USACE_St__Paul_SOW.docx

Statement of Work for Environmental Collaboration Services between The U.S. Institute for Environmental Conflict Resolution (U.S. Institute) And U.S. Army Corps of Engineers (USACE)

PROJECT TITLE

USACE St. Paul Neutral Tribal Assessment and Tribal Consultation Planning

PURPOSE

Several current and future projects may affect both resident tribes and tribes with ancestral ties to the USACE St. Paul District. The USACE would like to identify a preferred approach for effective government-to-government consultation with tribal partners in the area to build strong working relationships, develop a clear understanding of roles and responsibilities with respect to the USACE’s regulatory authority and involvement in project reviews, enhance communication channels, and increase awareness of Tribal perspectives and interests.

BACKGROUND

The USACE St. Paul District is comprised of two geographically different but overlapping areas. The District's Civil Works boundaries are defined by watersheds and include most of Minnesota, the western half of Wisconsin, the northeastern half of North Dakota and small portions of South Dakota and northern Iowa. The District's Regulatory boundaries include all of Minnesota and all of Wisconsin. The request for services outlined in this document pertains to the St. Paul District, Regulatory Program.

Twenty-five Indian Tribes currently reside within the composite boundaries of the St. Paul District. There are twenty-two within the Regulatory boundaries and twenty within the Civil Works boundaries. Many other Tribes to the south and west have ancestral ties to the area. Please refer to the attached table listing resident tribes and many with ancestral ties.

The USACE Tribal Nations Program implements the U.S. Army Corps of Engineers Tribal Consultation Policy (November 1, 2012). The policy was developed largely in response to Executive Order 13175. The USACE Tribal Policy Principles form the basis for the Consultation Policy including Policy Principal (d) "Consultation will be an integral, invaluable process of the USACE planning and implementation". Through the services requested, the St. Paul District, Regulatory Program will strive to improve its consultation strategies and more fully incorporate consultation as an essential part of the Regulatory Program Implementation.

The Regulatory Program derives its authority to issue permits primarily from Section 404 of the Clean Water Act (33 U.S.C. 1344) and Section 10 of the Rivers and Harbors Act (33 U.S.C. 403), but has statutory responsibilities to satisfy during permit application evaluation under the National Historic Preservation Act (16 U.S.C. 470), the Endangered Species Act (16 U.S.C. 1531 - 1544), and National Environmental Policy Act (42 U.S.C. 4321). USACE permit decisions have the potential to affect both resident tribes and tribes with ancestral ties to the District.

The USACE has engaged the services of the U.S. Institute for Environmental Conflict Resolution (U.S. Institute) to obtain a neutral third party with expertise in collaboration, government-to-government consultation, and conflict resolution to assist them with an assessment of tribal relations and consultation strategies for tribes either residing in the St. Paul District or having ancestral ties to that area. The goal is to develop strategies and approaches for transparent and effective tribal engagement processes, enhanced communications, and streamlined conflict resolution processes, to minimize current and future conflicts and misunderstandings and improve decision-making during permit evaluation. Some aspects of the assessment and consultation planning may include developing an understanding of:

· The geographic areas in which specific Tribes have an interest in consultation.

· Specific types of permit reviews on which each Tribe would like to consult.

· Each Tribe's preferred approach to government-to-government consultation.

· Assessing the potential for Memorandums of Understanding with individual Tribes relating to consultation.

· Assessing the potential for a programmatic-based approach to consultation with each tribe.

· Initial perspectives on how Tribes might want to engage on specific projects, including the Sandpiper Pipeline Project, Madeline Island Permit Evaluation, mining in Minnesota and Wisconsin, and others (as to be identified by USACE personnel).

Optional tasks of this statement of work include additional assessment interviews and assistance with the implementation of Tribal Consultation strategies determined during the assessment phase.

DESCRIPTION OF SERVICES

Core Tasks Task 1. Initiate project: The goal of this task is to establish a shared understanding of the project and to develop a shared work plan between the USACE and U.S. Institute Contractor. This goal can be accomplished through the following tasks.

The Contractor will spend up to 8 hours reviewing materials (correspondence, briefings, etc.) to understand the current state of affairs. The Contractor will participate in a half-day meeting with representatives of the U.S. Institute and the USACE personnel to kick-off the process. The Contractor will spend up to 10 additional hours in discussions with USACE personnel, if necessary to accomplish Task 1’s goal.

The Contractor will plan, facilitate and document the goals, expectations and deliverables agreed upon at the meeting. The Contractor will travel to the St. Paul District for this meeting.

