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Page 14
Suggested Citation:"Chapter 3 - Networks as the Foundation for Collaboration." National Academies of Sciences, Engineering, and Medicine. 2011. A Guidebook for Successful Communication, Cooperation, and Coordination Strategies Between Transportation Agencies and Tribal Communities. Washington, DC: The National Academies Press. doi: 10.17226/14528.
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Suggested Citation:"Chapter 3 - Networks as the Foundation for Collaboration." National Academies of Sciences, Engineering, and Medicine. 2011. A Guidebook for Successful Communication, Cooperation, and Coordination Strategies Between Transportation Agencies and Tribal Communities. Washington, DC: The National Academies Press. doi: 10.17226/14528.
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Page 16
Suggested Citation:"Chapter 3 - Networks as the Foundation for Collaboration." National Academies of Sciences, Engineering, and Medicine. 2011. A Guidebook for Successful Communication, Cooperation, and Coordination Strategies Between Transportation Agencies and Tribal Communities. Washington, DC: The National Academies Press. doi: 10.17226/14528.
×
Page 16
Page 17
Suggested Citation:"Chapter 3 - Networks as the Foundation for Collaboration." National Academies of Sciences, Engineering, and Medicine. 2011. A Guidebook for Successful Communication, Cooperation, and Coordination Strategies Between Transportation Agencies and Tribal Communities. Washington, DC: The National Academies Press. doi: 10.17226/14528.
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Page 17

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.

14 This chapter discusses the role of intergovernmental net- works in establishing a collaborative environment. 3.1 Overview A collaborative environment is one in which project stake- holders work successfully together. The relationship between federal and tribal governments has been widely codified by the U.S. Constitution, legislation, executive orders, and Supreme Court cases. However, on projects in which government stake- holders (e.g., state, local, and tribal governments) do not have a formal relationship, collaboration can be difficult because of a vague environment. The creation of formal working rela- tionships between parties can assist the establishment of an environment conducive to success. In order to create formal, working relationships, many states across the nation have undertaken initiatives that formalize the government-to-government relationships between the state and the tribes affected by projects within the states. Some states have gone further to establish intergovernmental networks, which in turn, enable collaboration by establishing an ongoing infrastructure for communication, coordination, and cooper- ation among the parties involved. The 3C practices presented in this guidebook assist in achiev- ing project success. When used in the presence of an intergov- ernmental network, these practices serve as the “vehicles” for achieving true collaboration and success. Likewise, the under- lying intergovernmental network acts as the infrastructure for these collaboration practices to operate at their best. 3.2 Collaboration for Effective Consultation In the context of transportation projects affecting or of con- cern to tribal communities, government-to-government consultation should not be confused with collaboration. Con- sultation with tribal governments on projects of concern to tribal communities is a federal requirement. If a collaborative environment is present, the stakeholders can successfully communicate, coordinate and cooperate. This would result in effective consultation, but also will produce results beyond the general consultation requirements. Consultation alone does not guarantee that parties will work in a collaborative manner, and further, does not ensure that a project will result in success. Collaboration between stakeholders can create an environment conducive to success allowing parties to work together to achieve mutual goals. 3.3 Establishing Collaboration Through Networks “Networks have been used to bridge information gaps between governments (24) and to identify and share common resources.” In a setting in which all affected stakeholders are partners in networks, alternative solutions to transportation needs and issues can be analyzed to identify the solution of most benefit and least impact to all parties. This is most important with respect to tribes as tribal history predates European colonization of the United States, and results in an abundance of tribal historical or cultural sites and resources. Intergovernmental networks facilitate collaboration and dis- cussion between parties and assist in minimizing impacts on properties and resources of all project stakeholders. In a gen- eral sense, networks can be considered a collaboration mech- anism between different governing bodies. A first step in the establishment of the intergovernmental network is the enactment of policy that lays the foundation for intergovernmental work. This creates an environment con- ducive to collaboration and the foundation for successful communication, coordination and cooperation. Increasingly, federal and state policy, MOUs, and Memoranda of Agree- ment (MOAs) have been utilized to establish formal working relationships between transportation project stakeholders. These initiatives have laid the foundation for intergovernmen- C H A P T E R 3 Networks as the Foundation for Collaboration

