation . 01/19704 Changes to Approved Plans . 01/19705 Special Acquisitions. 01/19706 Title to Be Acquired . 01/19707 Negotiators707-1 Responsibilities of Negotiators . 01/19707-2 Types of Negotiators . 01/19707-3 Evaluation of Negotiators . 01/19800NEGOTIATION PROCESS801 Negotiators . 01/19802 Preparing for Negotiations . 01/19803 Documenting Negotiations . 01/19804 Contacting Property Owners804-1 General Responsibilities of Negotiators . 01/19804-2 Specific Responsibilities of Negotiators . 01/19805 Special Situations805-1 Improvements . 01/19805-2 Relocation Assistance Program. 01/19805-3 Uneconomic Remnants . 01/19805-4 Excess Property . 01/19805-5 Trade or Exchange of Property . 01/19805-6 Donations & Waste Areas . 01/19805-7 Signature Entrance Signs . 01/19806 Negotiations Where Agreement Is Reached806-1 Preparation of Conveyance Agreement . 01/19806-2 Execution of Conveyance Agreement . 01/19806-3 Deed for Donations . 01/19806-4 Conveyance Involving a State Employee . 01/19806-5 Memorandum of Understanding . 01/19807 Negotiations Resulting in Condemnation . 01/19900SERVICES BY RIGHT OF WAY CONSULTANT901 Policy . 01/19902 Prequalification of Right of Way Consultants902-1 General Information . 01/19902-2 Criteria. 01/19903 Selection of Right-of-Way Consultants903-1 Project Information. 01/19903-2 Professional Services. 01/19903-3 Consultant Performance Evaluation for Right-of-Way Services . 01/19904 Contract Administration . 01/1901/19Page 3 of 5
TABLE OF CONTENTS900ROW-01SERVICES BY RIGHT OF WAY CONSULTANT (cont.)905 Project Files & Evaluations. 01/19906 Local Public Agency Contracting . 01/191000 PAYMENTS, CLOSINGS, & CONDEMNATION PROCESSING1001 Policy . 01/191002 Acquisition Payments. 01/191003 Closings . 01/191004 Condemnation Transmittals . 01/191005 Incidental Expense Reimbursement . 01/191006 Protective Rent Payments . 01/191100 PROPERTY MANAGEMENT1101 Purpose, Authority, Scope, Policy, & Definitions. 01/191102 General Information . 01/191103 Managing Acquired Improvements . 01/191104 Hazardous Materials . 01/191105 Rodent Control . 01/191106 Removal of Improvements1106-1 Performance Bond Requirements . 01/191106-2 Inspection. 01/191106-3 Owner Retention & Removal of Improvements . 01/191106-4 Solicitation for Removal of Improvements . 01/191107 Rental of Improvements1107-1 After Right of Way Is Acquired. 01/191107-2 Before Right of Way Is Acquired . 01/191200 RELOCATION OF HUMAN REMAINS1201 Purpose, Authority, & Policy . 01/191202 General Information . 01/191203 Preparing to Relocate Human Remains . 01/191204 Solicitation for Relocation of Human Remains1204-1 Preparing a Solicitation . 01/191204-2 Central Office Review of Solicitation . 01/191204-3 Notice to Contractors. 01/191205 District Supervision of Contract . 01/191206 Contractor Requirements . 01/191207 Contract Completion & Payment . 01/191208 Final Notice to Office of Registrar of Vital Statistics . 01/191300 ADMINISTRATION & PROJECT CLEARANCE1301 Policy . 01/191302 Clearance of Projects . 01/191303 Project Credits. 01/1901/19Page 4 of 5
ROW-01TABLE OF CONTENTS1300 ADMINISTRATION & PROJECT CLEARANCE (cont.)1304 Citations . 01/191305 Quality Assurance Reviews . 01/191400 SALE & DISPOSAL OF SURPLUS REAL PROPERTY1401 Purpose, Authority, Policy, & Definitions . 01/191402 Disposal of Existing State Right of Way1402-1 Review . 01/191402-2 Encroachment Permit . 01/191402-3 Central Office Action . 01/191402-4 Disposal of Property Acquired by Highway Purpose Deed &Other Disposals . 01/191403 Procedure for Disposal of Excess Property . 01/191404 Sale by Public Auction . 01/191405 Sale of Bond-Funded Excess/Surplus Property. 01/191406 Credit of Proceeds from Sale of Property . 01/191407 Disposal of State-Owned Lots & Buildings. 01/191408 Surplus Property Sales Records . 01/19 01/19Page 5 of 5
ROW-101ChapterINTRODUCTIONSubjectDesign of This Guidance ManualORGANIZATION &NUMBERINGChapter Title—The subject matter in the manual is divided into chapters.The chapter title appears in the upper right corner of the first page of asubject and in the upper left corner of any subsequent page.Sections—Some chapters are divided into sections. Each section title,instead of chapter title, appears in the upper right corner of the firstpage of a subject and in the upper left corner of subsequent pages.Subjects—Chapters and sections are arranged by subjects.Subject Number—Each subject is assigned a number, which appears inthe upper right corner of each page of the subject. For example, Chapter400 includes Subject 401 followed by Subject 402, which is divided intoSections 402-1 through 402-7.Subject Title—The title of a subject appears in the upper right corner ofthe first page of a subject and in the upper left corner of any subsequentpage.“ROW” Prefix—Preceding each subject number, this prefix stands for themanual title Right of Way Guidance Manual.Date—The latest issuance date of a subject appears at the bottom ofeach page of the subject. This date agrees with the latest issuance dateshown for the subject in the Table of Contents (ROW-01).Page Numbering—Each subject has its own page numbering, whichappears at the bottom of each page.LOCATINGINFORMATIONOne index appears at the front of the manual:Table of Contents (ROW-01)—This index at the front lists the titles of themanual’s chapters and their subjects, as well as other information, innumerical order. It includes the latest issuance dates of all the subjects.As the manual matures, these dates change.01/19Page 1 of 2
