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NATIONAL
NCHRP REPORT 690
COOPERATIVE
HIGHWAY
RESEARCH
PROGRAM
A Guidebook for Successful
Communication, Cooperation,
and Coordination Strategies
Between Transportation Agencies
and Tribal Communities
OCR for page R2
TRANSPORTATION RESEARCH BOARD 2011 EXECUTIVE COMMITTEE*
OFFICERS
CHAIR: Neil J. Pedersen, Administrator, Maryland State Highway Administration, Baltimore
VICE CHAIR: Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson
EXECUTIVE DIRECTOR: Robert E. Skinner, Jr., Transportation Research Board
MEMBERS
J. Barry Barker, Executive Director, Transit Authority of River City, Louisville, KY
Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, VA
William A.V. Clark, Professor, Department of Geography, University of California, Los Angeles
Eugene A. Conti, Jr., Secretary of Transportation, North Carolina DOT, Raleigh
James M. Crites, Executive Vice President of Operations, Dallas-Fort Worth International Airport, TX
Paula J. Hammond, Secretary, Washington State DOT, Olympia
Adib K. Kanafani, Cahill Professor of Civil Engineering, University of California, Berkeley
Susan Martinovich, Director, Nevada DOT, Carson City
Michael R. Morris, Director of Transportation, North Central Texas Council of Governments, Arlington
Tracy L. Rosser, Vice President, Regional General Manager, Wal-Mart Stores, Inc., Mandeville, LA
Steven T. Scalzo, Chief Operating Officer, Marine Resources Group, Seattle, WA
Henry G. (Gerry) Schwartz, Jr., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO
Beverly A. Scott, General Manager and CEO, Metropolitan Atlanta Rapid Transit Authority, Atlanta, GA
David Seltzer, Principal, Mercator Advisors LLC, Philadelphia, PA
Lawrence A. Selzer, President and CEO, The Conservation Fund, Arlington, VA
Kumares C. Sinha, Olson Distinguished Professor of Civil Engineering, Purdue University, West Lafayette, IN
Daniel Sperling, Professor of Civil Engineering and Environmental Science and Policy; Director, Institute of Transportation Studies; and Interim
Director, Energy Efficiency Center, University of California, Davis
Kirk T. Steudle, Director, Michigan DOT, Lansing
Douglas W. Stotlar, President and CEO, Con-Way, Inc., Ann Arbor, MI
C. Michael Walton, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin
EX OFFICIO MEMBERS
Peter H. Appel, Administrator, Research and Innovative Technology Administration, U.S.DOT
J. Randolph Babbitt, Administrator, Federal Aviation Administration, U.S.DOT
Rebecca M. Brewster, President and COO, American Transportation Research Institute, Smyrna, GA
Anne S. Ferro, Administrator, Federal Motor Carrier Safety Administration, U.S.DOT
John T. Gray, Senior Vice President, Policy and Economics, Association of American Railroads, Washington, DC
John C. Horsley, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC
David T. Matsuda, Deputy Administrator, Maritime Administration, U.S.DOT
Victor M. Mendez, Administrator, Federal Highway Administration, U.S.DOT
William W. Millar, President, American Public Transportation Association, Washington, DC
Tara O'Toole, Under Secretary for Science and Technology, U.S. Department of Homeland Security, Washington, DC
Robert J. Papp (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, U.S. Department of Homeland Security, Washington, DC
Cynthia L. Quarterman, Administrator, Pipeline and Hazardous Materials Safety Administration, U.S.DOT
Peter M. Rogoff, Administrator, Federal Transit Administration, U.S.DOT
David L. Strickland, Administrator, National Highway Traffic Safety Administration, U.S.DOT
Joseph C. Szabo, Administrator, Federal Railroad Administration, U.S.DOT
Polly Trottenberg, Assistant Secretary for Transportation Policy, U.S.DOT
Robert L. Van Antwerp (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC
Barry R. Wallerstein, Executive Officer, South Coast Air Quality Management District, Diamond Bar, CA
*Membership as of March 2011.
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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
NCHRP REPORT 690
A Guidebook for Successful
Communication, Cooperation,
and Coordination Strategies
Between Transportation Agencies
and Tribal Communities
ATR Institute
THE UNIVERSITY OF NEW MEXICO
Albuquerque, NM
Giovanni C. Migliaccio
UNIVERSITY OF WASHINGTON
Seattle, WA
Geri Knoebel
Rebecca Martinez
THE UNIVERSITY OF NEW MEXICO
Albuquerque, NM
Dexter Albert
Jason Hurd
INTRINSIC CONSULTING LLC
Flagstaff, AZ
Subscriber Categories
Administration and Management · Society
Research sponsored by the American Association of State Highway and Transportation Officials
in cooperation with the Federal Highway Administration
TRANSPORTATION RESEARCH BOARD
WASHINGTON, D.C.