tal work and initiatives between tribes, state, federal, and local governments on transportation projects affecting tribal com- munities. One such initiative has been the establishment of intergovernmental networks among project stakeholders within states like Minnesota, North Dakota, and Washington. These networks allow for direct relationships among members and the increased success of transportation planning and exe- cution. In addition, other states, like Arizona, Oregon, and New Mexico, have initiated similar efforts that may result in the establishment of formal intergovernmental networks among federal, state, local, and tribal governments. In the fol- lowing sections, some of these initiatives are described. 3.4 Network Initiatives by State Many states have taken the initiative in establishing and rec- ognizing a government-to-government relationship between the state and tribes that have an interest in the state. In several cases, the need for direct consultation has taken the form of formal agreements, which have been drafted and signed between the state and tribal governments residing in or with interest in the state. While this creates a direct relationship between the tribes and the state, the governing relationship remains between the tribes and the federal government. With the foundation laid for intergovernmental work on surface transportation projects, states have taken initiatives to formalize collaboration with tribes. Initiatives for the highest level of cooperation include those in which state, tribal, local, and federal governments establish partnerships to explore methods for collaboration on transportation projects. Such intergovernmental networks have been employed in some states for addressing transportation needs and issues on tribal lands. They serve to establish collaborative relationships among project stakeholders and network members. While the gov- ernment-to-government relationship remains between tribes and the federal government, and in some cases between states and tribes, informal, direct working relationships are estab- lished among all parties. Several states have established and recognized government- to-government relationships with tribes residing in or with an interest in the state. In addition, some of these relationships have taken the form of advanced collaboration efforts through the creation of networks among stakeholders. Examples of these collaborative efforts can be found in the states of Min- nesota, North Dakota, and Washington. While network-based, collaborative efforts are not limited to these states, they serve as an example of states that have enacted policy to establish a government-to-government relationship between tribes and states and have further worked to formalize relationships between all tribal transportation project stakeholders. It should also be recognized that these state initiatives are not standard across the United States, as some states do not have resident tribes that are recognized as sovereign by the fed- eral government, and others with federally recognized tribes have not yet recognized the government-to-government rela- tionship between the state and resident tribes. In the state of Alaska, the federal government has recognized the sovereignty of 225 tribes, but as a result of the ANCSA, state-chartered regional corporations manage surface and subsurface tribal lands. Without a land base, sovereignty is limited to internal matters such as civil and criminal jurisdictional issues as well as tribal subsistence matters. As a result, intergovernmental work and collaboration can be difficult to achieve. The following sections will provide information on states that have taken initiative to recognize and codify government- to-government relationships between the state and consulting tribes. These states have also established intergovernmental networks that facilitate collaboration on transportation proj- ects. State legislation and the creation of intergovernmental networks in Minnesota, North Dakota, and Washington will be discussed as examples of collaboration and intergovern- mental networks. Finally, efforts initiated in Arizona that may result in the establishment of a formal intergovernmental net- work are discussed. 3.4.1 Minnesota On April 1, 2002, at a tribal/state transportation summit, the state of Minnesota, the 11 tribes within the state, and the FHWA signed the Government-to-Government Transporta- tion Accord for improved cooperation as partners in trans- portation planning and programs (27). Each party agreed to show mutual respect to the government structure and culture of each of the respective partners signing the Accord. This Accord relies on the assumption that improving cooperation, coordination, and understanding among parties would in turn improve transportation systems, which could lead to an increase in jobs and project success. On April 9, 2003, Executive Order 03-05 was issued by the governor of Minnesota, affirming the government-to- government relationship between the state and tribes in the state (26). In the Executive Order, the 11 tribal nations within the state are recognized as sovereign governments retaining the rights to self-governance and self-determination. In addition, all state employees are called to recognize the government-to- government relationship with tribal governments. Finally, all state employees are directed to achieve the goals of the Execu- tive Order by working cooperatively with tribal governments and performing duties in accordance with the Order. The Advocacy Council on Tribal Transportation is an intergovernmental network that was established three years ago in the state of Minnesota for facilitating discussions on roadway issues in the state and working to alleviate issues on roadways that are of concern to tribal communities (43). 15