For the purpose of providing a quote only, use the following information: One trip to St. Paul, Minnesota to meet with USACE staff. The Government estimates 24 hours of labor for the Senior Lead (does not include travel labor hours).

Task 2. Conduct Tribal Assessment: The goal of this task is to help the USACE better understand Tribal perspectives and interests with respect to USACE authorities on projects in the St. Paul District, and to begin identifying a preferred approach for effective government-to-government consultation.

The Contractor will work with USACE and U.S. Institute personnel to develop an assessment strategy, including goals, objectives, processes, and a schedule. The Contractor will work with the USACE personnel to draft some key interview questions and to draft introductory letters to assessment participants (assumption: USACE will send introductory notices to Tribes). The Contractor will work with the USACE personnel to identify key Tribal contacts to interview. Task 2 will consist of up to 20 interviews with Tribes and up to 2 meetings/discussions with other USACE, Federal, and non-Tribal stakeholders (in-person and telephone interviews, will be conducted as appropriate for the situation; individual or group interviews may be conducted, as appropriate). The Contractor will schedule, conduct and document the interviews. Some interviews with Tribal contacts may be conducted along with an appropriate representative from USACE, as deemed beneficial and supportive of the goals of the assessment by the Contractor, USACE, and the U.S. Institute. Continued consultation with USACE personnel is anticipated throughout the assessment period.

The assessment objectives are to (1) help assess USACE’s internal interests, goals/objectives, and resources available for consultation activities; (2) help assess the interests, needs, histories/relationships, and perspectives of affected regional Tribes with respect USACE activities; and (3) to develop strategies and approaches for transparent and effective tribal consultation processes, enhanced communications, and streamlined conflict resolution processes, to minimize current and future conflicts and misunderstandings and improve decision-making on projects. Some aspects of the assessment and consultation planning may include developing an understanding of:

· The geographic areas in which specific Tribes have an interest in consultation.

· Specific types of permit reviews on which each Tribe would like to consult.

· Each Tribe's preferred approach to government-to-government consultation.

· Assessing the potential for Memorandums of Understanding with individual Tribes relating to consultation.

· Assessing the potential for a programmatic-based approach to consultation with each tribe.

· Initial perspectives on how Tribes might want to engage on specific projects, including the Sandpiper Pipeline Project, Madeline Island Permit Evaluation, mining in Minnesota and Wisconsin, and others (to be identified by USACE personnel).

The Contractor will travel to meet with USACE personnel and assessment subjects. Trips will extend over several days and include multiple interview subjects.

For the purpose of providing a quote only, use the following information: Up to four (4) trips are estimated. All trips are estimated to be four day (three night) trips. The Government estimates 92 hours of labor for the Senior Lead and 14 hours for an Associate for this task (does not include travel labor hours).

Task 3. Develop Assessment Report: Based on the outcomes of the assessment (Task 2), the Contractor will develop a report highlighting alternatives and strategies for effective engagement and consultation with Tribes in the St. Paul District.

The Contractor shall analyze the interview data, and (1) summarize the scope of relevant issues and concerns that were identified; (2) clarify and neutrally describe the range of perspectives; and (3) identify consultation alternatives to meet the assessment’s goals and objectives. A report summarizing the findings shall be prepared and presented to the USACE staff. The format (e.g., briefing, presentation, written report) of the report will be determined in consultation with USACE and the U.S. Institute.

The Contractor may be required to travel to St. Paul is for this task.

For the purpose of providing a quote only, use the following information: The Government estimates 28 hours of labor for the Senior Lead for this task (does not include travel labor hours).

Task 4. Ongoing Communication with U.S. Institute: The goal of this task is to ensure effective project oversight by the U.S. Institute. This goal will be accomplished through the following tasks.

The Contractor will participate in monthly check-ins with the U.S. Institute. The Contractor will submit monthly updates which will include progress toward task completion, budget status, as well as discussion of any issues that might hinder timely completion of tasks.

For the purpose of providing a quote only, use the following information:

4.1 The Government estimates 10 hours of labor for the Senior Lead for this task for tasks 1 through 3.

4.2 The Government estimates 2 hours of labor for the Senior Lead for this task for optional task 5, if implemented.

4.3 The Government estimates 6 hours of labor for the Senior Lead for optional task 6, if implemented.

Optional Tasks: Tasks 5 and 6 are optional tasks. Performance of Tasks 5 and 6 is dependent on the assessment results, available funding, and perceived need. The Contractor shall not begin work on Tasks 5 or 6 without prior approval from the Contracting Officer.

Task 5. Additional Work on Tribal Assessment and Report. The task is to account for any additional interviews with Tribes not accounted for during the Core Tasks.

