Oversight Expectations
After the Right of Way
Consultant is Hired
Dianna Nausley
WSDOT, Local Programs Right of Way Manger
Right of Way Services
Northwest Regional Right of Way
Conference
The Hilton, Vancouver, Washington
October 27, 2015
Lynn Peterson
Secretary of Transportation
10-23-2015 (DN)
Oversight Expectations After the Right of Way (ROW)
Consultant is Hired
Is your agency engaged?
Why we need oversight?
Who is responsible?
What is the responsibility?
How do we comply?
Federal Requirements for:
 Program Oversight
 Use of Private Consultants
Where we’ve been, where
we are, and where we are
going………………
WSDOT Staff vs Number of
Projects Certified
Best Practices for
Oversight/Management
Experienced & Qualified ROW
Consultants
Benefits of Adequate Oversight
Past & Current Oversight Issues
WSDOT Oversight Practices
Responsibilities for Oversight
Federal Government Emphasis
on Oversight Activities
Available Resources to Locate
Information
Moving Forward with Project
Delivery
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10-23-2015 (DN)
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Why We Need Oversight on Federally Funded
Projects?
State Department of Transportation has overall responsibility for
Program Oversight
 23 CFR 710.201(a) and (b) – State Responsibilities
 (a) Organization. Each DOT shall be adequately staffed, equipped, and
organized to discharge its real property-related responsibilities.
 (b) Program oversight. The DOT shall have overall responsibility for the
acquisition, management, and disposal of real property on Federal-aid
projects. This responsibility shall include assuring that acquisitions and
disposals by a State agency are made in compliance with legal requirements
of State and Federal laws and regulations.
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Why We Need Oversight on Federally
Funded Projects?
Through agreement (ROW Procedures) LPAs carry out WSDOT’s
authorities
 23 CFR 710.201(h) – State Responsibilities
 (h) Use of other public land acquisition organizations or private consultants.
The DOT may enter into written agreements with other State, county,
municipal, or local public land acquisition organizations or with private
consultants to carry out its authorities under paragraph (b) of this section.
Such organizations, firms, or individuals must comply with the policies and
practices of the DOT. The DOT shall monitor any such real property
acquisition activities to assure compliance with State and Federal law and
requirements and is responsible for informing such organizations of all such
requirements and for imposing sanctions in cases of material noncompliance.
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Why We Need Oversight on Federally
Funded Projects?

State DOTs and local agencies share in the responsibility of
providing oversight on federally funded ROW projects
 Required in order to use federal funds
 Optimize full amount of federal funds
 Get projects certified
 Protect federal government’s level of investment
 Local agencies may be required to follow certain conditions outlined
in the Agency’s Approved ROW Procedures
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Who, At the Agency is Approved to
Perform What Function?
 State ROW Program
 Region offices have qualified appraisers, review appraisers, negotiators, and
relocation agents
 Local Agency ROW Program – Approved ROW Procedures
 Identifies who is approved to do what function within the overall acquisition
process
 If you are not approved for the function you cannot do it.
 Requires specialized training-must have LP approval to replace/add staff
 Projects are not being certified until agencies complete the update process.
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What is Your Agency’s Required
Responsibility?
 Follow federal and state laws and regulations
 Follow approved state DOT Manuals
 Right of Way Manual
 Local Agency Guidelines Manual - LAG
 Manage consultants during the ROW process
 Obtain complete ROW files from consultants
 Maintain official agency files
 Be available to answer questions during certification reviews
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How to Find Resource Information?
 Federal Highway Administration Webpage
 Division Offices: http://www.fhwa.dot.gov/about/field.cfm
 Headquarters: http://www.fhwa.dot.gov/about/hq/
 State DOT Webpage: http://www.fhwa.dot.gov/about/field.cfm
 WSDOT ROW Manual
 WSDOT Local Agency Guidelines Manual (LAG)
 LAG 25.2 Outlines requirements
 LAG 25.91 – Qualifications for all disciplines
 LAG 25.6 – Appraisal Review requirements
 LPA-001 – Approved ROW Procedures
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WSDOT ‘s Story
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Real Estate Services & Local Programs
Northwest
WSDOT
Staffing
RES
Projects
Certified
WSDOT
Staff
LAC
Projects
Certified
23-17
68
1
115
WSDOT
Staffing
RES
Projects
Certified
WSDOT
Staff
LAC
Projects
Certified
Northwest
23
8
1
28
2
0
C
10
7
4
1
14
North
Central
Olympic
4-2
16
1/2
32
14-8
22
1
77
North
Central
Olympic
Southwest
9-6
13
1/2
59
Southwest
5
1
C
6
South
Central
Eastern
7-6
18
1/2
49
6
1
1
8
13-12
7
1/2
41
South
Central
Eastern
11
2
C
5
HQ
35-33
n/a
2
n/a
HQ
29
n/a
1
n/a
Totals
105-84
151
6
373
Totals
83
16
4
71
2013 = 94 projects
2014 = 74 projects
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Real Estate Services & Local Programs
# Projects
Delivered by
Consultants
2010-2014
Type
Projects
Delivered by
Consultants
2015
Type
Northwest
3
Appraisal
8
115
North
Central
Olympic
1
Appraisal
0
n/a
5
Appraisal
2
Appraisal
Southwest
1
Relocation
0
South
Central
Eastern
2
Appraisal
7
Mega
6
Totals
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Agencies on
Approved
Procedures
2010-2014
Agencies on
Approved
Procedures
2015
Northwest
57
59
North
Central
Olympic
7
13
32
37
n/a
Southwest
21
22
0
n/a
23
26
Appraisal
2
Appraisal
South
Central
Eastern
18
18
Appraisal &
Acquisition
17%
0
n/a
Totals
158
175
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75%
Project Certified = 151
Project Certified = 16