INTRODUCTIONROW-101Design of This Guidance ManualCROSS REFERENCESIN MANUALQUESTIONSSubject Numbers within Narrative—A subject number within thenarrative on a page directs the user to more information about thesubject.Whom to Contact—For answers to questions about the contents of themanual, please contact:Division of Right of Way and UtilitiesTransportation Cabinet Office Building5th Floor East200 Mero StreetFrankfort, KY 40622(502) 564-3210For copies of the manual, please contact:Organizational Management BranchTransportation Cabinet Office Building6th Floor West200 Mero StreetFrankfort, KY 40622(502) 564-4610 01/19Page 2 of 2
RVIEWThe Division of Right of Way and Utilities is a component of the Office ofProject Development within the Department of Highways. The divisionholds responsibility for the acquisitions of all rights of way, including: Appraisals, y Relocations of displaced persons in accordance with The Uniform Act Utility and railroad relocationsThis guidance manual addresses each function related to the acquisitionsof rights of way, with the exception of the relocation assistance andutility and railroad functions, which are in separate manuals. On allprojects involving state or federal funding in any project phase, thedivision and its agents, subagents, and contractors are responsible forcompliance with current federal regulations whether or not this manualreflects those requirements.If a conflict exists between the federal regulations and the policiesoutlined in this manual, federal regulations prevail.The division is decentralized, with staffs located in the Central Office andthe 12 district offices throughout the state. The staffing and functions ofthese offices are as follows.CENTRAL OFFICE01/19Under the guidance of a division director, the Central Office hasstatewide responsibility for the development of policies and proceduresto best ensure that it completes property acquisitions in a timely mannerand in accordance with all applicable laws and regulations. Central Officepersonnel provide technical guidance and oversight and maintain variousstatewide records.Page 1 of 2
ADMINISTRATIONROW-201OrganizationCENTRAL OFFICE(CONT.)The Central Office structure of the Division of Right of Way and Utilitiescomprises four branches, each under the supervision of a branchmanager, as follows: Appraisal Branch Acquisition Branch (responsible for administration of design-buildprojects and any subagencies and consultants) Relocation Branch (responsible for property management) Utilities and Rail Branch (responsible for utility and railroadrelocations)DISTRICT OFFICESThe district offices are responsible for direct project delivery that isnecessary to clear right of way. The organizational structure of eachdistrict office mirrors that of the Central Office in all primary functions ofthe right-of-way process.In each district right-of-way office, a supervisor oversees a staff oftechnical personnel and right-of-way agents who meet qualificationsoutlined in the right-of-way agent class-code specifications. Thesupervisor shall ensure that his or her staff receives training asestablished by the Kentucky Transportation Cabinet’s Office of HumanResource Management General Administration & Personnel (GAP)Manual and as described herein to ensure compliant project delivery. 01/19Page 2 of 2
sOVERALLRESPONSIBILITIES OFDIVISIONThe Division of Right of Way and Utilities is responsible for acquiring theright of way for transportation projects.The right-of-way program is governed by The Uniform RelocationAssistance and Real Property Acquisition Policies Act of 1970, asamended; 23 CFR Part 710; the Uniform Standards of ProfessionalAppraisal Practice, KRS 56.610; KRS 177.021; 600 KAR 3:010; and, theKYTC Right of Way Guidance Manual.The policies and procedures described herein cover the various functionsof the acquisition process, including the Relocation Assistance Programfor displaced persons, and ensure fair and equitable treatment of allpersons affected as state and federal laws and regulations require. Onlydivision staff or contract personnel meeting the minimum qualificationsdescribed in the Personnel Cabinet’s Class Specifications administer thesefunctions. Neither division nor district staff, subagents, nor contractpersonnel shall be given an assignment in any acquisition function untilthey have: Received training in that function Worked sufficiently with an experienced person Demonstrated a clear understanding of current policies andproceduresSubagents and contract personnel shall be prequalified prior to beinggiven any right-of-way responsibilities.01/19Page 1 of 3