In connection with the Assessment outlined in Task 2 of the core tasks, the Contractor will conduct interviews with Tribes in addition to those specified in Task 1(in-person and telephone interviews are both appropriate as required, individual or group interviews may be used depending on the situation). The Contractor will arrange and participate in the interviews and take confidential notes during the interviews. Continued consultation with USACE personnel is anticipated throughout the assessment period. This would include an expansion of the assessment report identified in Task 3 of the Core Tasks to accommodate the additional interview data.

The Contractor may be required to travel to meet with USACE personnel and assessment subjects. Trips will extend over several days and include multiple interview subjects.

For the purpose of providing a quote only, use the following information: The Government estimates up to 10 interviews in addition to those specified in Task 1. Up to two (2) trips to meet with USACE personnel and assessment subjects are estimated. All trips are estimated to be four day (three night) trips. The Government estimates 40 hours of labor for the Senior Lead and 6 hours for an Associate for this task (does not include travel labor hours).

Task 6. Assist with Consultation Planning and Support Implementation of Tribal Consultation Approach: The goal of this task is to help refine the current Tribal consultation approach for the St. Paul District to reflect individual differences for each Tribe based on the assessment findings, and to assist with implementation of that plan. This goal may be accomplished through one or more of the following tasks:

a. Work with the USACE personnel to refine plan/strategy for Tribal consultation and engagement in the St. Paul District to reflect individual differences for each Tribe based on the outcomes of the assessment report (Task 3)

b. Facilitate conversations to develop a Tribal Consultation Strategy report documenting the consultation strategy, which may include, but is not limited to, consultation goals/objectives, a consultation approach, consultation activities, action items, schedules, and staff assignments.

c. Support consultation with affected and interested Tribes, through in-person meetings, workshops, telephone calls, or webinars (to be determined by the Contractor in consultation with USACE and U.S. Institute personnel) for input and feedback into the strategy.

d. Assist Corps personnel with Tribal engagement activities, which may include phone calls, in-person meetings, or workshops, focused on implementing aspects of the consultation plan. Tasks may include assistance with communications development, agenda development, meeting facilitation and documentation, outreach (telephone and face-to-face), and providing process advice as appropriate to meet Corps Consultation goals and objectives.

e. Assist USACE personnel with the development of agreements between USACE and the Tribes. Formats may include, but are not limited to, Memorandum of Understandings, Programmatic Agreements, or general consultation processes.

f. Assist the Corps with meeting organization, facilitation, and documentation for meetings between Corps personnel, Tribal representatives, and others.

Travel to the St. Paul District may be required. Trips will extend over several days.

For the purpose of providing a quote only, use the following information: Up to eight (8) trips are estimated. The Government estimates that four trips will require a three day (two night) trip, and four trips will require a two day (one night) trip. The Government estimates 150 hours of labor for the Senior Lead and 20 hours for an Associate for this task (does not include travel labor hours).

PROJECT DELIVERABLES

Core Tasks:

· Agenda and meeting summary for kick-off meeting (Task 1)

· Assessment Planning Documents (goals, objectives, interviewee contact list; interview questions, etc.) – (Task 2)

· Assessment Report (Task 3)

· Monthly status reports to accompany Contractor invoices documenting activities undertaken by the Contractor, and hours expended by task (Task 4)

Optional Tasks:

· Expansion of Assessment Report from Task 3(Task 5)

· Tribal Consultation Strategy/Plan (Task 6) – Depending on activities performed

· Record of meeting facilitation, notes, and summaries (Task 6) – Depending on activities performed

· Documented agreements between USACE and the Tribes. Formats may include, but are not limited to, Memorandum of Understanding’s, Programmatic Agreements, or general consultation processes (Task 6) – Depending on activities

DELIVERABLE SCHEDULE

All written deliverables are due two weeks after task completion.

PERIOD OF PERFORMANCE

Date of Award through 09/30/2015

PLACE OF PERFORMANCE

The contractor’s facility and the States of Minnesota and Wisconsin.

SPECIAL REQUIREMENTS

· Travel: All travel will be completed in accordance with Federal Travel Regulations on a Cost-Reimbursable basis.

· Staffing: This procurement will acquire facilitation services. The Project Lead must have at least senior level experience equivalent to the minimum entry criteria required for the U.S. Institute’s National Roster of Environmental Dispute Resolution and Consensus Building Professionals (Roster). Information about the Roster can be found at http://ecrroster.udall.gov/Default.aspx

· Confidential Documentation: Access to documents specified as confidential in this SOW shall be given only to the contracting team, Program Manager, Contracting Officer’s Representative, Contract Specialist, and Contracting Officer.