Request for Statements of Interest (rSOI) Funding Opportunity Announcement

Federal Awarding Agency: U.S. Army Corps of Engineers, Engineer Research and Development Center 3909 Halls Ferry Road Vicksburg, MS 39180-6199

Funding Opportunity No: W81EWF-20-SOI-0003 CFDA No: 12.630 Statutory Authority: 10 USC 2358 Project Title: An Evaluation of Fish Movement in the Big Sandy Lake Watershed and Escapement of Fish through Big Sandy Lake Dam, Announcement Type: Initial Announcement Issue Date: 05 November 2020 Statement of Interest/Qualifications Due Date: 5 p.m. CST on 05 December 2020 Full Application Package Due Date, if Invited: 5 p.m. CST on 20 December 2020 Estimated Award Ceiling: $50,000 (FY21) Estimated Total Program Funding: $145,000 Expected Number of Awards: One award with a potential to cover four years (FY21-FY24)

Section I: Funding Opportunity Description

Background:

Reservoirs are prominent features across much of North America and are constructed for multiple purposes, including, but not limited to, water regulation, irrigation, and recreation. Management of these fisheries is confounded by numerous factors, including diverse stakeholder interests, socioeconomic conflicts, watershed land use, flood control, novel food web interactions, habitat alterations, and degraded water quality (Willis 1986; Stein et al. 1995; Miranda and DeVries 1996; Allen et al. 2008). One of the most obvious challenges to managing reservoir fisheries is fish escapement over spillways and through water release structures that may result in substantial loss of populations (Lewis et al. 1968; Navarro and Cauley 1993; Paller et al. 2006). Yet, little is known regarding escapement rates of reservoir fishes, factors influencing escapement, impacts of escapement on fish populations, or management options for reducing escapement.

Big Sandy Lake is a 6,500 acre reservoir in north-central Minnesota. Big Sandy Lake Dam, constructed and operated by the Corps of Engineers (Corps), is part of the Headwaters Reservoir Project. The Headwaters Project was completed in 1911 to augment flows in the Mississippi River for navigation. The Headwaters project also includes five other dams that regulate reservoirs at Gull, Leech, Pokegama, Cross (including the connected Whitefish Chain) and Winnibigoshish Lakes. Big Sandy Lake Dam is located about 1.25 miles upstream from the confluence of the Sandy River with the Mississippi River at River Mile 1106.85 above the mouth of the Ohio River, in Aitkin County, Minnesota, about 120 miles north of Minneapolis, MN. The drainage area upstream of the dam is 421 mi2, that includes several major tributaries (Sandy, Prairie, West Savanna, and Tamarack Rivers) and numerous natural lakes including Big Sandy, Aitkin, Minnewawa, Horseshoe, Island, Glacier, Sandy River, Rat, Flowage, Round, Round (near Tamarack), Rock, Davis, Prairie, Savanna, Wakefield, Cuttaway and Tiesen Lakes. Average daily outflow is 269 cfs and ranges between 0 and 2035 cfs, with typical spring pulse flows through the dam of 490 cfs. Minimum flow requirements range from 10 to 20 cfs, depending upon water elevation (Potter, 2012).

Existing conditions at Big Sandy Lake Dam are problematic for upstream fish passage. Although there has never been a formal assessment, the configuration of the dam constricts flows through lift gate openings with the implications that velocities are too high for fish to pass upstream, except during periods of very high water in the Mississippi River, which occurs about once every ten years. Additionally, downstream fish passage from Big Sandy Lake into the Mississippi River may present a challenge for managing sustainable fisheries within the lake. Anecdotal observations suggest that Walleye, an important sportfish throughout Minnesota, may be leaving Big Sandy Lake in high numbers during parts of the year. The Walleye population in Big Sandy Lake is dominated by individuals under 14

