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2020-53-Minutes for Meeting January 15,2020 Recorded 2/11/2020BOARD OF o < COMMISSIONERS 1300 NW Wall Street, Bend, Oregon (541) 388-6570 Recorded in Deschutes County C J2020-53 Nancy Blankenship, County Clerk Comm! ssioners'Journal 02/11/2020 2:50:01 PM p `X"J S CO�� II'II'�III"II'I'llll llll �II v 2020-53 run RC%.unLj w4 ] DoAjvIr vrvLT 10:00 AM WEDNESDAY, januar 15, 2020 BARNES & SAWYER ROOMS Present were Commissioners Phil Henderson, Patti Adair, and Anthony DeBone. Also present were Tom Anderson, County Administrator; Erik Kropp, Deputy County Administrator; David Doyle, County Counsel; and Sharon Keith, Board Executive Assistant. Several citizens and identified representatives of the media were in attendance. This meeting was audio and video recorded and can be accessed at the Deschutes County Meeting Portal website http://deschutescountyor.lqm2.com/Citizens/Default.aspx CALL TO ORDER: Chair Adair called the meeting to order at 10:00 am PLEDGE OF ALLEGIANCE: CITIZEN INPUT: Bill Swanson and Rick Bestwick, provided comment, documents, and inquiry as to the reason(s) for the Commissioner's continuing delay in appointing the identified nominee to the Fall River Special Road District Board. BOCC MEETING JANUARY 15, 2020 PAGE 1 OF 8 CONSENT AGENDA: Before the Board was Consideration of Approval of the Consent Agenda. Commissioner Henderson requested to pull Items 2 and 3 for discussion. HENDERSON: Move approval of Consent Agenda Items 1 and 4 - 6 DEBONE: Second VOTE: HENDERSON: Yes DEBONE: Yes ADAIR: Chair votes yes. Motion Carried Consent Agenda Items: 1. Consideration of Board Signature of Resolution No. 2020-002, Consideration of Grant Award Appropriation JRI Program 2. Consideration of Chair Signature of Document No. 2020-069, a Relinquishment Deed from the Oregon Department of Transportation Pertaining to the US 20 at Tumalo Project 3. Consideration of Document No. 2020-071, a Deed of Dedication Pertaining to the US 20 at Tumalo Project 4. Consideration of Board Signature of Letters Reappointing Jim Morrell and Carrie Novick to the County Fair Board 5. Consideration of Board Signature of Letters Reappointing Doug Green, Gary Marshall, Dan Dougherty, Dan Galecki, Dave Gibson, Dean Richardson, George Chesley, David Morman, Alex Robertson, and Paula Simone to the Project Wildfire Steering Committee 6. Consideration of Board Signature of Letters Thanking Gary Githens, Erica Pelley, Craig Letz, and Nicole Strong for Service on the Project Wildfire Steering Committee ACTION ITEMS: Consent Agenda Item 2 as pulled for discussion: Consideration of Chair Signature of Document No. 2020-069, a Relinquishment Deed from the Oregon BOCC MEETING JANUARY 15, 2020 PAGE 2 OF 8 Department of Transportation Pertaining to the US 20 at Tumalo Project Road Department Director Chris Doty presented this item for discussion. HENDERSON: Move approval of Document No. 2020-069 DEBONE: Second VOTE: HENDERSON: DEBONE: ADAI R: Yes Yes Chair votes yes Motion Carried Consent Agenda Item 3 as pulled for discussion: Consideration of Document No. 2020-071, a Deed of Dedication Pertaining to the US 20 at Tumalo Project Road Department Director Chris Doty presented this item for discussion. HENDERSON: Move approval of Document No. 2020-071 DEBONE: Second VOTE: HENDERSON: DEBONE: ADAI R: Yes Yes Chair votes yes Motion Carried 7. Consideration of SAMHSA Grant Application Request Health Services Deputy DirectorJanice Garceau presented the item for discussion and reported on the services that would be provided for clinical high risk youth. Should the grant be awarded, the funding would cover 4 years of funding for eight health department staff. HENDERSON DEBONE: Move approval of application for the SAMHSA Grant Second BOCC MEETING )AN UARY 15, 2020 PAGE 3OF8 VOTE: HENDERSON: DEBONE: ADAI R: Yes Yes Chair votes yes 8. Q2 Performance Measure Updates Motion Carried Communications Director Whitney Hale presented the second quarter performance measures. Building Official Randy Scheid and Assistant Building Official Chris Gracia presented on behalf of the Community Development Department. County Forester Ed Keith presented regarding the Firewise Community model to address the risk of wildfire. Mr. Keith reported on the last year Fire Free events. Property Managerjames Lewis presented regarding affordable housing options in Deschutes County. Human Resources Director Kathleen Hinman presented on the Employee Self Service module for the ability for updating personal employee and benefit information. Road Department Director Chris Doty presented on the performance measures of the Road Department and the goal of managing pavement and capital projects. 9. Nehmzow Marijuana Production Deliberation Discussions Isabella Liu, Community Development Department presented a decision matrix relative to this item. Deliberations are scheduled for the January 22, 2020 BOCC meeting. BOCC MEETING JANUARY 15, 2020 PAGE 4 OF 8 10.11-ower Bridge PUD - Draft Findings and Decision Review Community Development Department Planner Will Groves presented this draft document for discussion. The final document will be presented at the January 22, 2020 BOCC meeting. Language revisions were directed. RECESS: At the time of 11:30 a.m., the Board took a recess and will recess the meeting at 1:00 p.m. 11.CONTINUED PUBLIC HEARING: Nonprime Resource Lands Community Development Department Planner Zechariah Heck presented the continued public hearing and staff report. Commissioner Adair opened the hearing for testimony. Scott Holgenberg is a rural lands attorney for 1000 Friends of Oregon and commented on his concerns regarding nonprime resource lands. Jack Goddard provided testimony in opposition of the proposal and stated it is not in the best interest of Deschutes County. Carol MacBeth staff attorney for Central Oregon Landwatch presented testimony in opposition and a letter addressed to the Commissioners regarding amendments to comprehensive plan to change the development allowed on certain agricultural and forest lands for the record. Planning Manager Peter Gutowsky explained prior DLCD rulings and these particular parcels of land. Mr. Gutowsky reported County Forester Ed Keith has provided materials for the record relative to the use of the land. Mr. Heck suggested that the BOCC may want to keep the written record open for BOCC MEETING JANUARY 15, 2020 PAGE 5 OF 8 approximately two months, provided the BOCC desires for staff to work with OSU Extension and/or a private consultant to obtain more detailed soils information. Upon discussion of the record period, Commissioner Adair closed the oral testimony and the written record was left open until 5:00 p.m. on January 22, 2020. RECESS: At the time of 2:20 p.m., the Board went into recess and will reconvene in the Allen Conference Room. RECONVENE: At the time of 2:32 p.m., Chair Adair reconvened the meeting in the Allen Conference Room. OTHER ITEMS: • County Administrator Anderson and Community Development Department Director Nick Lelack presented the possibility of a joint meeting with the Planning Commission to review the topic of nonprime resource lands. The joint meeting will be scheduled for Thursday, February 13, 2020 at 5:30 p.m. EXECUTIVE SESSION: At the time of 2:37 p.m., the Board went into Executive Session under ORS 192.660 (2) (h) Litigation. The Board came out of Executive Session at 3:43 p.m. At the time of 3:46 p.m., the Board went into Executive Session under ORS 192.660 (2) (e) Real Property Negotiations. The Board came out of Executive Session at 3:51 p.m. BOCC MEETING JANUARY 15, 2020 PAGE 6 OF 8 OTHER ITEMS continued: • 911 Operations Director Sara Crosswhite and 9-1-1 Operations Manager Chris Perry reported on the TRS Outage during January 9 - 11, 2020. The Oregon Department of Transportation, Deschutes County 911, and Harris worked together to diagnose and solve all issues. A contract for a hardware upgrade is being negotiated and should be brought before the Board soon. Ms. Crosswhite reported on the progress for back up radios. Commissioner DeBone reported on an upcoming radio conference that will be held in Hood River in April. Regarding the Overturf Tower Project, Brett Hudson with Sisters School District, has been retained to serve as Project Manager. • County Administrator Anderson reported the state has not paid Deschutes County its portion of MJ tax. Anderson will follow-up with OLCC and DOR in an attempt to ascertain the actual reason behind that decision. • County Administrator Anderson reported on the process for the core Bend Urban Renewal and inquired if the Board would like to submit a formal letter. Commissioner DeBone would like to submit a letter of identified opposition. Commissioner Henderson prefers to learn more. Mr. Anderson will forward the schedule to the Board. • County Administrator Anderson brought forward the concept of the League of Women Voters proclamation. The Board would suggest writing the proclamation instead to include language to celebrate history of voting. • The NACO Legislative Conference will be held in Washington DC the end of February. Commissioner DeBone plans to attend; Commissioner Henderson has not decided yet. Commissioner Adair will likely not attend. • Commissioner DeBone reported on a letter from the Sundance Meadows regarding target shooting on federal land. The Forest Service has also received the letter. A contact would be made to the Forest Service. • Commissioner DeBone reported the EDCO luncheon is scheduled for Thursday, February 13. BOCC MEETING JANUARY 15, 2020 PAGE 7 OF 8 • Commissioner DeBone stated the early morning scheduled call with the legislators on February 11 could be difficult as the Commissioners will all be in Salem on February 10t". Will consider staying over in Salem to meet face to face with the legislators instead. • Commissioner DeBone reported on an ODOT request for the opportunity for another FTE to support the DMV staffing directed by the state of Oregon. • Commissioner Henderson stated there were great discussions at AOC this week. The Board will hold a meeting on Tuesday, January 21 at 1:00 p.m. Being no further items to come before the Board; the meeting was adjourned at 4:31 p.m, DATED this _ Day of 2020 for the Deschutes County Board of Comnnissioners. "10 PAT I A AIR, CHAIR A` TE EO I ETA BOCC MEETING JANUARY 15, 2020 PAGE 8 OF 8 E S COG o Deschutes County Board