A Guidebook for Successful Communication, Cooperation, and Coordination Strategies Between Transportation Agencies and Tribal Communities (2011)

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1The Alliance for Transportation Research Institute (ATRI) of the University of New Mexico led a research team that in- cluded Intrinsic Consulting of Arizona and PAIKI of Ken- tucky to develop this Guidebook. The purpose of this Guide- book is to convey the knowledge gained from this study into a format that can be used by staff affiliated with agen- cies and tribes. The Guidebook includes five chapters and five appendices. 1.1 Background By definition, transportation systems are usually repre- sented as networks designed to permit a flow of vehicles and commodities. This characteristic of transportation systems entails a need for overcoming geographic and institutional boundaries. While the transportation engineering profession has successfully confronted geographical barriers, trans- portation networks crossing Native American lands that are governed under different institutional frameworks pro- vide non-technical challenges to those involved in the imple- mentation of transportation improvements. Usually, the introduction of multiple stakeholders into the project environment makes success a complicated goal as the increased number of stakeholders leads to an increase in proj- ect complexity. On projects in the United States that affect or are of concern to tribal communities, project complexity is magnified by the introduction of additional aspects into the working environment. Tribal involvement in surface trans- portation projects creates an intergovernmental project environment, and tribal-specific areas of concern are added to the planning conversation. The sovereignty and cultural differences of each tribe must be recognized in establishing a framework for collaboration that relies on communicating, cooperating, and coordinating each entity’s needs and efforts. Government-to-government interaction is crucial for the success of transportation improvements whether it be a state or a tribal project. This research identified best collaboration practices for facil- itating communication, cooperation and coordination (C3) between transportation agencies and tribes. In addition, it developed a set of tools that are expected to facilitate collabo- ration between transportation agencies and tribal communi- ties. This Guidebook includes these tools together with several processes designed to implement them. 1.2 Research Objectives Objective 1: Develop Transportation Agencies/Tribes C3 Guidebook • Provide guidance to all parties working to develop success- ful transportation projects of interest to and affecting tribes by evaluating and selecting the most appropriate practices necessary to implement a comprehensive collaboration strat- egy between transportation agencies and tribal communities in order to facilitate successful transportation projects. These strategies will be arranged in the form of a guidebook, the Guidebook for Tribes/Agencies Collaboration (G4TAC). Objective 2: Develop Detailed Implementation Plan • Develop a detailed implementation plan including a plan for action and an implementation assessment strategy to evalu- ate the effectiveness and comprehensiveness of the Guide- book. The implementation plan will provide suggestions on how the user may determine whether strategies included in the Guidebook: (1) facilitate communication between agen- cies and tribes; and (2) simplify the process of coordinating actions between agencies and tribes. 1.3 Research Approach The Research Team adopted a three-phase plan with the objectives to develop a detailed research plan during Phase 1; C H A P T E R 1 Introduction

collect and analyze data from a sample of Tribes and transporta- tion agencies across the country in Phase 2; and, finally, deliver the Guidebook and develop a detailed implementation plan in Phase 3. During Phase 1, the Research Team conducted a literature review of pertinent domestic and international research and developed a detailed research plan. The outcome of this initial phase was a technical memorandum including detailed infor- mation on the approach for collecting and analyzing data and/ or information. During Phase 2, the Research Team identified practical practices for communication, cooperation, and coordination between transportation agencies and Tribal communities in order to facilitate successful transportation projects. The Re- search Team used both qualitative and quantitative data anal- ysis techniques to analyze the results. Qualitative analysis, including the identification of similarities among responses, was used to analyze the interview data. Quantitative analysis, including frequencies, correlations and relationships among variables, were used to analyze the questionnaire data and ana- lyze portions of the interview data. The outcome of this phase was the Interim Report which included detailed information on research findings, Research Team recommendations for the implementation of the identified practices, and a detailed out- line of the Guidebook. Phase 3 included three tasks and produced a preliminary draft of the final report and of the Guidebook. These documents were submitted to NCHRP for review by the project panel and staff. The principal investigator (PI) then finalized the report and Guidebook to incorporate the reviewers’ comments. 1.4 Guidebook Limitations This Guidebook has been developed to facilitate collabora- tive efforts between federal, state or local agencies and tribes. However, this research did not intend to address major sov- ereignty issues (i.e., the tribe has not been recognized either at the federal or at the state level). When these situations are present, the results of this research can be used only to pro- vide general guidance. In addition, given the large variety of issues among regions, tribes, agencies, and specific transportation projects, a “one size fits all” approach is improbable. As a result, tools listed in this guidebook may not work well in some situations. To mit- igate this aspect, the research methodology was designed to identify an approach that will most probably facilitate collab- oration. Continuous utilization of the guidebook will provide feedback on limitations of individual practices. The imple- mentation process includes steps to learn from mistakes and adjust the process to the specific context. 1.5 Overview of Guidebook Content This Guidebook is organized into five chapters and includes a set of appendices containing supporting information. Chap- ter 2 provides an assessment of legal and policy requirements. Chapter 3 outlines the concept of intergovernmental net- works. Chapter 4 outlines key concepts necessary for a suc- cessful implementation of the Guidebook. Chapter 5 describes the tools and processes of the Tribe/Agency Collaboration Toolbox (TACT). 2