inches (Figure 1), potentially due in part to high escapement rates. For instance, Walleye escapement was estimated at 26% in Lake Rathbun, Iowa, with an estimated cost of nearly $400,000 (Weber et al. 2013). However, angler observations suggest that a portion of the large Walleye in Big Sandy Lake may move upriver in spring during spawning and may not immediately return to the lake, making these fish unavailable to MN DNR standard sampling, which may have negatively biased Walleye size-structure estimates in Big Sandy Lake. Minnesota Pollution Control Agency staff have observed two walleye (up to 450 mm) in electrofishing samples in the Prairie River in June 2015 (PCA unpublished data provided to MN DNR). If large Walleye in Big Sandy Lake do move upstream during the spring, they may also be less likely to escape the reservoir during this time when most reservoir Walleye escapement tends to occur (M. Weber, ISU, unpublished data) compared to individuals that remain in the lake. However, what portion of Walleye in Big Sandy Lake remain in the lake versus move upriver during the spring and potential size-structure and escapement differences between these groups is unknown. Finally, angler harvest has been another proposed explanation for small size-structure of Walleye in Big Sandy Lake. Hence, a slot-limit was enacted in 2011 to reduce angler harvest of larger Walleye and improve size structure. However, to date, expected improvements in size-structure have not been observed, and the relative effects of angler harvest versus reservoir escapement for limiting the Walleye population in Big Sandy Lake are unknown.

In addition to Walleye, other important fish in Big Sandy Lake include Northern Pike, Yellow Perch (Perca flavescens) Black Crappie (Pomoxis nigromaculatus), Bigmouth Buffalo (Ictiobus cyprinellus) and Tullibee (Corengonus artedi) that are also periodically observed downstream of the dam, but the effects of escapement of these fishes on their populations and the fish community is also unknown. Little to no information exists in the literature regarding escapement rates of these fishes. Tullibee are commonly seen entrained at Lake Oahe (Fincel et al. 2016) and in Iowa, 53% of a Muskellunge population escaped a spillway reservoir in less than two years (M. Weber, ISU, unpublished data), suggesting that escapement of these other important fishes may also be substantial.

Information on how fish move through the Big Sandy Lake watershed are needed. These data will provide managers with a better understanding of fish behavior, harvest, movement, and escapement in this reservoir. These results could then be used to alter harvest regulations, guide dam management, and guide the construction, operation, and timing of fish passage structures and/or barriers to reduce or optimize fish escapement.

The primary means by which fish movements are tracked will be via acoustic telemetry. Walleye and possibly other species will be captured and tagged during the study throughout Big Sandy Lake at known spawning locations. Passive acoustic receivers will be strategically located throughout Big Sandy Lake, including in front of and downstream below the dam, at the confluence of the Sandy and Mississippi rivers, and in tributaries of Big Sandy Lake to record fish presence or absence near

the receiver that will provide information on coarse movement and geographic habitat use as well as survival rates. Detections of tagged fish by the acoustic receiver near the intake will provide information regarding when, where, how often, etc. fish approach the outlet, how long they spend near the structure, and what proportion of fish that approach the outlet end up escaping. Detections of tagged fish by the acoustic receiver in the tailrace will provide an estimate of escapement rates from Big Sandy Lake whereas the receiver at the confluence of the Mississippi River will provide an estimate of emigration into the Mississippi River, as well as what proportion of those fish move back upriver. Tracking is anticipated to conclude in October 2022 and data analysis will occur through August 2023.

Brief Description of Anticipated Work:

The project will be a collaborative study between the selected CESU, Minnesota Department of Natural Resources (MNDNR), and the Corps of Engineers (Corps).

The purposes of the project are to: 1) Estimate escapement rates through the dam of juvenile and adult Walleye from Big Sandy Lake in relation to environmental and chronological conditions; 2) Estimate the proportion of the Walleye population that remain in the lake compared with those that move upriver into the Sandy River, Prairie River, and Aitkin Lake Flowage systems; 3) Estimate mortality rates (fishing and natural) of Walleye. 4) Estimate angler harvest of Walleye, Northern Pike, Black Crappie and Yellow Perch in Big Sandy Lake. 5) Monitor population dynamics for Walleye, Northern Pike, Tullibee, Black Crappie and Yellow Perch. Roles and Responsibilities: The selected CESU will: 1) support MNDNR field work associated with fish tagging (2-4 weeks/year); 2) download, collect, process, analyze telemetry data including escapement rates and assist in maintaining telemetry array (at least twice/year); 3) provide annual project updates and reports to the MNDNR and Corps on study methods, results, and interpretation.