of Commissioners 1300 NW Wall St, Bend, OR 97703 (541) 388-6570 - www.deschutes.org BOCC MEETING AGENDA DESCHUTES COUNTY BOARD OF COMMISSIONERS 10:00 AM, WEDNESDAY, JANUARY 15, 2020 Barnes Sawyer Rooms - Deschutes Services Center - 1300 NW Wall Street - Bend This meeting is open to the public, usually streamed live online and video recorded. To watch it online, visit www.deschutes.org/meetings. Pursuant to ORS 192.640, this agenda includes a list of the main topics that are anticipated to be considered or discussed. This notice does not limit the Board's ability to address other topics. Meetings are subject to cancellation without notice. Item start times are estimated and subject to change without notice. CALL TO ORDER PLEDGE OF ALLEGIANCE CITIZEN INPUT This is the time provided for individuals wishing to address the Board, at the Board's discretion, regarding issues that are not already on the agenda. Please complete a sign-up card (provided), and give the card to the Recording Secretary. Use the microphone and clearly state your name when the Board Chair calls on you to speak. PLEASE NOTE: Citizen input regarding matters that are or have been the subject of a public hearing not being conducted as a part of this meeting will NOT be included in the official record of that hearing. If you offer or display to the Board any written documents, photographs or other printed matter as part of your testimony during a public hearing, please be advised that staff is required to retain those documents as part of the permanent record of that hearing. CONSENT AGENDA Consideration of Board Signature of Resolution No. 2020-002 Consideration of Grant Award Appropriation JRI Program Board of Commissioners BOCC Meeting Agenda Wednesday, January 15, 2020 Page 1 of 3 2. Consideration of Chair Signature of Document No. 2020-069, a Relinquishment Deed from the Oregon Department of Transportation Pertaining to the US 20 at Tumalo Project 3. Consideration of Document No. 2020-071, a Deed of Dedication Pertaining to the US 20 at Tumalo Project 4. Consideration of Board Signature of Letter ReappointingJim Morrell and Carrie Novick to the County Fair Board 5. Consideration of Board Signature of Letters Reappointing Doug Green, Gary Marshall, Dan Dougherty, Dan Galecki, Dave Gibson, Dean Richardson, George Chesley, David Mormon, Alex Robertson, and Paula Simone to the Project Wildfire Steering Committee 6. Consideration of Board Signature of Letters Thanking Gary Githens, Erica Pelley, Craig Letz, and Nicole Strong for Service on the Project Wildfire Steering Committee ACTION ITEMS 7. 10:10 AM Consideration of SAMHSA Grant Application Request - lanice Garceau, BH Deputy Director 8. 10:15 AM Q2 Performance Measure Updates -Whitney Hale, Communications Director 9. 11:00 AM Nehmzow Marijuana Production Deliberation Discussions - Isabella Liu, Associate Planner 10. 11:40 AM Lower Bridge PUD - Draft Findings and Decision Review - William Groves, Senior Planner LUNCH RECESS 11. 1:00 PM CONTINUED PUBLIC HEARING: Nonprime Resource Lands -Zechariah Heck, Associate Planner OTHER ITEMS These can be any items not included on the agenda that the Commissioners wish to discuss as part of the meeting, pursuant to ORS 192.640. Board of Commissioners BOCC Meeting Agenda Wednesday, January 15, 2020 Page 2 of 3 EXECUTIVE SESSION At any time during the meeting, an executive session could be called to address issues relating to ORS 192.660(2)(e), real property negotiations, ORS 192.660(2)(h), litigation; ORS 192.660(2)(d), labor negotiations; ORS 192.660(2)(b), personnel issues, or other executive session categories. Executive sessions are closed to the public, however, with few exceptions and under specific guidelines, are open to the media. Executive Session under ORS 192.660 (2) (h) Litigation ADJOURN To watch this meeting on line, go to: www.deschutes.org/meetings Please note that the video will not show up until recording begins. You can also view past meetings on video by selecting the date shown on the website calendar. Deschutes County encourages persons with disabilities to participate in all programs and activities. This event/location is accessible to people with disabilities. If you need accommodations to make participation possible, please call (541) 617-4747. FUTURE MEETINGS: Additional meeting dates available at www.deschutes.org/meetingcalendar (Please note: Meeting dates and times are subject to change. All meetings take place in the Board of Commissioners' meeting rooms at 1300 NW Wall St., Bend, unless otherwise indicated. If you have questions regarding a meeting, please call 388-6572.) Board of Commissioners BOCC Meeting Agenda Wednesday, January 15, 2020 Page 3 of 3 BOARD OF COMMISSIONERS DATE: SUBJECT: Ve—OA( NAME (please print): m R � C- 1-5TUJ (C K V "-- " ( C- , -,-, ADDRESS: - A- i- L (Z� (V" C-- 1'z- �2-c tl—(2 -V I S ( 1z T PHON.: -I I -I -1 -7 - ! COS q 41 A" LIM Tyou plan to submit written documents as a part of your testimony, please give a copy to the Board's Clerk so that they can be included as port of the record. If you're providing testimony related to a public hearing, please complete the following section: 0 IN FAVOR 0 NEUTRAL/ UNDECIDED 0 OPPOSED Please submit your completed form to the Recording Secretary before the meeting begins I E s �o o Deschutes County Board of Commissioners 1300 NW Wall St, Bend, OR 97703 (541) 388-6570 - Fax (541) 385-3202 - https://www.deschutes.org/ AGENDA REQUEST & STAFF REPORT For Board of Commissioners BOCC Wednesday Meeting of January 15, 2020 DATE: January 9, 2020 FROM: Whitney Hale, Administrative Services, 541-330-4640 TITLE OF AGENDA ITEM: Q2 Performance Measure Updates BACKGROUND AND POLICY IMPLICATIONS: Departments have completed their Q2 performance measure updates. Staff from Community Development, Natural Resources, Administration, Human Resources and the Road Department will provide updates on progress made during Q2 on specific measures. FISCAL IMPLICATIONS: None ATTENDANCE: Whitney Hale, Administrative Services, in coordination with department representatives Date: January 9, 2020 To: Board of County Commissioners From: Whitney Hale, Communications Director Re: Department Performance Measures Updates for Q2 Departments have completed their Q2 performance measure updates (see attached spreadsheet). The following departments will provide updates on progress made during Q2 on specific performance measures: Community Development Goal: Service Delivery Objective: Ensure quality service delivery through the use of innovative technology and systems. Measure: Achieve an average turnaround time on building plan reviews of 8-10 days. Q2 Update: Turnaround time on building plan reviews: 10.9 days. Natural Resources Goal: Healthy People Objective: Help to sustain natural resources in balance with other community needs. Measure: Maintain or increase the number of communities participating in the Firewise USATm Program. Q2 Update: Firewise communities total 35, 4 additional from last quarter: Awbrey Park, ClearPine, Indian Ford Ranch, Lane Knolls Estates. Administration Goal: Economic Vitality Objective: Support affordable housing options through availability of lands and appropriate regulation. Measure #1: Seek opportunities to partner with other jurisdictions to stimulate affordable housing projects. Q2 Update: Formal donation agreement between County and City of Redmond was executed for the 40 acre area to be used for affordable housing under State pilot project legislation. County staff will continue to work with the City on completing elements of the agreement - including staff (Property Manager) participation on City advisory committee. Human Resources Goal: Service Delivery Objective: Provide collaborative internal support for County operations. Measure: Complete integration of onboarding functions into Employee Self Service (new HR system). Q2 Update: Post -hire employment forms have been integrated into Employee Self Service. Examples are: Direct Deposit, WA Benefit Enrollment, Beneficiary, and Dependent forms. Road Department Goal: Economic Vitality Objective: Maintain a safe, efficient and economically sustainable transportation system. Measure 1: Sustain the Pavement Condition Index at 81/82. Q2 Update: Per the Pavement Condition Report prepared by Capital Asset and Pavement Services, the Pavement Condition Index (system average) was measured at 83 (out of 100) in 2019. Measure 2: Achieve 96% of roads rated good or better (Pavement Condition Index above 70). Q2 Update: Per the Pavement Condition Report prepared by Capital Asset and Pavement Services, the percentage of roads rated "good or better" has increased to 98.7% in 2019. Goal: Service Delivery Objective: Preserve and enhance capital assets and strengthen fiscal security. Measure 3: Provide further implementation and development of the Road Department's' Capital Improvement Plan. Q2 Update: During Q2, the Six Corners Intersection Improvement project was completed. �u-r r S co BOARD OF COMMISSIONERS FY 2020 Goals and Objectives Mission Statement: Enhancing the lives of citizens by delivering quality services in a cost-effective manner. Safe Communities: Protect the community through planning, preparedness, and delivery of coordinated services. • Provide safe and secure communities through coordinated public safety services. • Reduce crime and recidivism through prevention, intervention, supervision and enforcement. • Collaborate with partners to prepare for and respond to emergencies and disasters. Healthy People: Enhance and protect the health and well-being of communities and their residents. Support and advance the health and safety of Deschutes County's residents. Promote well-being through behavioral health and community support programs. Help to sustain natural resources in balance with other community needs. Economic Vitality: Promote policies and actions that sustain and stimulate economic vitality. • Support affordable housing options through availability of lands and appropriate regulation. • Administer land use policies that promote livability. • Maintain a safe, efficient and economically sustainable transportation system. • Partner with organizations and manage County assets to attract business development, tourism, and recreation. Service Delivery: Provide solution -oriented service that is cost-effective and efficient. • Ensure quality service delivery through the use of innovative technology and systems. • Support and promote Deschutes County Customer Service "Every Time" standards. • Promote community participation and engagement with County government. • Preserve and enhance capital assets and strengthen fiscal security. • Provide collaborative internal support for County operations. c� s ,C-� t m sm o a E o« w - n rn m a m o y c m E S r c a c w m oEE �Z.m oLv oLa Yui mo mvo mm o .o2c o - =mw„ mo_ v N0m �gm1n J `cv m ONd la N— C30N CW j N O O1U N �_A% C. m�v,uc 3 00.E ai a'ov E �u� EEc10i EC I- cv t�-� U:�ovo, a DLO o 3vN 3 u- O-mmm> wm =oca v rn�c �cPon mm" m>"° m uviv mvv �o«c-m va v wvm,-, 3 ma m w m o o-P v m Lam L a N o v c c ° 3 c z m v m f0 v w v E 3 v E o °� « o f0 o. o o 9 E� E �� 2 G EN��U ��aN UNCN N�o�IQNU'o S NOVa N O'o r rcr0 vY-iEZ w3.of E3mt nUroa vE o. 