Members of the Advocacy Council take action to address pol- icy and program issues, as well as share resources including time, expertise, and funding for the solution to transporta- tion issues. The Advocacy Council is composed of members representing the 11 tribes of Minnesota, the Minnesota Department of Transportation (MnDOT), the FHWA, the Minnesota Indian Affairs Council, the BIA, the Michigan Tribal Technical Assistance Program, and Minnesota Coun- ties and Cities. The goals of the Advocacy Council include providing information on policy and program issues, and taking initiatives for solving issues identified while sharing resources for the benefit of the council. 3.4.2 North Dakota In North Dakota, the establishment of both tribal consulta- tion and an intergovernmental network were enacted through the Programmatic Agreement that was signed on November 28, 2006, by the North Dakota Department of Transportation (NDDOT), the FHWA and the consulting tribes of North Dakota – including tribes in South Dakota, Minnesota and Montana that retain historical and cultural ties to the state (28). Following the establishment of formal working relation- ships with the tribes, the NDDOT identified the need for a for- mal process for tribal consultation. The NDDOT first pursued signing formal agreements individually with each of the tribes. After conversations with each of the tribes, it was identified that a programmatic agreement with multiple tribes would be a better approach for formalizing the consultation process. NDDOT and the tribes began work on a Programmatic Agree- ment. The Agreement recognizes tribal sovereignty and empha- sizes the need for mutual respect between signing parties. In addition, it develops a tribal consultation protocol and pro- vides a framework for joint work and identifies common goals among signing parties. The 2006 Programmatic Agreement established the Tribal Consultation Committee (TCC) (28). The TCC serves as a tribal consortium that allows the NDDOT to consult with the tribes with interest in the state as a group rather than on an indi- vidual basis. By consulting as a group, tribes can see a reduction in the time spent on the consultation process. While the TCC is comprised of representatives from the NDDOT, the FHWA, and the signing tribes, the Programmatic Agreement provides the framework for participation in the consultation process by individuals outside of the network that are recommended by the TCC. This flexibility allows for the TCC to seek knowledge and experience from individuals outside of its membership. 3.4.3 Washington On August 4, 1989, the State of Washington and the 26 fed- erally recognized tribes of the state executed the Centennial Accord recognizing the unique, government-to-government relationship between the state and the tribes (29). While the Accord is executed through the Office of the Governor, it encourages high-level representatives from all state agencies to participate in the established government-to-government rela- tionship. An implementation process and signatory responsi- bilities are outlined to guide the agencies of each government to participate in the Accord. In 1999, the Tribal and State Leader’s Summit was held in Leavenworth, Washington, where tribal and state leaders reaffirmed the relationship between the state and the federally recognized tribes in the state in the New Millennium Agreement (29). The overall charges of the Agree- ment were for continued collaboration and coordination through the commitment of each party to the maintenance of intergovernmental relationships and the participation of state agencies in the Agreement. In 2003, the Washington State Department of Transportation (WSDOT), as a state agency, committed the agency to intergovernmental work as outlined in the New Millennium Agreement. Douglas MacDonald, Sec- retary of Transportation, issued Executive Order E 1025.00, committing the WSDOT employees to consultation with tribes on transportation projects (30). The Executive Order addresses the sovereignty of tribal governments and the unique relation- ship between the state and the tribes. It also provides employ- ees and WSDOT offices with responsibilities for continued consultation and respect of government-to-government rela- tionships. The commitments made and relationships estab- lished in both the Centennial Accord and the New Millennium agreement were reaffirmed and recommitted to on April 28, 2005, in a proclamation by the Washington State Governor, who renewed the desire and commitment to move forward in intergovernmental work (31). The Tribal State Planning Organization (TTPO) was for- mally established in 1993 at the 2003 Tribal/State Transporta- tion meeting in Washington (32). The TTPO is comprised of partners from Washington tribes, the WSDOT and the BIA. The network serves as a forum for discussing transportation needs and issues. It facilitates tribal participation in the statewide transportation planning process. It also fosters a spirit for intergovernmental cooperation and coordination on transportation projects. The bylaws of the TTPO commit the organization to education and effective planning. 3.4.4 Arizona While states like Minnesota, North Dakota, and Washing- ton have established formal intergovernmental networks in which tribes and transportation agencies are members, other states, like Arizona, have taken similar, but less formal approaches to establishing networks. The state of Arizona has initiated a strategic partnering team that aims to promote col- laborative relationships, educate parties, and develop part- 16