Public Benefit:

The Big Sandy Lake is a valuable resource with more than $1 million annually spent on fishing recreation between fishing opener and the end of September (based on fishing effort data from Berg (2017) and fishing expenditures from USFWS (2011)). This does not incorporate values associated with real estate purchases of recreational properties for fishing, which are likely significantly higher. This level of economic benefit is important in an economically disadvantaged area such as Aitkin County, MN. The primary fishing attraction of Big Sandy is the Walleye fishery, which is naturally reproducing and self-sustaining. Were the Walleye natural reproduction to fail, costs for stocking standard sized fingerlings at the standard

rate of 1 lb/littoral acre per two years would be over $30,000/year and would be equal to about an additional 50% of the entire current Aitkin Area stocking quotas. Understanding the dynamics of the spawning stock is essential to maintain good reproduction into the future. Additionally, understanding walleye movement past the dam is important for future management of a fish passage structure should the structure come to fruition, or to help develop methods to minimize escapement. Lastly, it is important not to unduly regulate fisheries. Anglers make use of resources based on their or others’ experiences. As the late fisheries researcher, Dennis Schupp used to say, “Fish beget fisherman.” Therefore it is important to regulate the angling fishery in such a manner as to maximize the benefit to society, in a biologically sound manner.

Section II: Award Information

Responses to this Request for Statements of Interest will be used to identify potential investigators for studies to be sponsored by the St. Paul District and the Engineer Research and Development Center to provide analyses and interpretation of fish data movement in the Big Sandy Watershed using telemetry information. The estimated level of funding for FY21 is approximately $50,000. Additional funds for 3 additional years may be available, providing the potential funding of $145,000 over 4 years to the successful Recipient/Awardee. Depending on findings in the early years of this effort, funding needs may vary in subsequent years of this project; however, total funding will not exceed $145,000 over the life of this cooperative agreement. Estimated total funding for each year of the award is as follows: $50,000 (FY21), $50,000 (FY22), $35,000 (FY23), $10,000 (FY24).

Government Involvement:

Throughout the study, the Corps role will be to: 1) provide and analyze hydrologic and hydraulic data pertinent to the study as it relates to Sandy Lake Dam; 2) conduct calculations to determine water velocities through the gates of Sandy Lake Dam; 3) develop strategies for water resource management for Big Sandy Lake; 4) conduct quality assurance on annual quality reports

Throughout the study, the MNDNR role will be to: 1) obtain receivers and other necessary equipment; 2) deploy, operate, and maintain acoustic receivers; 3) collect and tag fish; 4) conduct creel surveys; 5) collect bi-monthly water quality data (temperature and dissolved oxygen); and, 6) analyze data on fish population dynamics.

Section III: Eligibility Information 1. Eligible Applicants – This opportunity is restricted to non-federal partners of the Great Lakes-Northern Forest or the Great Rivers Cooperative Ecosystems Studies Unit (CESU).

2. Cost Sharing – This action will be 100% funded by USACE.

Section IV: Application and Submission Information – Two Phase Process

Phase I: Submission of a Statement of Interest/Qualifications.

1. Materials Requested for Statement of Interest/Qualifications: a. Please provide the following via e-mail attachment to: [email protected] (Maximum length: 2 pages, single-spaced 12 pt. font).

1. Name, Organization and Contact Information

2. Brief Statement of Qualifications (including): • Biographical Sketch, • Relevant past projects and clients with brief descriptions of these projects, • Staff, faculty or students available to work on this project and their areas of expertise, • Any brief description of capabilities to successfully complete the project you may wish to add (e.g. equipment, laboratory facilities, greenhouse facilities, field facilities, etc.).

Note: A proposed budget is NOT requested at this time.

The administrative point of contact is Derek Howard, 601-634-3310; [email protected]

2. Statement of Interest/Qualifications shall be submitted NO LATER THAN 05 December 2020 5pm CST.

Based on a review of the Statements of Interest received, an investigator or investigators will be invited to move to Phase II which is to prepare a full study proposal. Statements will be evaluated based on the investigator’s specific experience and capabilities in areas related to the study requirements.

Phase II: Submission of a complete application package to include a full technical proposal including budget, if invited.

1. Address to Request Application Package The complete funding opportunity announcement, application forms, and instructions are available for download at Grants.gov.

The administrative point of contact is Derek Howard, 601-634-3310; [email protected]