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U N U U U O U O U GST L� 7 C N N C p C O N O d N 0 N N W� vNi N 7 v N N N ro v ro O N W o U W Nm O ry O N O N N w am p_m p.m d m w N. � o a a a a o a v t c v v v -16 ) al N N (O m (n � = x x N N al U °J a a a a a c .vc w V) cn w m v u> m 0 N N e Ln . y. � � \ zT o rDCi 3 e—t (D Ul eh u rD —0-0 e 0 (D (D U) FD Qj (D rD LA rD LA rD rD (D < Ln V) rD r-t r-t U) rD o Oc) _0 Qj rD :3 :3 CT O'Q (D (D (D M Qj LA ll LA ul 0 0 h _0 CD (D LA r1i I 0 0 CD --h 0 h 3 (D 0 0 m N CP% I ME Is �vI E S CO o Deschutes County Board of Commissioners 1300 NW Wall St, Bend, OR 97703 (541) 388-6570 - Fax (541) 385-3202 - https://www.deschutes.org/ AGENDA REQUEST & STAFF REPORT For Board of Commissioners BOCC Wednesday Meeting of January 15, 2020 DATE: January 6, 2020 FROM: Janice Garceau, Health Services, TITLE OF AGENDA ITEM: Consideration of SAMHSA Grant Application Request RECOMMENDATION & ACTION REQUESTED: Request Board approval. BACKGROUND AND POLICY IMPLICATIONS: SAMHSA is accepting applications for Grants for Expansion and Sustainability of the Comprehensive Community Mental Health Services for Children with Serious Emotional Disturbances (System of Care (SOC) Expansion and Sustainability Grants). The purpose of this program is to improve the mental health outcomes for children and youth (from birth through age 21) with serious emotional disturbance, and their families. This program will support the implementation, expansion, and integration of the SOC approach by creating sustainable infrastructure and services that are required as part of the Comprehensive Community Mental Health Services for Children and their Families Program (also known as the Children's Mental Health Initiative or CMHI). SAMHSA plans to issue 6-24 grants of up to $3,000,000 per year for up to four years for state applicants and up to $1,000,000 for political subdivisions of states applicants. The key personnel for this program will be the local Project Director and the Lead Family Coordinator. These positions require prior approval from SAMHSA after a review of staff credentials and job descriptions. Six additional FTE are proposed to support delivery of Wraparound services and data collection and analysis. Grant funds would also support covering some building costs, the purchase of two vehicles, and contract dollars for youth crisis services provided by current contractor. The additional FTE would enable us to meet fidelity requirements for Wraparound Fidelity staff ratios, and for the required integration of our first episode psychosis and young adult services into the system of care. FISCAL IMPLICATIONS: If approved, funding amount to $1,000,000 per year available to non -state government entities for four grant years; maximum compensation of $4,000,000 for the entire grant period. ATTENDANCE: Janice Garceau, Deputy Director. �vTES CO w��4Deschutes County Health Services GRANT APPLICATION REQUEST Please answer the following questions: Official Grant Title: Grants for Expansion and Sustainability of the Comprehensive Community Mental Health Services for Children with Serious Emotional Disturbances Source of Grant Funds: SAMHSA, Center for Mental Health Services Funding Amount and Duration (include amount per year if multiple years): From $1,000,000 per year available for non -state government entities for four total grant years. Total of $4,000,000 for the entire grant period. Application Due Date: February 3, 2020 FTE Required and Cost of FTE: The analysis assumes the grant will cover the cost of: 1.0 FTE Supervisor, 3.0 FTE Behavioral Health Specialists I, 3.0 FTE Peer Support Specialists 1.0 FTE Management Analyst Staff Responsible: Elizabeth Renteria Holden Matching Requirements? ❑ Yes ❑ No If Yes, ❑ in -kind or ❑cash? Amount: Recipients are required to provide the statutory match requirements ($3 federal to $ 1 Non Federal; in yeas 1-3 federal to $1 non-federal in year 4). Matching resources may be in cash or in -kind, including facilities, equipment or services and must be derived from non-federal sources (e.g. state or sub -state non-federal revenues, foundation grants; existing FTE can be contributed as in -kind match; Program intends to apply existing program salaries, as in -kind match. Contract or MOU Required? ® Yes ❑ No Does grant allow for admin fee? ® Yes ❑ No If Yes, amount: Click or Lap Isere to enter text. Expedited Director approval? ❑ Yes ® No If Yes, attach copy of grant opportunity notification. 1. How does this grant opportunity align with priorities in the Health Services Strategic Plan, the Regional Health Improvement Plan or an emerging need? This grant would DCHS meet the contractual requirements for standing up the System of Care (SOC) governance initiative. The additional FTE would enable us to meet fidelity Rev. 11/19/2018 Page 1 of 3 requirements for Wraparound Fidelity staff ratios, and for the required integration of our first episode psychosis and young adult services into the system of care. 2. Briefly summarize what work the grant is intended to accomplish. SAMHSA is accepting applications for Grants for Expansion and Sustainability of the Comprehensive Community Mental Health Services for Children with Serious Emotional Disturbances (System of Care (SOC) Expansion and Sustainability Grants). The purpose of this program is to improve the mental health outcomes for children and youth (from birth through age 21) with serious emotional disturbance, and their families. This program will support the implementation, expansion, and integration of the SOC approach by creating sustainable infrastructure and services that are required as part of the Comprehensive Community Mental Health Services for Children and their Families Program (also known as the Children's Mental Health Initiative or CMHI). SAMHSA plans to issue 6-24 grants of up to $3,000,000 per year for up to four years for state applicants and up to $1,000,000 for political subdivisions of states applicants. 3. Describe the science or evidence base that supports delivering the work the grant is intended to accomplish. The SOC Expansion and Sustainability Grants are authorized under Sections 561-565 of the Public Health Service Act, as amended, and Section 10001 of the 21 st Century Cures Act. This announcement addresses Healthy People 2020 Mental Health and Mental Disorders Topic Area HP 2020-MHMD. This program aligns with SAMHSA's Strategic Plan Priority #2 "Addressing Serious Mental Illness and Serious Emotional Disturbance". 4. Does the work the grant is intended to accomplish require ethics review? If so, what is the regulating authority and who will do the work? No ethics review is required 5. Summarize the cost of doing the work the grant is intended to accomplish (include costs of personnel, equipment, materials and services, travel/training, etc., as applicable, using the grant calculator tool [to be developed]). The key personnel for this program will be the local Project Director and the Lead Family Coordinator. These positions require prior approval from SAMHSA after a review of staff credentials and job descriptions. Six additional FTE are proposed to support delivery of Wraparound services and data collection and analysis. Grant funds would also support covering some building costs, the purchase of two vehicles, and contract dollars for youth crisis services provided by current contractor. Rev. 11 /19/2018 Page 2 of 3 6. Administrative supports required check all that apply): ❑x Compliance oversight ❑x Contract x❑ Data analysis: Is the data ❑ already collected? OR ❑ new to us? Where does the data live? Click or tap here to enter text. ® EHR ® Fiscal oversight and/or reporting ❑x Operations (building, vehicles, etc.) © Reporting: What: Click or tap here to enter text. How often: Click or tap here to enter text, ❑x Other, please describe: Liaison with HR to meet personnel requirements and assistance with grant application completion To be completed by Director: Final review of grant application materials prior to submittal will be done by: ❑ Deputy Director ❑ Director Deputy Director Approval Director Approval ❑ Yes ❑ No Date & Initials: ❑ Yes ❑ No Date & Initials: Rev. 11/19/2018 Page 3 of 3 Department of Health and Human Services Substance Abuse and Mental Health Services Administration Grants for Expansion and Sustainability of the Comprehensive Community Mental Health Services for Children with Serious Emotional Disturbances Short Title: System of Care (SOC) Expansion and Sustainability Grants (Initial Announcement) Funding Opportunity Announcement (FOA) No. SM-20-007 Catalogue of Federal Domestic Assistance (CFDA) No.: 93.104 Key Dates: Application Deadline I Applications are due by February 3, 2020. Intergovernmental Review Applicants must comply with E.O. 12372 if their state(s) (E.O. 12372) participate(s). Review process recommendations from the State Single Point of Contact (SPOC) are due no later than 60 days after application deadline. Public Health System Applicants must send the PHSIS to appropriate state and Impact Statement local health agencies by the administrative deadline. (PHSIS)/Single State Comments from the Single State Agency are due no later Agency Coordination than 60 days after the application deadline. Table of Contents EXECUTIVESUMMARY..................................................................................................4 I. PROGRAM DESCRIPTION.................................................................................... 