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					            2009 Minnesota Tribes &
          Transportation Conference

                      NCHRP 08-65

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


                   Dr. Giovanni Migliaccio
        Alliance for Transportation Research Institute
                  University of New Mexico

                         October 1, 2009                 1
               Background
• Need for transportation improvements
   Opportunities for improving transportation on
    Tribal Lands
• Challenges
   Conduct extensive and meaningful outreach
    to the members and governing bodies of
    tribes affected by projects
   Navigate historically complex relationship
    between government agencies and tribes
   Collaboration on transportation projects has
    not always achieved mutually beneficial
    results

                   October 1, 2009                  2
               US 491 Example
• US 491 realignment stalled 4 years due to
  funding and sovereignty issues
   Navajo Nation and NMDOT signed agreement:
     • State funded (no Navajo Nation resource
       contribution), Navajo Nation sales tax applied
   NMDOT requests that tribal tax be waived or tribe
    contribute resources equal to the tax cost
   Renegotiation required Navajo Nation to
    resubmit the project agreement to the Nation’s
    approval process



                      October 1, 2009                   3
               Background
• Lack of previous research
   Identifying the underlying causes
   Capturing lessons learned
   Developing practical solutions


• Need of results-oriented strategies for
  immediate implementation by all parties
  working to develop transportation projects
  of interest to and affecting tribes



                   October 1, 2009             4
   Research Project NCHRP 08-65
• Research goal
    Develop a guidebook for enabling
     collaboration between transportation
     agencies and tribal communities by utilizing
     strategies for successful communication,
     coordination and cooperation
• Research project objectives
    Develop transportation agencies/tribes 3C guidebook
    Develop detailed implementation plan
• Research approach
    Three-phase approach




                       October 1, 2009                     5
               Research Objectives
1)   Assessment of problems and
     barriers associated with
     transportation projects of concern
     to Tribal Communities

2)   Identification of practical strategies
     for facilitating communication,
     coordination and cooperation
     between transportation agencies
     and tribal communities

3)   Development of a guidebook to
     provide guidance to all interested
     parties




                            October 1, 2009   6
          Research Approach (1)
1. Identification
     Identified issues commonly encountered on
      transportation projects of concern to tribal
      communities
     Identified 3C strategies previously
      implemented for establishing collaboration
     Performed through:
      •   Literature review
      •   Content analysis




                        October 1, 2009              7
       Research Approach (2)
2. Refinement
   Refined list of issues and strategies
   Developed case studies
   Performed through:
    • Workshops
    • Interviews
   Workshops
    • Six venues attended
   Interviews
      • 30 Performed


                    October 1, 2009         8
          Issues by Category
1. Cultural Competence
2. Protection/Preservation of Tribal-Sensitive
   Resources
3. Confidentiality of Tribal-Sensitive Matters
4. Sovereignty
5. Land Ownership
6. Monetary




                  October 1, 2009                9
     Confidentiality/Protection
           Sample Case
• Tribal-Sensitive Creek
    Proposed alignment opposed by tribe
     for confidential reasons
     • The tribe had knowledge of a dry creek in
       the area of the proposed alignment, but
       could not disclose the information on the
       resource
   Third party hired to consult with DOT on
    proposed alignment on behalf of the
    tribe

                   October 1, 2009                 10
                 Strategies
• Communication
   Tribal Moderator
   Presentations
• Coordination
   Meetings, Summits, Seminars
   Tribal Liaisons
• Cooperation
   Planning Organizations
   Resource Sharing



                   October 1, 2009   11
     Coordination Sample Case
• Tour de California
    Coordination through Tribal Liaison
    Tribal concern over tour route
     • With roads closed for the race, the tribes
       were unsure of what plan of action would
       be taken in the case of an emergency on
       tribal land
   Tribal Liaison coordinated activities
     • Tribal Liaison coordinated law enforcement
       to ensure that tribal needs would be served
       during the event

                   October 1, 2009                   12
              Research Approach (3)
3. Validation (Delphi Study)
  Participation by Region

          Delphi     Interviews
Region   N     %     N      %
  1      7     10%   10    33%
  2      15    21%   8     27%
  3      8     11%   6     20%
  4      4     6%    1      3%
  5      10    14%   3     10%
  6      2     3%    0      0%
  7      1     1%    1      3%

                           October 1, 2009   13
         Research Approach (4)
3. Validation
  Participation by Affiliation (Job-based)

                         Delphi             Interviews
       Group        N             %     N                %
       Tribal       9             19%   4           13%
     Government     28            60%   24          80%
       Others       10            21%   2            7%




                    October 1, 2009                          14
           Research Approach (5)
3. Validation




                                                                                                                                            MC2: Protection/ Preservation
                                                                                                                 MC1: Cultural Competency




                                                                                                                                                                                                                                            MC6: Monetary Issues
                                                                                                                                                                                                                      MC5: Land Ownership
                                                                                                                                                                            MC3: Confidentiality
     Results