2. Content and Form of Application Submission All mandatory forms and any applicable optional forms must be completed in accordance with the instructions on the forms and the additional instructions below. a. SF 424 R&R - Application for Federal Assistance

b. Full Technical Proposal – Discussion of the nature and scope of the research and technical approach. Additional information on prior work in this area, descriptions of available equipment, data and facilities, and resumes of personnel who will be participating in this effort should also be included. c. Cost Proposal/Budget – Clear, concise, and accurate cost proposals reflect the offeror’s financial plan for accomplishing the effort contained in the technical proposal. As part of its cost proposal, the offeror shall submit cost element breakdowns in sufficient detail so that a reasonableness determination can be made. The SF 424 Research & Related Budget Form can be used as a guide. The cost breakdown should include the following, if applicable: 1. Direct Labor: Direct labor should be detailed by level of effort (i.e. numbers of hours, etc.) of each labor category and the applicable labor rate. The source of labor rates shall be identified and verified. If rates are estimated, please provide the historical based used and clearly identify all escalation applied to derive the proposed rates. 2. Fringe Benefit Rates: The source of fringe benefit rate shall be identified and verified. 3. Travel: Travel costs must include a purpose and breakdown per trip to include destination, number of travelers, and duration. 4. Materials/Equipment: List all material/equipment items by type and kind with associated costs and advise if the costs are based on vendor quotes and/or engineering estimates; provide copies of vendor quotes and/or catalog pricing data. 5. Subrecipient costs: Submit all subrecipient proposals and analyses. Provide the method of selection used to determine the subrecipient. 6. Tuition: Provide details and verification for any tuition amounts proposed. 7. Indirect Costs: Currently the negotiated indirect rate for awards through the CESU is 17.5%. 8. Any other proposed costs: The source should be identified and verified.

3. Application package shall be submitted NO LATER THAN 19 December 2020 5pm CST.

4. Submission Instructions Applications may be submitted by mail, e-mail, or Grants.gov. Choose ONE of the following submission methods: a. Mail one unbound copy of your complete proposal to: US Army Corps of Engineers, Engineer Research and Development Center Attn: Derek Howard

3909 Halls Ferry Road Vicksburg, MS 39180-6199

b. E-mail: Format all documents to print on Letter (8 ½ x 11”) paper. E-mail proposal to [email protected]

c. Grants.gov: https://www.grants.gov/: Applicants are not required to submit proposals through Grants.gov. However, if applications are submitted via the internet, applicants are responsible for ensuring that their Grants.gov proposal submission is received in its entirety.

All applicants choosing to use Grants.gov to submit proposals must be registered and have and account with Grants.gov. It may take up to three weeks to complete Grants.gov registration. For more information on registration, go to https://www.grants.gov/web/grants/applicants.html.

Section V: Application Review Information

1. Peer or Scientific Review Criteria: In accordance with DoDGARs 22.315(c), an impartial peer review will be conducted. Subject to funding availability, all proposals will be reviewed using the criteria listed below (technical and cost/price). All proposals will be evaluated under the following two criteria which are of descending importance.

a. Technical (items i. and ii. are of equal importance): i. Technical merits of proposed R&D. ii. Potential relationship of proposed R&D to DoD missions.

b. Cost/Price: Overall realism of the proposed costs will be evaluated.

2. Review and Selection Process a. Categories: Based on the Peer or Scientific Review, proposals will be categorized as Selectable or Not Selectable (see definitions below). The selection of the source for award will be based on the Peer or Scientific Review, as well as importance to agency programs and funding availability.

i. Selectable: Proposals are recommended for acceptance if sufficient funding is available.

ii. Not Selectable: Even if sufficient funding existed, the proposal should not be funded.

Note: The Government reserves the right to award some, all, or none of proposals. When the Government elects to award only a part of a proposal, the selected part may be categorized as Selectable, though the proposal as a whole may not merit such a categorization.

b. No other criteria will be used.

c. Prior to award of a potentially successful offer, the Grants Officer will make a

determination regarding price reasonableness.

Section VI: Award Administration Information 1. Award Notices Written notice of award will be given in conjunction with issuance of a cooperative agreement signed by a Grants Officer. The cooperative agreement will contain the effective date of the agreement, the period of performance, funding information, and all terms and conditions. The recipient is required to sign and return the document before work under the agreement commences. Work described in this announcement SHALL NOT begin without prior authorization from a Grants Officer.

2. Administrative Requirements The cooperative agreement issued as a result of this announcement is subject to the administrative requirements in 2 CFR Subtitle A; 2 CFR Subtitle B, Ch. XI, Part 1103; and 32 CFR Subchapter C, except Parts 32 and 33.

3. Reporting See 2 CFR Sections 200.327 for financial reporting requirements, 200.328 for performance reporting requirements, and 200.329 for real property reporting requirements.

Section VII: Agency Contact Derek Howard, Grants Specialist US Army Corps of Engineers, Engineer Research and Development Center 3909 Halls Ferry Road Vicksburg, MS 39180-6199 [email protected] 601-634-3310