6 1. PURPOSE.......................................................................................................6 II. FEDERAL AWARD INFORMATION.....................................................................11 III. ELIGIBILITY INFORMATION................................................................................12 1. ELIGIBLE APPLICANTS...............................................................................12 2. COST SHARING and MATCH REQUIREMENTS........................................13 3. OTHER REQUIREMENT..............................................................................14 IV. APPLICATION AND SUBMISSION INFORMATION............................................14 1. REQUIRED APPLICATION COMPONENTS: ............................................... 14 2. APPLICATION SUBMISSION REQUIREMENTS.........................................16 3. FUNDING LIMITATIONS/RESTRICTIONS...................................................17 4. INTERGOVERNMENTAL REVIEW (E.O. 12372) REQUIREMENTS ...........17 V. APPLICATION REVIEW INFORMATION.............................................................18 1. EVALUATION CRITERIA..............................................................................18 2. REVIEW AND SELECTION PROCESS........................................................ 20 VI. FEDERAL AWARD ADMINISTRATION INFORMATION ...................................... 21 1. REPORTING REQUIREMENTS................................................................... 21 2. FEDERAL AWARD NOTICES.................................................................... 21 VII. AGENCY CONTACTS.......................................................................................... 22 Appendix A —Application and Submission Requirements .............................................. 23 1. GET REGISTERED...................................................................................... 23 2. APPLICATION COMPONENTS....................................................................26 3. WRITE AND COMPLETE APPLICATION..................................................... 26 4. SUBMIT APPLICATION................................................................................29 5. AFTER SUBMISSION...................................................................................31 2 Appendix B- Formatting Requirements and System Validation ...................................... 34 1. SAMHSA FORMATTING REQUIREMENTS.................................................34 2. GRANTS.GOV FORMATTING AND VALIDATION REQUIREMENTS ......... 34 3. eRA COMMONS FORMATTING AND VALIDATION REQUIREMENTS ...... 35 Appendix C — Confidentiality and SAMHSA Participant Protection/Human Subjects Guidelines.......................................................................................................... 39 Appendix D — Developing Goals and Measurable Objectives ........................................ 42 Appendix E — Developing the Plan for Data Collection, Performance Assessment, and QualityImprovement.......................................................................................... 45 Appendix F — Biographical, Sketches and Position Descriptions ..................................... 49 Appendix G — Addressing Behavioral Health Disparities ................................................ 50 Appendix H — Standard Funding Restrictions................................................................. 52 Appendix I — Intergovernmental Review (E.O. 12372) Requirements ............................ 54 Appendix J — Administrative and National Policy Requirements ..................................... 56 Appendix K — Sample Budget and Justification.............................................................. 63 Appendix L - Key Personnel Staff Descriptions.............................................................. 83 EXECUTIVE SUMMARY The Substance Abuse and Mental Health Services Administration, Center for Mental Health Services (CMHS), is accepting applications for fiscal year (FY) 2020 Grants for Expansion and Sustainability of the Comprehensive Community Mental Health Services for Children with Serious Emotional Disturbances (Short title: System of Care (SOC) Expansion and Sustainability Grants). The purpose of this program is to improve the mental health outcomes for children and youth, birth through age 21, with serious emotional disturbance (SED), and their families. This program will support the implementation, expansion, and integration of the SOC approach by creating sustainable infrastructure and services that are required as part of the Comprehensive Community Mental Health Services for Children and their Families Program (also known as the Children's Mental Health Initiative or CMHI). Funding Opportunity Title: Grants for Expansion and Sustainability of the Comprehensive Community Mental Health Services for Children with Serious Emotional Disturbances Short title: System of Care (SOC) Expansion and Sustainability Grants). Funding Opportunity Number: SM-20-007 Due Date for Applications: February 3, 2020 Estimated Total Available Funding: $24,708,000 Estimated Number of Awards: 6-24 awards At least 5 awards will be made to tribes/tribal organizations pending sufficient application volume from these groups. Estimated Award Amount: Up to $3 million per year for state applicants Up to $1 million per year for political subdivisions of states, territories, and American Indian/Alaska Native (AI/AN) applicants. ll Cost Sharing/Match Required: Yes. Recipients are required to provide the statutory match requirements ($3 federal to $1 non-federal in years 1-3; $1 federal to $1 non-federal in year 4). [See Section III-2 of this FOA for cost sharing/match requirements.] Anticipated Project Start Date: 8/31/2020 Length of Project Period: Up to four years Eligible Applicants: Eligibility for this program is statutorily limited to public entities. [See Section III-1 for complete eligibility information.] Be sure to check the SAMHSA website periodically for any updates on this program. WARNING: Your application will NOT be accepted if: • Your organization is not registered in NIH's eRA Commons, or • Your project director does not have an active eRA Commons account with the PI role that is affiliated with your organization in eRA Commons by the deadline. No exceptions will be made. SAMHSA's application procedures have changed. All applicants must register with NIH's eRA Commons in order to submit an application. This process takes up to six weeks. If you believe you are interested in applying for this opportunity, you MUST start the registration process immediately. Do not wait to start this process. Applicants also must register with the System for Award Management (SAM) and Grants.gov (see Appendix A for all registration requirements). I. PROGRAM DESCRIPTION 1. PURPOSE The Substance Abuse and Mental Health Services Administration, Center for Mental Health Services (CMHS), is accepting applications for fiscal year (FY) 2020 Grants for Expansion and Sustainability of the Comprehensive Community Mental Health Services for Children with Serious Emotional Disturbances (Short title: System of Care (SOC) Expansion and Sustainability Grants). The purpose of this program is to improve the mental health outcomes for children and youth, birth through age 21, with serious emotional disturbance (SED), and their families. This program will support the implementation, expansion, and integration of the SOC approach by creating sustainable infrastructure and services that are required as part of the Comprehensive Community Mental Health Services for Children and their Families Program (also known as the Children's Mental Health Initiative or CMHI). This grant will support the provision of mental disorder treatment and related recovery support services to children with SED and those with early signs and symptoms of serious mental illness (SMI), including first episode psychosis (FEP). The intent is to build upon progress made in developing comprehensive SOC by focusing on sustainable financing, cross -agency collaboration, the creation of policy and infrastructure, and the development and implementation of evidence -based and evidence -informed services and supports. 1 The SOC Expansion and Sustainability Grants are authorized under Sections 561-565 of the Public Health Service Act, as amended, and Section 10001 of the 21 st Century Cures Act. This announcement addresses Healthy People 2020 Mental Health and Mental Disorders Topic Area HP 2020-MHMD. Key Personnel: Key personnel are staff members who must be a part of the project regardless of whether or not they receive salary or compensation from the project. Key personnel make a substantial contribution to the execution of the project. The key personnel for this program will be the Project Director with at least a 0.75 FTE level of effort and the Lead Family Coordinator with at least a 0.75 FTE level of effort. These positions require prior approval from SAMHSA after a review of staff credentials and job descriptions (See Appendix L). Required Activities The SOC Expansion and Sustainability grant program is one of SAMHSA's hybrid grant programs. SAMHSA intends that its hybrid grants result in the development of infrastructure and the delivery of services as soon as possible after award. Service delivery should begin no later than four months after the project award. SOC Expansion and Sustainability grant funds shall be used to support infrastructure development and services not covered by Medicaid, private, or other types of insurance. These are the activities that every grant project must implement. Required activities must be reflected in the Project Narrative in Section V. State applicants only: Must focus on statewide implementation of the SOC approach and identify jurisdictions within the state in which SOC Expansion and Sustainability services and strategies will be implemented. The local jurisdictions must not have received SOC expansion/sustainability funding in prior fiscal years. Letters of Commitment from each of the local jurisdictions, demonstrating their commitment to working in partnership with the state, must be included in Attachment 1 of the application. Political subdivisions of states, territories, AI/AN tribes, or tribal organizations only: Must focus on implementation of SOC expansion and sustainability within their jurisdiction and demonstrate that they are working with their respective state (i.e., state agency for mental/behavioral health, state Medicaid agency) to achieve broader