                                                                                                                                                                                                   MC4: Sovereignty
      •   Green: Effective
      •   Yellow: Effective,
                                                                Section B) Communication Strategies
                                   B.1                           Presentations
                                   B.2                     Data Collection/Analysis

          requiring follow up      B.3
                                   B.4
                                                          Standards and Handbooks
                                                             Newsletters/Bulletins


      •   Red/Yellow:
                                   B.5                    Mailings/ Response Forms
                                   B.6                         Tribal Moderator
                                                                 Section C) Coordination Strategies

          Potentially effective    C.1
                                   C.2
                                                              Meetings/Seminars
                                                              Public Involvement

          requiring follow up      C.3
                                   C.4
                                                               Tribal Consortium
                                                               Loans for Funding
                                   C.5                        State Tribal Liaisons

      •   Red/Black:               C.6
                                   C.7
                                                              Formal Agreements
                                                         Regional/State Conferences

          Potentially effective,   D.1
                                                                  Section D) Cooperation Strategies
                                                            Planning Organizations

          but no comments to
                                   D.2            Regional Transportation / Transit Districts
                                   D.3                         Resource Sharing
                                                          Investigating Alternatives
          justify follow up
                                   D.4
                                   D.5                         Disaster Planning



      •   Black: Ineffective
                                                                          LEGEND (with count)                                                                                                                                               N
                                         Green = Strategy effective                                                                                                                                                                         57
                                         Yellow = Strategy effective but requiring a follow-up                                                                                                                                              14
                                         Red/Yellow = Strategy potentially effective that requires a follow-up                                                                                                                                  5
                                         Red = Strategy potentially effective but comments do not justify a follow-up                                                                                                                       14
                                         Black = Strategy ineffective or findings inconclusive                                                                                                                                              18




                           October 1, 2009                                                                                                                                                                             15
    Guidebook Final Product (1)

• Checklist for self-assessment on issues
  present on projects of concern to tribal
  communities
• Description of issues for use with self-
  assessment checklist
• Description of strategies for implementation
• Illustration of issue/strategy pairs through
  case studies for implementation on “real
  world” projects


                  October 1, 2009           16
        Guidebook Final Product (2)

                                     Selection of 3C
Transportation   Identification of
                                        Strategies
    Project      potential issues
                                     based on issues
   Proposed       using checklist
                                     using the matrix




                                      Case studies
                 Implementation
                                     provided for all
                    of selected
                                     strategy/issue
                   strategy(ies)
                                          pairs




                   October 1, 2009                 17
Checklist for Issue Self-Assessment




              October 1, 2009         18
Strategy Selection Based on Issues




                                                                                                                                        MC2: Protection/ Preservation
                                                                                                             MC1: Cultural Competency




                                                                                                                                                                                                                                        MC6: Monetary Issues
                                                                                                                                                                                                                  MC5: Land Ownership
                                                                                                                                                                        MC3: Confidentiality
                                                                                                                                                                                               MC4: Sovereignty
                                                            Section B) Communication Strategies
                               B.1                           Presentations
                               B.2                     Data Collection/Analysis
                               B.3                    Standards and Handbooks
                               B.4                       Newsletters/Bulletins
                               B.5                    Mailings/ Response Forms
                               B.6                         Tribal Moderator
                                                             Section C) Coordination Strategies
                               C.1                        Meetings/Seminars
                               C.2                        Public Involvement
                               C.3                         Tribal Consortium
                               C.4                         Loans for Funding
                               C.5                        State Tribal Liaisons
                               C.6                        Formal Agreements
                               C.7                   Regional/State Conferences
                                                              Section D) Cooperation Strategies
                               D.1                      Planning Organizations
                               D.2            Regional Transportation / Transit Districts
                               D.3                         Resource Sharing
                               D.4                    Investigating Alternatives
                               D.5                         Disaster Planning

                                                                       LEGEND (with count)                                                                                                                                              N
                                     Green = Strategy effective                                                                                                                                                                         57
                                     Yellow = Strategy effective but requiring a follow-up                                                                                                                                              14
                                     Red/Yellow = Strategy potentially effective that requires a follow-up                                                                                                                                  5
                                     Red = Strategy potentially effective but comments do not justify a follow-up                                                                                                                       14
                                     Black = Strategy ineffective or findings inconclusive                                                                                                                                              18




             October 1, 2009                                                                                                                                                                   19
          Sample Case Study
• Background
   Roadway paralleled river and had curvature
    issues
• Issue: Land Ownership
   DOT required additional ROW (owned by the
    tribe) to realign the roadway
• Strategy: Resource Sharing
   State and tribe traded land for land
• Outcome
   The tribe gave the ROW required to the State,
    and in return, acquired the land on which the
    old alignment existed
                    October 1, 2009                 20
        Outline of the Guidebook
1. Introduction
2. Principles and general guidance for
   collaboration
3. Issues
4. 3C Strategies
5. Strategy Selection Toolbox
  •   Overview
  •   Issues self assessment checklist (Link to example)
  •   Strategy selection matrix
  •   Case study selection tool (Link to example)
  •   Case studies
                         October 1, 2009                   21
Questions?




 October 1, 2009   22

				
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