2011
www.TRB.org
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NATIONAL COOPERATIVE HIGHWAY NCHRP REPORT 690
RESEARCH PROGRAM
Systematic, well-designed research provides the most effective Project 08-65
approach to the solution of many problems facing highway ISSN 0077-5614
administrators and engineers. Often, highway problems are of local ISBN 978-0-309-15563-2
interest and can best be studied by highway departments individually Library of Congress Control Number 2011927762
or in cooperation with their state universities and others. However, the © 2011 National Academy of Sciences. All rights reserved.
accelerating growth of highway transportation develops increasingly
complex problems of wide interest to highway authorities. These
problems are best studied through a coordinated program of COPYRIGHT INFORMATION
cooperative research.
Authors herein are responsible for the authenticity of their materials and for obtaining
In recognition of these needs, the highway administrators of the written permissions from publishers or persons who own the copyright to any previously
American Association of State Highway and Transportation Officials published or copyrighted material used herein.
initiated in 1962 an objective national highway research program Cooperative Research Programs (CRP) grants permission to reproduce material in this
employing modern scientific techniques. This program is supported on publication for classroom and not-for-profit purposes. Permission is given with the
understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA,
a continuing basis by funds from participating member states of the
FMCSA, FTA, or Transit Development Corporation endorsement of a particular product,
Association and it receives the full cooperation and support of the method, or practice. It is expected that those reproducing the material in this document for
Federal Highway Administration, United States Department of educational and not-for-profit uses will give appropriate acknowledgment of the source of
any reprinted or reproduced material. For other uses of the material, request permission
Transportation.
from CRP.
The Transportation Research Board of the National Academies was
requested by the Association to administer the research program
because of the Board's recognized objectivity and understanding of
NOTICE
modern research practices. The Board is uniquely suited for this
purpose as it maintains an extensive committee structure from which The project that is the subject of this report was a part of the National Cooperative Highway
Research Program, conducted by the Transportation Research Board with the approval of
authorities on any highway transportation subject may be drawn; it the Governing Board of the National Research Council.
possesses avenues of communications and cooperation with federal,
The members of the technical panel selected to monitor this project and to review this
state and local governmental agencies, universities, and industry; its report were chosen for their special competencies and with regard for appropriate balance.
relationship to the National Research Council is an insurance of The report was reviewed by the technical panel and accepted for publication according to
procedures established and overseen by the Transportation Research Board and approved
objectivity; it maintains a full-time research correlation staff of
by the Governing Board of the National Research Council.
specialists in highway transportation matters to bring the findings of
The opinions and conclusions expressed or implied in this report are those of the
research directly to those who are in a position to use them. researchers who performed the research and are not necessarily those of the Transportation
The program is developed on the basis of research needs identified Research Board, the National Research Council, or the program sponsors.
by chief administrators of the highway and transportation departments The Transportation Research Board of the National Academies, the National Research
and by committees of AASHTO. Each year, specific areas of research Council, and the sponsors of the National Cooperative Highway Research Program do not
needs to be included in the program are proposed to the National endorse products or manufacturers. Trade or manufacturers' names appear herein solely
because they are considered essential to the object of the report.
Research Council and the Board by the American Association of State
Highway and Transportation Officials. Research projects to fulfill these
needs are defined by the Board, and qualified research agencies are
selected from those that have submitted proposals. Administration and
surveillance of research contracts are the responsibilities of the National
Research Council and the Transportation Research Board.
The needs for highway research are many, and the National
Cooperative Highway Research Program can make significant
contributions to the solution of highway transportation problems of
mutual concern to many responsible groups. The program, however, is
intended to complement rather than to substitute for or duplicate other
highway research programs.
Published reports of the
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
are available from:
Transportation Research Board
Business Office
500 Fifth Street, NW
Washington, DC 20001
and can be ordered through the Internet at:
http://www.national-academies.org/trb/bookstore
Printed in the United States of America
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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific
and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the
authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal
government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences.
The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel
organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the
National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also
sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior
achievements of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering.
The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members
of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the
responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government
and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the
Institute of Medicine.
The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of
science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in
accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the
National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and
the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine.
Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council.