systems change needed to expand and sustain the SOC approach. Letters of Commitment from political subdivision, territory, or AI/AN tribes or tribal organization leadership demonstrating VA commitment to working in partnership with the state must be included in Attachment 1 of the application. • Provide evidence -based and culturally competent mental health services to children with SED that includes the following: o Diagnostic and evaluation services; o Outpatient services provided in a clinic, office, school, or other appropriate location, including individual, group, and family counseling, professional consultation, and review and management of medications utilized in the treatment of SED/SMI; 0 24-hour emergency services, 7 days a week; o Intensive home -based services for children and their families when the child is at imminent risk of out -of -home placement; o Intensive day treatment services; o Therapeutic foster care services, and services in therapeutic foster family homes or individual therapeutic residential homes, and group homes caring for not more than 10 children; o Assisting the child in making the transition from services received as a child to the services to be received as an adult; and o Other recovery support services (e.g. assistance with vocational needs such as obtaining education/job skills necessary for employment and assistance with obtaining employment, supported employment; support for families) and focused efforts to provide early treatment for those youth with early onset of (SED/SMI). • Implement services, supports, and mechanisms to promote and sustain family participation that engage and involve families in the development, implementation, and evaluation of the SOC at the state and local levels. Examples include, but are not limited to, peer support activities, development of youth leadership, mentoring programs, youth -guided activities, parent support providers, and youth peer specialists. • Develop or enhance an existing Governance Structure/Board that is responsible for decision -making at the policy level with the ability to provide authority and accountability for the SOC. Governance bodies for SOCs can exist at the state/territory/tribe and/or local/community levels. 0 Allowable Activities SAMHSA's SOC Expansion and Sustainability Grants may support the following types of activities: • Develop collaborative partnerships across child -serving agencies (e.g., substance use, child welfare, juvenile justice, primary care, education, early childhood) and among critical providers and programs to build bridges among partners, including relationships between community and residential treatment settings. • Make use of SAMHSA's training and technical assistance resources (e.g., Clinical Support System for Serious Mental Illness, Mental Health, Substance Abuse Prevention, and Addiction Technology Transfer Centers) to provide ongoing training and continuing education to practitioners providing services and to provide evidence -based information to individuals and families receiving services through this funding mechanism. Other Expectations: If your application is funded, you will be expected to develop a behavioral health disparities impact statement no later than 60 days after your award. (See Appendix G, Addressing Behavioral Health Disparities). SAMHSA, working with tribes, the Indian Health Service, and National Indian Health Board developed the first collaborative National Tribal Behavioral Health Agenda (TBHA). Tribal applicants are encouraged to briefly cite the applicable TBHA foundational element(s), priority (ies), and strategies that are addressed by their grant application. The TBHA can be accessed at http://nihb.org/docs/12052016/FINAL%20TBHA%2012-4-16.pdf. SAMHSA strongly encourages all recipients to adopt a tobacco/nicotine inhalation (vaping) product -free facility/grounds policy and to promote abstinence from all tobacco products (except in regard to accepted tribal traditions and practices). Recipients must utilize third party and other revenue realized from provision of services to the extent possible and use SAMHSA grant funds only for services to individuals who are not covered by public or commercial health insurance programs, individuals for whom coverage has been formally determined to be unaffordable, or for services that are not sufficiently covered by an individual's health insurance plan. Recipients are also expected to facilitate the health insurance application and enrollment process for eligible uninsured clients. Recipients should also consider other systems from which a potential service recipient may be eligible for services (for example, the Veterans Health Administration or senior services), if appropriate for and desired by that individual to meet his/her needs. In addition, recipients are required to implement policies and 9 procedures that ensure other sources of funding are utilized first when available for that individual. 1.1 Data Collection and Performance Measurement All SAMHSA recipients are required to collect and report certain data so that SAMHSA can meet its obligations under the Government Performance and Results (GPRA) Modernization Act of 2010. You must document your plan for data collection and reporting in Section D: Data Collection and Performance Measurement. Recipients are required to report performance data quarterly on measures such as the following: • The number of policy changes completed as a result of the grant. • The number of youth/family members who receive mental health -related services as a result of the grant. • The number of individuals contacted through program outreach efforts. • The number of individuals referred to mental health or related services. • The number of individuals receiving mental health or related services after referral. For services, recipients must report on the following client -level data at baseline (i.e., client entry into the project), every six months thereafter, and at discharge from services: • Diagnosis; • Mental illness symptomatology; • Employment/education; • Crime and criminal justice; • Stability in housing; access, i.e., number of persons served by age, gender, race and ethnicity; • Rate of admission/ readmission to psychiatric hospitals; • Social support/social connectedness; and • Client/family perception of care. 10 This information will be reported using SAMHSA's Performance Accountability and Reporting System (SPARS). Additional information about SPARS can be found at https://spars.samhsa.gov/. Technical Assistance related to data collection and reporting, data entry, fiscal and annual report generation is available. The collection of these data enables SAMHSA to report on key outcome measures relating to the grant program. In addition to these outcomes, data collected by recipients will be used to demonstrate how SAMHSA's grant programs are reducing disparities in access, service use, and outcomes nationwide. Performance data will be reported to the public as part of SAMHSA's Congressional Justification. 1.2 Project Performance Assessment Recipients must periodically review the performance data they report to SAMHSA (as required above), assess their progress, and use this information to improve the management of their grant project. Recipients are also required to report on their progress addressing the goals and objectives identified in B.1. The assessment should be designed to help you determine whether you are achieving the goals, objectives, and outcomes you intend to achieve and whether adjustments need to be made to your project. Performance assessments should also be used to determine whether your project is having/will have the intended impact on behavioral health disparities. You will be required to submit an annual report on the progress you have achieved, barriers encountered, and efforts to overcome these barriers. Refer to Section VI.1 for any program specific information on the frequency of reporting and any additional requirements. No more than 20 percent of the total grant award may be used for data collection, performance measurement, and performance assessment, e.g., activities required in Sections 1-2.2 and 2.3 above. Note: See Appendix D and Appendix E for more information on responding to Sections 1-1.1 and 1.2. 1.3 Grantee Meetings Grantee meetings for this program will be held virtually. Full participation in the virtual meeting is required. If SAMHSA elects to hold an in -person meeting during the performance period of the grant, budget revisions will be permitted. II. FEDERAL AWARD INFORMATION Funding Mechanism: Grant Estimated Total Available Funding: $24,708,000 11 Estimated Number of Awards: Estimated Award Amount: Length of Project Period: 6-24 awards (At least 5 awards will be made to tribes/tribal organizations pending sufficient application volume from these groups) Up to $3,000,000 per year for state applicants. Up to $1,000,000 per year for political subdivisions of states; territories; and AI/AN applicants Up to four years Proposed budgets cannot exceed $1,000,000 or $3,000,000 in total costs (direct and indirect) in any year of the proposed project. Annual continuation awards will depend on the availability of funds, recipient progress in meeting project goals and objectives, timely submission of required data and reports, and compliance with all terms and conditions of award. Funding estimates for this announcement are based on an annualized Continuing Resolution and do not reflect the final FY 2020 appropriation. Applicants should be aware that funding amounts are subject to the availability of funds. III. ELIGIBILITY INFORMATION 1. ELIGIBLE APPLICANTS Eligibility is limited to public entities which refers to the following: • State governments and territories (i.e., the District of Columbia; the Commonwealth of Puerto Rico; the Northern Mariana Islands; the Virgin Islands; Guam; American Samoa; the Republic of Palau; the Federated States of Micronesia; and the Republic of the Marshall Islands); • Governmental units within political subdivisions of a state (e.g., county, city, town); • Federally recognized American Indian/Alaska Native (AI/AN tribal organizations, as defined in Section 5304(b) and Section 5304(c) of the Indian Self - Determination and Education Assistance Act. Recipients that are currently funded under SM-17-001 or SM-19-009 are not eligible to apply for funding under this FOA. Note: Eligible state applicants for this grant may not choose local jurisdictions that received SOC Expansion and Sustainability funding under grants awarded from FY 2014 through FY 2019. If a state applicant submits an application with a local 12 jurisdiction that received previous funding, the application will be screened out and not reviewed. If a state applicant identifies a local jurisdiction that has submitted a separate application, SAMHSA will review and score both applications. If both applications are in the fundable range, the application with the higher priority score will be funded. 