IESOF CENTRAL OFFICEThe Central Office responsibilities are to oversee all of the functions ofthe right-of-way program area. This includes, but may not be limited to,the following: Manage the program for compliance Advise district personnel and consultant agents Perform compliance reviews and reports for the districts Compile annual statistic reports Track projects Coordinate and develop training for all agents Coordinate delivery of the program with other federal and stateagencies Keep the Director of the Division of Right of Way and Utilities andcustomers apprised of all program issues and concerns Evaluate the staffing capability of the district right of way sectionto assure that the required right-of-way activity is in compliancewith the Right of Way Guidance Manual and federal laws andregulations.RESPONSIBILITIESOF DISTRICT OFFICESRESPONSIBILITIESOF DISTRICTRIGHT-OF-WAYSUPERVISORS01/19The district offices perform the same responsibilities of the Central Officeat the project level of program development. Additionally, the districtoffices have the responsibility of helping citizens relocate with the leastamount of disruption and in the most cost-effective manner. The districtright of way section shall have qualified personnel in managing aright-of-way project.District supervisors, with assistance and guidance from Central Officebranch managers, shall have overall responsibility for the appraisal,acquisition, relocation assistance, property management, and disposalof all right-of-way activity within a district.Page 2 of 3
IESOF DISTRICTRIGHT-OF-WAYSUPERVISORS (CONT.)RESPONSIBILITIESOF DISTRICTRIGHT-OF-WAYPROJECT MANAGERSThis responsibility shall include assuring that all right-of-way activitiesare made in compliance with legal requirements of state and federallaws and regulations. The district right of way agent supervisor shalloversee each function of the process in order to prevent conflicts ofinterest and to avoid fraud, waste, and abuse. The district right of wayagent supervisor is responsible for project oversight on all right-ofway projects, review and approval of work, and payment requests.A staff right of way project manager may be assigned to manage aproject within a district upon approval of the Director of Right of Way& Utilities. The district right of way agent supervisor may request fromthe Director of Right of Way & Utilities to assign a staff right of wayproject manager for a project.A staff right of way project manager shall hold the position of a rightof way unit-leader. Required experience shall include nknowledge,demonstrated right-of-way management experience, and a clearunderstanding of current policies and procedures.All staff right of way project managers shall be pre-qualified by theDivision of Right of Way & Utilities prior to any assignment. The prequalification criteria shall include appraising, acquisition, andrelocation experience. A written request shall be submitted by thedistrict right of way agent supervisor to the Division of Right of Wayand Utilities in care of the Acquisition Branch Manager for review andapproval. The pre-qualification request shall include detailed workexperience within the three criteria areas. The Acquisition BranchManager, Relocation Branch Manager, and Appraisal Branch Managershall review and make recommendations to the Director of Right ofWay for approval.A request for a staff right of way project manager shall be done on aproject-by-project basis. The Director of Right of Way & Utilities shalldetermine if a request is acceptable. 01/19Page 3 of 3
RESPONSIBILITIESOF DIVISIONThe Division of Right of Way and Utilities is responsible for acquiring theright of way for transportation projects. The right of way program isgoverned by The Uniform Relocation Assistance and Real PropertyAcquisition Policies Act of 1970, as amended; 23 CFR Part 710; theUniform Standards of Professional Appraisal Practice, KRS 56.610; KRS177.021; 600 KAR 3:010; and, the Right of Way Guidance Manual.Only staff or contrac
of policy as written might be misunderstood or have an unintended effect when applied to special situations . The . Right of Way Guidance Manual. is a living document that will change as laws and regulations change and more effective management practices evolve. All users of this anual are hereby m