The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transporta-
tion Research Board is to provide leadership in transportation innovation and progress through research and information exchange,
conducted within a setting that is objective, interdisciplinary, and multimodal. The Board's varied activities annually engage about
7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia,
all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal
agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individu-
als interested in the development of transportation. www.TRB.org
www.national-academies.org
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COOPERATIVE RESEARCH PROGRAMS
CRP STAFF FOR NCHRP REPORT 690
Christopher W. Jenks, Director, Cooperative Research Programs
Crawford F. Jencks, Deputy Director, Cooperative Research Programs
Christopher Hedges, Senior Program Officer
Danna Powell, Senior Program Assistant
Eileen P. Delaney, Director of Publications
Margaret B. Hagood, Editor
NCHRP PROJECT 08-65 PANEL
Field of Transportation Planning--Area of Forecasting
Ronald Hall, Colorado State University, Fort Collins, CO (Chair)
Dianne Kresich, Arizona DOT, Phoenix, AZ
Megan "Beeby" Cotton, Washington State DOT, Olympia, WA
Jo Anne DiStefano, New York State DOT, Albany, NY
LeRoy Gishi, Bureau of Indian Affairs, Germantown, MD
Jacque Hostler, Trinidad Rancheria, Trinidad, CA
Chris W. Huffman, Kansas and Missouri Certified General Property Appraiser, Lawrence, KS
Sherry E. Munford, Virginia DOT, Richmond, VA
Robert L. Reeder, Missouri DOT, Jefferson City, MO
Gary Stevig, Nay'dini'aa Na'Traditional Village, Sutton, AK
Kenneth Petty, FHWA Liaison
Martine A. Micozzi, TRB Liaison
AUTHOR ACKNOWLEDGMENTS
The research project reported herein was performed under NCHRP Project 08-65 by the University of
New Mexico in association with Intrinsic Consulting LLC. During the initial project phases, PAIKI was
also involved in the project activities. The University of New Mexico served as prime contractor.
Giovanni C. Migliaccio, Ph.D., of the Department of Construction Management at the University of
Washington served as project director and principal investigator (Note: Dr. Migliaccio was affiliated with
the Department of Civil Engineering at the University of New Mexico throughout most of this project, but
he completed the final reports while at the University of Washington). Dexter Albert and Jason Hurd of
Intrinsic Consulting LLC, Geri Knoebel of the ATR Institute at UNM, and Rebecca Martinez, a graduate
research assistant with the UNM Department of Civil Engineering also performed major roles in this proj-
ect. Terry Holley and Michael Quintana with PAIKI were also involved with early research activities.
Ms. Knoebel has to be credited for the extensive review of legislation and policy initiatives that is
included in Chapter 2 and for reviewing content of the final reports. Ms. Martinez has to be credited for
her work on the effect of intergovernmental networks that is included in Chapter 3. Similarly, Mrs. Albert
and Hurd have to be credited for developing several of the case studies included in Appendix C and for
reviewing the final reports.
The research team wishes to thank the participants to this study. While their contribution was precious
for identifying best practices for collaboration, their participation to the study has to stay anonymous for
compliance to the research protocols. The researchers also thank staff at the seven Tribal Technical Assis-
tance Program (TTAP) centers and the research panel for assisting with the data collection.
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FOREWORD
By Christopher Hedges
Staff Officer
Transportation Research Board
This report provides guidelines to help departments of transportation and tribal commu-
nities work together to achieve successful transportation projects on tribal lands. It
addresses a wide range of issues and topics that must be considered and presents a flexible
approach that can be adapted to most situations. After conducting extensive interviews,
workshops, and a Delphi survey, the research team identified successful practices and devel-
oped structured case studies to illustrate the most successful practices. This Guidebook will
provide considerable value to all agency staff and tribal communities involved in the plan-
ning, design, construction, and maintenance of transportation projects on tribal lands.
Throughout the United States, thousands of miles of roads operated by transportation
agencies traverse lands of interest to or under the jurisdiction of Native American tribes. As
the need arises for transportation improvements, so does the need to conduct extensive and
meaningful outreach to the members and governing bodies of these tribes. Historically, the
relationship between government agencies and tribes has often been complex. Despite wide-
spread agreement by parties on all sides that coordination on transportation projects has
not always achieved mutually beneficial results, research that identifies the underlying
causes and develops practical solutions for achieving such results is scarce.
Transportation projects increasingly impact--and are impacted by--tribes. With 562
federally recognized tribes as well as many state-recognized and non-recognized tribes
located in all regions across the country, there is a significant need for results-oriented
strategies for public involvement and for consultation between government agencies and
tribes.