2. COST SHARING and MATCH REQUIREMENTS Cost sharing/match is required by statutory mandate to provide matching funds from other non-federal sources, either directly or through donations from public or private entities: • For the first, second, and third fiscal years of the grant, you must provide at least $1 for each $3 of Federal funds; and • For the fourth fiscal year of the grant, you must provide at least $1 for each $1 of Federal funds. Matching resources may be in cash or in -kind, including facilities, equipment, or services and must be derived from non-federal sources (e.g., state or sub -state non- federal revenues, foundation grants). There is concern that the federal funds for this program might be used to replace existing non-federal funds. Therefore, applicants may only include as non-federal match, contributions in excess of the average amount of non-federal funds available to the applicant public entity over the two fiscal years preceding the fiscal year when the Federal award is made. Non-federal public contributions, whether from state, county or city governments, must be dedicated to the community (ies) served by the grant. Federal grant funds must be used for new expenses of the program carried out by the recipient. That is, Federal grant funds must be used to supplement and not supplant any funds available for carrying out existing services and activities, (e.g., college suicide prevention activities). A letter from the director of the agency applying for the grant should certify that matching funds for the proposed initiative are available and are non-federal funds. It is expected that non-federal match dollars will include contributions from various child - serving systems (e.g., education, child welfare, and juvenile justice). You must specify the names of the expected sources, the types of sources (e.g., education, child welfare, and juvenile justice) and the amount of matching funds, to show evidence of your potential to sustain the system of care as you bring it to scale in your state/territory/tribe. The letter must be included in Attachment 5 of the application, Non -Federal Match Certification letter. This letter should also indicate that proposed changes in funding streams required for the match or other funding innovations necessary for implementation of the proposed initiative will be allowed. 13 Tribes receiving funds under the Indian Self -Determination and Education Assistance Act, PL 93-638, as amended, are exempt from the restriction that prohibits the use of those Federal funds as a match. 3. OTHER REQUIREMENT Applicants must show that identified needs are consistent with priorities of the tribe, tribal organization, state, territory or political subdivision of the state that has primary responsibility for the service delivery system. In Attachment 6, the applicant must include a copy of the state or county strategic plan, a state or county needs assessment, or a letter from the state or county indicating that the proposed project addresses a state- or county -identified priority. Tribal applicants must provide similar documentation relating to tribal priorities. IV. APPLICATION AND SUBMISSION INFORMATION 1. REQUIRED APPLICATION COMPONENTS: • SF-424 — Fill out all Sections of the SF-424. In Line #4 (i.e., Applicant Identified), input the Commons Username of the PD/PI. In Line #17 input the following information: (Proposed Project Date: a. Start Date: 8/31/2020; b. End Date: 8/30/2024). Budget Information Form — Use SF-424A. Fill out all Sections of the SF- 424A. o Section A — Budget Summary: Use the first row only (Line 1) to report the total federal funds (e) requested for the first year of your project only. Use the second row only (Line 2) to report the total non-federal funds (f) planned for the first year of your project only. o Section B — Budget Categories: Use the first column only (Column 1) to report the budget category breakouts (Lines 6a through 6h) and indirect charges (Line 6j) for the total federal funding requested for the first year of your project only. Use the second column only (Column 2) to report the budget category breakouts (Lines 6a through 6h) and indirect charges (Line 6j) for the total non-federal funding planned for the first year of your project only. o Section C — Leave blank if non-federal funds are not reported in Section A and B. Complete if cost sharing/match is required and non- federal funds are reported in Section A and B. o Section D — Forecasted Cash Needs: Input the total funds requested, broken down by quarter, only for Year 1 of the project period. Use the first row for federal funds and the second row for non-federal funds. 14 o Section E — Budget Estimates of Federal Funds Needed for Balance of the Project: Input the total funds requested for the out years (e.g., Year 2, Year 3, and Year 4). For example, if you are requesting funds for four years in total, you would input information in columns b, c, and d (i.e., 3 out years). A sample budget form and justification is included in Appendix K of this document. It is highly recommended that you use this sample budget format. This will expedite review of your application. Project Narrative and Supporting Documentation — The Project Narrative describes your project. It consists of Sections A through D. Sections A-D together may not be longer than 10 pages. (Remember that if your Project Narrative starts on page 5 and ends on page 15, it is 11 pages long, not 10 pages.) More detailed instructions for completing each section of the Project Narrative are provided in Section V — Application Review Information. The Supporting Documentation section provides additional information necessary for the review of your application. This supporting documentation must be attached to your application using the Other Attachments Form if applying with Grants.gov Workspace or Other Narrative Attachments if applying with eRA ASSIST. Additional instructions for completing these sections and page limitations for Biographical Sketches/Position Descriptions are included in Appendix A: 3.1 Required Application Components, and Appendix F, Biographical Sketches and Position Descriptions. Supporting documentation should be submitted in black and white (no color). • Budget Justification and Narrative —The budget justification and narrative must be submitted as a file entitled BNF (Budget Narrative Form) when you submit your application into Grants.gov. (See Appendix A: 3.1 Required Application Components.) • You are required to complete the Assurance of Compliance with SAMHSA Charitable Choice Statutes and Regulations Form SMA 170. This form is posted on SAMHSA's website at http://www.samhsa.gov/grants/applying/forms-resources. Attachments 1 through 7 — Use only the attachments listed below. If your application includes any attachments not required in this document, they will be disregarded. Do not use more than a total of 30 pages for Attachments 1, 3, 4, and 5 combined. There are no page limitations for Attachments 2, 6, and 7. Do not use attachments to extend or replace any of the sections of the Project Narrative. Reviewers will not consider them if you do. Please label the 15 attachments as: Attachment 1, Attachment 2, etc. Use the Other Attachments Form from Grants.gov to upload the attachments. o Attachment 1: Letters of Commitment from any organization(s) participating in the proposed project. In addition, State applicants must include letters from at least two local jurisdictions regarding their commitment to expand and sustain SOC in their jurisdictions. Political subdivisions of a state (e.g., town, city, county), territories, or Federally recognized AI/AN tribes or tribal organizations must include letters from the state, tribe, or territory leadership demonstrating their commitment to broader system level changes to support the local level adoption of the SOC. (Do not include letters of support.) o Attachment 2: Data Collection Instruments/Interview Protocols — If you are using standardized data collection instruments/interview protocols, you do not need to include these in your application. Instead, provide a web link to the appropriate instrument/protocol. If the data collection instrument(s) or interview protocol(s) is/are not standardized, you must include a copy in Attachment 2. o Attachment 3: Sample Consent Forms o Attachment 4: Letter to the SSA (if applicable; see: Appendix I, Intergovernmental Review (E.O. 12372) Requirements). o Attachment 5: Non -Federal Funds Match Certification Letter o Attachment 6: Strategic Plan, Needs Assessment, or Priority Letter o Attachment 7: Response to Appendix C - Confidentiality and SAMHSA Participant Protection/Human Subjects Guidelines. This is a required attachment. 2. APPLICATION SUBMISSION REQUIREMENTS Applications are due by 11:59 PM (Eastern Time) on February 3, 2020. WARNING: Your application will NOT be accepted if: • Your organization is not registered in NIH's eRA Commons, or • Your project director does not have an active eRA Commons account with the PI role that is affiliated with your organization in eRA Commons by the deadline. No exceptions will be made. WV SAMHSA's application procedures have changed. All applicants must register with NIH's eRA Commons in order to submit an application. This process takes up to six weeks. If you believe you are interested in applying for this opportunity, you MUST start the registration process immediately. Do not wait to start this process. Applicants also must register with the System for Award Management (SAM) and Grants.gov (see Appendix A for all registration requirements). 