nerships. The partnering team has developed partnerships with three tribes and respective stakeholders in the state. While this is a step toward creating a network, partnerships are sought individually with tribes, rather than one program- matic agreement establishing working relationships among all tribes and transportation agencies in the state. The follow- ing paragraphs describe Arizona’s efforts toward establishing networks similar to those presented in previous sections. In the state of Arizona, Governor Napolitano hosted quar- terly summits with tribal leaders in the state between the years of 2003 and 2007 (33). These summits resulted in tribal lead- ers in Arizona expressing the need for a guide to be used by all state agencies when consulting with tribal governments in order to facilitate the government-to-government relation- ships between the state and the tribes. Napolitano issued Exec- utive Order 2006-16 entitled, “Consultation and Cooperation with Arizona Tribes,” which provides guidelines to all state agencies when consulting with tribes (34). The Arizona Department of Transportation (ADOT) adopted a depart- mentwide policy for consulting with tribal governments on September 1, 2006 (34). The policy commits ADOT to consult with tribes on transportation projects affecting tribal commu- nities and assist in the capacity-building of each tribe. The Arizona Tribal Strategic Partnering Team (ATSPT) was established in June 1999 to advance intergovernmental rela- tionships among the state of Arizona, tribes in the state and federal and local agencies (34). The ATSPT’s focus is on policy development, education, and capacity-building of member agencies. The goals of the ATSPT include the education of part- ners, the advancement of relationships and the development of strategic processes and partnering (34). Participants of the ATSPT include tribes within the state of Arizona, federal agen- cies including the FHWA, the state of Arizona, local govern- ments, and various other non-governmental institutions. The ATSPT meets on a quarterly basis. In addition to meet- ings, the ATSPT organized three State-Tribal Regional Trans- portation Forums between 2002 and 2003. The continued meetings of the ATSPT provide a collaborative environment among project stakeholders in the state of Arizona. 3.5 Summary The establishment of intergovernmental networks among states, tribes and other stakeholders facilitates collaboration and is expected to promote success on transportation projects. Facilitating and maintaining intergovernmental relationships is challenging in cases where large cultural and institutional differences are present. However, the establishment of inter- governmental networks can assist in the facilitation and main- tenance of relationships. These relationships help establish a collaborative environment among stakeholders and lead to initiatives that may otherwise not happen. 17

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TRB’s National Cooperative Highway Research Program (NCHRP) Report 690: A Guidebook for Successful Communication, Cooperation, and Coordination Strategies Between Transportation Agencies and Tribal Communities includes guidelines designed to help departments of transportation and tribal communities work together to achieve successful transportation projects on tribal lands.

The report explores a wide range of issues and topics to be considered and offers a flexible approach that can be adapted to most situations. The report also includes case studies to illustrate successful practices.

The report on the project that led to the development of NCHRP Report 690 was published as NCHRP Web-Only Document 171.

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