3. LEGISLATURE-DOT COMMUNICATION AND COLLABORATION

In their responses to the anonymous NCSL-AASHTO survey, legislators and DOT executives overwhelmingly agreed that maintaining regular, open, honest and transparent communication between the legislature and the DOT is one of the most vital elements of effective transportation governance (Table 3 contains a list of all recommendations). In practice, the ways in which legislatures and DOTs engage in communication and collaboration differ significantly across jurisdictions, including states with limited, ad hoc interactions; those with formal, structured engagements focused on reporting requirements and the budgeting process; and those with extensive, proactive, collaborative communication that extends beyond the legislative session and pervades all levels of both organizations (Figure 1). Most states have a combination of formal and informal mechanisms that are more active at certain times of year, particularly in relation to the annual or biennial budget and appropriations process. State-by-state descriptions of communication and collaboration are included in the State Profiles section of this report.

Table 3. General Recommendations from State Legislators and DOT Executives

What to Do
State Legislators Say...	DOT Executives Say...
Engage in planned interactions and collaboration. Work side-by-side on transportation policy decisions. Have strong leaders in both organizations, including out-standing professionals in top DOT positions. Effectively communicate the potential impacts of legislative decisions. Work out new or complex issues before sessions. Have regular interactions among leadership on both sides. Be accurate and responsive with information. Keep legislators advised about issues in their districts. Use third parties and outside experts to bridge gaps. Facilitate responsible, informed budget decisions by providing long-range plans or detailed project lists. Understand the legislative process and oversight role.	Always treat relationships as a top priority. Maintain open, frequent, honest communication. Balance the power. Use DOT legislative liaisons to help keep both groups involved with decision making. Take the politics out of planning by allowing for project prioritization based on legislatively set criteria. involve local officials and the public in the process. Build trust and mutual respect. Collaborate with each other and with other stakeholders. Work together as allies. Understand each other's interests and roles. Keep the message simple and consistent. Understand statewide needs and project proposals.
What Not to Do
State Legislators Say...	DOT Executives Say...
Don't slow down the process with your own agenda. Don't fail to respond to requests for information. Don't review transportation plans without discussing them with the legislature-this keeps important issues from being passed. Don't forget to communicate with the minority party. Don't keep important information from legislators. Don't focus on pet projects to the neglect of others.	Don't make funding decisions based on considerations other than need. Don't dictate projects based on political priorities. Don't be swayed by public opinion over information and communication from the DOT. Don't expect the same or better level of service from the DOT as new mandates are added or resources cut. Don't micromanage.

Source: NCSL-AASHTO Survey Data, 2010 - 2011.

Figure 1. Continuum of Legislature-DOT Interactions

• Ad hoc communication or exclusive focus on formal or statutory requirements and processes • Engagement only during budget and appropriations process • Limited or no interim committee or process • Little or no notice given before transportation-related announcements Communication through a small number of people in each organization • Limited or no access to DOT executive management • Limited or no DOT legislative liaison function	• Proactive communication, including active engagement during the interim and discussion about up-coming developments • Formal and informal communication, including emails, district reports, meetings and phone calls • DOT informational meetings, presentations or receptions for legislators and legislative staff • Collaborative approach to drafting legislation and/ or a process for agency fiscal notes • Communication at all levels of both organizations • Access to DOT executive management • Dedicated, full-time DOT legislative liaisons
Source: NCSL-AASHTO Survey Data, 2010 - 2011.

One recommendation from survey respondents for promoting effective interaction between legislatures and DOTs is to have a strong government relations office in the DOT that includes a state legislative liaison. At least 38 states and the District of Columbia employ dedicated legislative liaisons or governmental affairs offices that act as primary points of contact for legislators and legislative staff, provide requested information to the legislature, and sometimes lobby on behalf of the DOT (see page 11 for more about lobbying).

Most other states-including Hawaii, Montana, Nevada, New Hampshire, New York, North Dakota, South Dakota, Vermont and Wisconsin-incorporate some of the functions of a legislative liaison under another division or position, such as a communications or legal services office. Wisconsin also has a legislative committee within the DOT-chaired by the Executive Assistant, who has legislative liaison responsibilities-that meets regularly to discuss pending legislation. The DOTs in Alabama, Arkansas and New Mexico do not report having any dedicated legislative liaisons. New Mexico reports direct, frequent communication between multiple levels of the DOT and the legislature instead.

Key recommendations related specifically to communication and collaboration are listed in Table 4.

Table 4. Recommendations for Communication and Collaboration from State Legislators and DOT Executives

State Legislators Say...

DOT Executives Say...

You can never have too much communication between the DOT and legislators.

Engage in planned interaction and collaboration.

Produce briefings or updates to both chambers whenever either party indicates a need for clarity.

Have frequent outreach meetings and regular meetings of leadership on both sides.

Reach out with timely information to the full legislature-not just to the Transportation Committee.

Communicate with the minority party, too.

Effectively communicate the potential impacts of legislative decisions.

Work out new or complex issues before sessions.

Be accurate and responsive with information.

Keep legislators advised about issues in their districts.

Ask questions and listen before drawing conclusions.

Communicate early and often, without fear.

Be straightforward, on point, positive and accurate.

Say "yes" when you can to legislative requests or concerns, but don't sugar-coat a "no."

Participate in early discussions, legislative briefings and workshops, and one-on-one and small group meetings.

Keep legislative committees informed.

Use a DOT legislative liaison and legislative fiscal offices to build credibility and facilitate communication.

Encourage dialogue between local legislators and district DOT staff.

Establish positive relationships with both parties.

Educate-keeping the effects of term limits in mind.

Present problems as they arise-and give legislators time to digest bad news.

Keep the message simple and consistent.

Source: NCSL-AASHTO Survey Data, 2010 - 2011.