Only small percentage of projects are delivered by
qualified local agency staff
Most agencies hire qualified ROW consultants
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Who Handles Oversight of Consultants
 State ROW Program
 Region RES Manager
 Review Appraiser or Senior Appraiser
 HQ Title Examiners
 Local Agency ROW Program
 Agency – Person approved for Program Administration function
 WSDOT – Local Agency Coordinator
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Past Oversight Issues in
Washington State
 General Concerns
 Lack of Tracking for oversight activities
 Non-qualified consultants performing ROW activities
 Approving corrective actions without authority from FHWA
 State ROW Program
 Project offices hiring sub consultants under A&E contracts with no involvement
from the Real Estate Services office
 Local Agency ROW Program
 Lack of documentation for certification reviews resulting in certification of projects
where same issues were repeated
 Local agencies not following Approved ROW Procedures
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WSDOT’s ROW Oversight
Practices
 Certification Reviews
 Not engaged with consultants
 Turn-key projects
 Non-qualified ROW consultants
 Review and Approval of ROW Procedures
 Staff Qualifications – resume submittal
 Consultant Qualifications - nothing
 Technical assistance to ROW Consultants
 Direct contact without agency or RES involvement
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Federal Government Emphasis
on Oversight
 Federal Audits/Reviews
 Finding – material weakness in oversight of Local Agency Program
 What are state DOTs doing regarding oversight of ROW activities?
 Concerns that local agencies projects are handed off to ROW consultants
without involvement from the local agency
 Who is qualified to perform ROW activities?
 Local FHWA Division Office Concern
 Lack of understanding what is meant by oversight of consultants
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Current Oversight Issues in
Washington State
 State ROW Program
 Permits not included with certification package – Sufficient Property Rights
 Timely submittals for review
 Local Agency ROW Program
 Not acquiring Sufficient Property Rights
 Files lack documentation of LPA involvement in decision making for items
requiring agency decision
 Local agency trend of not following Approved ROW Procedures
 Consultants not being aware of who is approved to perform specific ROW activities
 Agency staff performing functions they are not approved to perform
 Other agency departments using federal aid without awareness of federal requirements to follow the
process (Uniform Act) or involve those that are on Approved Procedures
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How will we move forward to
deliver projects?
 WSDOT Projects
 Only replacing positions that are on the overall agency hiring plan
 Will use ROW consultants
 Project Manager business model – consultant oversight
 Local Agency Projects
 Will continue to use ROW consultants to deliver projects
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Best Practices - Oversight
 Engage Professional Services when need
 Ensure consultant is experienced & qualified
 WSDOT’s effort to approve consultants performing ROW activities
 Check references of the consultants
 Only use Appraisers and Review Appraisers from WSDOT’s Approved Appraiser
List
 Acquisition consultants must be licensed in Washington State
 Ensure contracting requirements are followed
 Be engaged with your consultant
 Schedule kick off meeting to set expectations
 Schedule regular status meetings
 Be involved with consultant in discussions & decisions
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Best Practices - Oversight
 Manage consultant field work in addition to status meetings
 Review agent’s current diary and supporting documentation when approving
recommendations for payments, administrative settlements, clearing or accepting
encumbrances, and ensure diary entries include line items for submitting
approvals
 Require complete acquisition from consultant when final settlement is reached
and file is submitted for closing and/or condemnation
 Review file documentation including diaries prior to requesting certification review
 Read emails and be involved in conversations consultants have with WSDOT and
make sure they are detailed in the diary
 Review and approve actions/decisions recommended by consultants
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Best Practices - Oversight
 Agency Approvals & Decisions
 All decisions and approvals made by acquiring agency, including
recommendations from consultants used in agency’s decision process needs to
be documented
 Complete & Accurate File Documentation
 Must include a diary of ROW activities
 Complete and organized file
 Retain files for a period of time consistent with the federal retention requirements
 Certification Review (Quality Control)
 All acquisition and relocation files need to be reviewed by the agency/region prior
to requesting a certification review
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Best Practices - Oversight
 Know your agency’s authorities
 Who approves Just Compensation, administrative settlements,
administrative offer summary (AOS) etc….?
 Share Approved ROW Procedures
 Research federal regulations to find answers
 Take classes and attend annual DOT meetings
 Use the DOT’s website
 WSDOT – Sign up for Gov Delivery Email & LTAP (Local Technical
Assistance Program
 Manage project schedules and scope creep
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Benefits of Proper Oversight
 Protects against risking the loss of federal funds and/or federal
participation
 Provides ability of the agency to “certify” to FHWA that their
project is in full compliance so your project can be certified for
construction
 Protects level of FHWA investment
 Assures ROW files are complete and in compliance with
federal/state laws and regulations
 Assures that property owners/occupants were treated fairly and
consistently
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