3. FUNDING LIMITATIONS/RESTRICTIONS Applicants responding to this announcement may request funding for a project period of up to four years, at no more than $1,000,000 or $3,000,000 per year. Awards to support projects beyond the first budget year will be contingent upon Congressional appropriation, satisfactory progress in meeting the project's objectives, and a determination that continued funding would be in the best interest of the Federal Government. The funding restrictions for this project are as follows: • No more than 20 percent of the total grant award may be used for data collection, performance measurement, and performance assessment expenses. Be sure to identify these expenses in your proposed budget. SAMHSA recipients must also comply with SAMHSA's standard funding restrictions, which are included in Appendix H, Standard Funding Restrictions. 4. INTERGOVERNMENTAL REVIEW (E.O. 12372) REQUIREMENTS All SAMHSA grant programs are covered under Executive Order (EO) 12372, as implemented through Department of Health and Human Services (DHHS) regulation at 45 CFR Part 100. Under this Order, states may design their own processes for reviewing and commenting on proposed federal assistance under covered programs. See Appendix I for additional information on these requirements as well as requirements for the Public Health System Impact Statement (PHSIS). 17 V. APPLICATION REVIEW INFORMATION 1. EVALUATION CRITERIA The Project Narrative describes what you intend to do with your project and includes the Evaluation Criteria in Sections A-D below. Your application will be reviewed and scored according to the qualit of your response to the requirements in Sections A-D. In developing the Project Narrative section of your application, use these instructions, which have been tailored to this program. The Project Narrative (Sections A-D) together maybe no longer than 10 pages. You must use the four sections/headings listed below in developing your Project Narrative. You must indicate the Section letter and number in your response, i.e., type "A-1 ", "A-2", etc., before your response to each question. You may not combine two or more questions or refer to another section of the Project Narrative in your response, such as indicating that the response for B.2 is in C.1. Only information included in the appropriate numbered question will be considered by reviewers. Your application will be scored according to how well you address the requirements for each section of the Project Narrative. • The number of points after each heading is the maximum number of points a review committee may assign to that section of your Project Narrative. Although scoring weights are not assigned to individual questions, each question is assessed in deriving the overall Section score. Section k Population of Focus and Statement of Need (15 points — approximately 1 page) 1. Identify the proposed geographic catchment (s) where the project will be implemented and the population(s) that will be impacted by the infrastructure development in the targeted systems or agencies. State applicants must identify at least two local jurisdictions where the SOC approach will be implemented. 2. Document the need for an enhanced infrastructure to increase the capacity to implement, sustain, and improve effective mental health services in the proposed catchment area that is consistent with the purpose of the FOA. Include information on the service gaps and other problems related to the need for infrastructure development. Identify the source of the data. W. Section B: Proposed Implementation Approach (35 points — approximately 5 pages) 1. Describe the goals and measurable objectives (see Appendix D) of the proposed project and align them with the Statement of Need described in A.2. State the unduplicated number of individuals you propose to serve (annually and over the entire project period) with grant funds. 2. Describe how you will implement the Required Activities as stated in Section I. 3. Provide a chart or graph depicting a realistic timeline for the entire four years of the project period showing dates, key activities, and responsible staff. These key activities must include the requirements outlined in Section I. [NOTE: Be sure to show that the project can be implemented and service delivery can begin as soon as possible and no later than six months after grant award. The timeline must be part of the Project Narrative. It must not be placed in an attachment.] Section C: Staff and Organizational Experience (30 points — approximately 2 pages) 1. Describe the experience of your organization with similar projects and/or providing services to the population(s) of focus for this FOA. Identify other organization(s) that you will partner with in the proposed project. Describe their experience providing services to the population(s) of focus, and their specific roles and responsibilities for this project. Letters of Commitment from each partner must be included Attachment 1 of your application. 2. Provide a complete list of staff positions for the project, including the Key Personnel (Project Director and Lead Family Coordinator) and other significant personnel. Describe the role of each, their level of effort, and qualifications, to include their experience providing services to the population(s) of focus and familiarity with their culture(s) and language(s). Section D: Data Collection and Performance Measurement (20 points — approximately 2 pages) 1. Provide specific information about how you will collect the required data for this program and how such data will be utilized to manage, monitor and enhance the program. Budget Justification, Existing Resources, Other Support (other federal and non- federal sources) You must provide a narrative justification of the items included in your proposed budget, as well as a description of existing resources and other support you expect to receive for the proposed project. Other support is defined as funds or resources, whether 19 federal, non-federal or institutional, in direct support of activities through fellowships, gifts, prizes, in -kind contributions, or non-federal means. (This should correspond to Item #18 on your SF-424, Estimated Funding.) Other sources of funds may be used for unallowable costs, e.g., meals, sporting events, entertainment. An illustration of a budget and narrative justification is included in Appendix K: Sample Budget and Justification. It is highly recommended that you use this sample budget format. Your budget must reflect the funding limitations/restrictions specified in Section IV-3. Specifically identify the items associated with these costs in your budget. The budget justification and narrative must be submitted as a file entitled BNF when you submit your application into Grants.gov. 1. REQUIRED SUPPORTING DOCUMENTATION Biographical Sketches and Position Descriptions See Appendix F for information on completing biographical sketches and job descriptions. 2. REVIEW AND SELECTION PROCESS SAMHSA applications are peer -reviewed according to the evaluation criteria listed above. Decisions to fund a grant are based on: • The strengths and weaknesses of the application as identified by peer reviewers. The results of the peer review are advisory in nature. The program office and approving official make the final determination for funding; • At least 5 awards will be made to tribes/tribal organizations pending sufficient application volume from these groups; • When the individual award is over $250,000, approval by the CMHS National Advisory Council; • Availability of funds; • Equitable distribution of awards in terms of geography (including urban, rural and remote settings) and balance among populations of focus and program size; • Submission of any required documentation that must be submitted prior to making an award; and 20 • In accordance with 45 CFR 75.212, SAMHSA reserves the right not to make an award to an entity if that entity does not meet the minimum qualification standards as described in section 75.205(a)(2). If SAMHSA chooses not to award a fundable application, SAMHSA must report that determination to the designated integrity and performance system accessible through the System for Award Management (SAM) [currently the Federal Awardee Performance and Integrity Information System (FAPIIS)]. VI. FEDERAL AWARD ADMINISTRATION INFORMATION 1. REPORTING REQUIREMENTS Program Specific: Recipients must comply with the data reporting requirements listed in Section 1-1.1 and Section 1-1.2. Data Collection - Refer to Section 1-1.1 for the performance measures. Access to SPARS and technical assistance on data collection and reporting will be provided upon award. Progress Reports - recipients will be expected to submit an annual report. Grants Management: Successful applicants must also comply with the following standard grants management reporting and schedules at https://www.samhsa.gov/qrants/grants- management/reportinq-requirements, unless otherwise noted in the FOA or Notice of Award. 2. FEDERAL AWARD NOTICES You will receive an email from SAMHSA, via NIH's eRA Commons, that will describe the process for how you can view the general results of the review of your application, including the score that your application received. If the application is approved for funding, a Notice of Award (NoA) will be emailed to the following: 1) the Business Official's (BO) email address identified on the HHS Checklist form submitted with the application; and 2) the email associated with the Commons account for the Project Director. Hard copies of the NoA will no longer be mailed via postal service. The NoA is the sole obligating document that allows you to receive federal funding for work on the grant project. Information about what is included in the NoA can be found at: https://www.samhsa.gov/grants/grants-management/notice- award-noa. 21 If you are not funded, you will receive a notification from SAMHSA, via NIH's eRA Commons. VII. AGENCY CONTACTS For program related and eligibility questions contact: Diane Sondheimer Center for Mental Health Services Substance Abuse and Mental Health Services Administration (240) 276-1922 diane.sondheimer(a)samhsa.hhs.gov Tanvi Ajmera Center for Mental Health Services Substance Abuse and Mental Health Services Administration (240) 276-0307 tanvi.aimera(a-samhsa.hhs.gov For fiscal/budget related questions contact: Corey Sullivan Office of Financial Resources, Division of Grants Management Substance Abuse and Mental Health Services Administration (240) 276-1213 or (240) 276-1412 FOACMHS(cD-samhsa.hhs.gov For grant review process and application status questions contact: Irvin Moore Office of Financial Resources, Division of Grant Review Substance Abuse and Mental Health Services Administration (240) 276-1003 Irvin.Moore(csamhsa.hhs.gov 22 Appendix A —Application and Submission Requirements WARNING: If your organization is not registered and you do not have an active eRA Commons PD/PI account by the deadline, the application will NOT be accepted. No exceptions will be made. All applicants must register with NIH's eRA Commons in order to submit an application. This process takes up to six weeks. If you believe you are interested in applying for this opportunity, you MUST start the registration process immediately. Do not wait to start this process. Applicants also must register with the System for Award Management (SAM) and Grants.gov (see below for all registration requirements). 