Under NCHRP Project 08-65, a research team led by the University of New Mexico used
workshops and interviews to identify successful practices for collaboration between trans-
portation agencies and tribal communities when dealing with projects on tribal lands. A
Delphi analysis was used to build consensus on the most effective practices that yielded pos-
itive results and have potential for wide application. The results were used to develop step-
by-step guidelines to analyze a proposed transportation project, identify particular issues or
concerns, and select and implement strategies and practices that are best-suited for the par-
ticular situation. The practices are illustrated using 46 structured case studies. The Guide-
book includes a methodology to implement the recommended practices to achieve the best
possible outcomes.
The Guidelines are supplemented by a final research report, which is available as NCHRP
Web-Only Document 171 on the TRB website at http://www.trb.org/Publications/Pubs
NCHRPWebOnlyDocuments.aspx
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CONTENTS
1 Chapter 1 Introduction
1 1.1 Background
1 1.2 Research Objectives
1 1.3 Research Approach
2 1.4 Guidebook Limitations
2 1.5 Overview of Guidebook Content
3 Chapter 2 Assessment of Legal and Policy Requirements
3 2.1 Overview
4 2.2 U.S. Policies Affecting Native American Tribes
4 2.2.1 Agreements Between Equals (17871828)
4 2.2.2 Relocation of Native Americans (18281887)
5 2.2.3 Allotment and Assimilation (18871934)
5 2.2.4 Reorganization Period (19341945)
5 2.2.5 Termination Period (19451968)
6 2.2.6 Self-Determination Era (1968 to present)
8 2.2.7 Summary
8 2.3 Transportation-Specific Policies Impacting Native American Tribes
8 2.3.1 Federal Level
11 2.3.2 State Level Initiatives
13 2.3.3 Summary
14 Chapter 3 Networks as the Foundation for Collaboration
14 3.1 Overview
14 3.2 Collaboration for Effective Consultation
14 3.3 Establishing Collaboration Through Networks
15 3.4 Network Initiatives by State
15 3.4.1 Minnesota
16 3.4.2 North Dakota
16 3.4.3 Washington
16 3.4.4 Arizona
17 3.5 Summary
18 Chapter 4 Issues and Communication, Coordination,
and Cooperation Practices
18 4.1 Overview
18 4.2 A Ladder to Collaboration: Identification of Issues and 3Cs Practices
20 4.3 Issues Impacting Tribal Transportation Initiatives
20 4.3.1 Major Issue No.1: Cultural Competency
21 4.3.2 Major Issue No.2: Protection and Preservation
of Tribal-Sensitive Resources
22 4.3.3 Major Issue No.3: Confidentiality of Tribal-Sensitive Matters
22 4.3.4 Major Issue No.4: Sovereignty
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23 4.3.5 Major Issue No.5: Land Ownership
23 4.3.6 Major Issue No.6: Monetary Matters
23 4.4 Communication, Coordination, and Cooperation Practices
24 4.4.1 Communication Practices
25 4.4.2 Coordination Practices
25 4.4.3 Cooperation Practices
27 Chapter 5 Tribe/Agency Collaboration Toolbox (TACT)
27 5.1 Overview of Toolbox
27 5.2 Step 1: Identification of Transportation Initiative
27 5.3 Step 2: Identification of Underlying Issues
28 5.4 Step 3: Selection of Desired Level of Collaboration
29 5.5 Step 4: Selection of 3C Practices
29 5.6 Step 5: Identification and Review of Case Studies
31 5.7 Step 6: Review of Implementation Plan, Lessons Learned
and Recommendations
31 5.8 Using TACT: An Example
31 5.8.1 Step 1: Identification of Transportation Initiative
31 5.8.2 Step 2: Identification of Underlying Issues
32 5.8.3 Step 3: Selection of Desired Level of Collaboration
32 5.8.4 Step 4: Selection of 3C Practices
32 5.8.5 Step 5: Identification and Review of Related Case Studies
32 5.8.6 Step 6: Review of Implementation Plan, Lessons Learned,
and Recommendations
33 Bibliography
35 Appendix A Policy Resources
49 Appendix B Issue Self-AssessMent Checklists
54 Appendix C Case Studies
100 Appendix D Guidebook Implementation Process (GIP)
103 Appendix E Strategy-Specific Implementation Plans
Note: Many of the photographs, figures, and tables in this report have been converted from color to grayscale
for printing. The electronic version of the report (posted on the Web at www.trb.org) retains the color versions.