1. GET REGISTERED You are required to complete four (4) registration processes: 1. Dun & Bradstreet Data Universal Numbering System (to obtain a DUNS number); 2. System for Award Management (SAM); 3. Grants.gov; and 4. eRA Commons. If this is your first time submitting an application, you must complete all four registration processes. If you have already completed registrations for DUNS, SAM, and Grants.gov, you need to ensure that your accounts are still active, and then register in eRA Commons. If you have not registered in Grants.gov, the registration for Grants.gov and eRA Commons can be done concurrently. You must register in eRA Commons and receive a Commons Username in order to have access to electronic submission, receive notifications on the status of your application, and retrieve grant information. If your organization is not registered and does not have an active eRA Commons PI account by the deadline, the application will not be accepted. The organization must maintain an active and up-to-date SAM and DUNS registrations in order for SAMHSA to make an award. If your organization is not compliant when SAMHSA is ready to make an award, SAMHSA may determine that your organization is not qualified to receive an award and use that determination as the basis for making an award to another applicant. 1.1 Dun & Bradstreet Data Universal Numbering System (DUNS) Registration SAMHSA applicants are required to obtain a valid DUNS Number, also known as the Unique Entity Identifier, and provide that number in the application. Obtaining a DUNS number is easy and there is no charge. 23 To obtain a DUNS number, access the Dun and Bradstreet website at: http://www.dnb.com or call 1-866-705-5711. To expedite the process, let Dun and Bradstreet know that you are a public/private nonprofit organization getting ready to submit a federal grant application. The DUNS number you use on your application must be registered and active in the System for Award Management (SAM). 1.2 System for Award Management (SAM) Registration You must also register with the System for Award Management (SAM) and continue to maintain active SAM registration with current information during the period of time your organization has an active federal award or an application under consideration by an agency (unless you are an individual or federal agency that is exempted from those requirements under 2 CFR § 25.110(b) or (c), has an exception approved by the agency under 2 CFR § 25.110(d)). To create a SAM user account, Register/Update your account, and/or Search Records, go to https://www.sam.gov. It is also highly recommended that you renew your account prior to the expiration date. SAM information must be active and up-to-date, and should be updated at least every 12 months to remain active (for both recipients and sub -recipients). Once you update your record in SAM, it will take 48 to 72 hours to complete the validation processes. Grants.gov rejects electronic submissions from applicants with expired registrations. If your SAM account expires, the renewal process requires the same validation with IRS and DoD (Cage Code) as a new account requires. The renewal process can take up to one month. 1.3 Grants.gov Registration Grants.gov is an online portal for submitting federal grant applications. It requires a one- time registration in order to submit applications. While Grants.gov registration is a one- time only registration process, it consists of multiple sub -registration processes (i.e., DUNS number and SAM registrations) before you can submit your application. [Note: eRA Commons registration is separate]. You can register to obtain a Grants.gov username and password at http://www.grants.gov/web/grants/register.html. If you have already completed Grants.gov registration and ensured your Grants.gov and SAM accounts are up-to-date and/or renewed, please skip this section and focus on the eRA Commons registration steps noted below. If this is your first time submitting an application through Grants.gov, registration information can be found at the Grants.gov "Applicants" tab. The person submitting your application must be properly registered with Grants.gov as the Authorized Organization Representative (AOR) for the specific DUNS number cited on the SF-424 (first page). See the Organization Registration User Guide for details at Vil the following Grants.gov link: http://www grants gov/web/grants/applicants/organization- reaistration.html. 1.4 eRA Commons Registration eRA Commons is an online interface managed by NIH that allows applicants, recipients, and federal staff to securely share, manage, and process grant -related information. Organizations applying for SAMHSA funding must register in eRA Commons. This is a one-time registration separate from Grants.gov registration. In addition to the organization registration, Business Officials and Program Directors listed as key personnel on SAMHSA applications must have an account in eRA Commons and receive a Commons ID in order to have access to electronic submission and retrieval of application/grant information. It is strongly recommended that you start the eRA Commons registration process at least six (6) weeks prior to the application due date. If your organization is not registered and does not have an active eRA Commons PI account by the deadline, the application will not be accepted. For organizations registering with eRA Commons for the first time, either the Authorized Organization Representative (AOR) from the SF-424 or the Business Official (BO) from the HHS Checklist must complete the online Institution Registration Form. Instructions on how to complete the online Institution Registration Form is provided on the eRA Commons Online Registration Page. [Note: You must have a valid and verifiable DUNS number to complete the eRA Commons registration.] After the organization's representative (AOR or BO) completes the online Institution Registration Form and clicks Submit, the eRA Commons will send an e-mail notification from era-notify(a_mail.nih.gov with the link to confirm the email address. Once the e-mail address is verified, the registration request will be reviewed and confirmed via email. If your request is denied, the representative will receive an email detailing the reason for the denial. If the request is approved, the representative will receive an email with a Commons User ID for the Signing Official account ('SO' role). The representative will receive a separate email pertaining to this SO account containing its temporary password used for first-time log in. The representative will need to log into Commons with the temporary password, at which time the system will provide prompts to change the temporary password to one of their choosing. Once the designated contact Signing Official (SO) signs the registration request, the organization will be active in Commons. The Signing Official can then create additional accounts for the organization as needed. Organizations can have multiple user accounts with the SO role, and any user with the SO role will be able to create and maintain additional accounts for the organization's staff, including accounts for those designated as Program Directors (PI role) and other Business Officials (SO role). W Important: The eRA Commons requires organizations to identify at least one SO, who can be either the AOR from the SF-424 or the BO from the HHS Checklist, and at least one Program Director/Principal Investigator (PD/PI) account in order to submit an application. The primary SO must create the account for the PD/PI listed as the PD/PI role on the HHS Checklist assigning that person the `PI' role in Commons. Note that you must enter the PD/PI's Commons Username into the `Applicant Identifier' field of the SF-424 document (Line 4). You can find additional information about the eRA Commons registration process at https://era.nih.gov/reg accounts/register commons.cfm. 2. APPLICATION COMPONENTS You must complete your application using eRA ASSIST, Grants.gov Workspace or another system to system (S2S) provider. You will also need to go to the SAMHSA website to download the required documents you will need to apply for a SAMHSA grant or cooperative agreement. 2.1 Additional Documents for Submission (SAMHSA Website) You will find additional materials you will need to complete your application on the SAMHSA website at http://www.samhsa.gov/grants/applying/forms-resources. For a full list of required application components, refer to Section II-3.1, Required Application Components. 3. WRITE AND COMPLETE APPLICATION SAMHSA strongly encourages you to sign up for Grants.gov email notifications regarding this FOA. If the FOA is cancelled or modified, individuals who sign up with Grants.gov for updates will be automatically notified. 3.1 Required Application Components After downloading and retrieving the required application components and completing the registration processes, it is time to write and complete your application. All files uploaded with the Grants.gov application MUST be in Adobe PDF file format. Directions for creating PDF files can be found on the Grants.gov website. Please see Appendix B for all application formatting and validation requirements. Applications that do not comply with these requirements will be screened out and will not be reviewed. K: 3.2 Standard Application Components Applications must include the following required application components listed in the table below. This table consists of a full list of standard application components, a description of each required component, and its source for application submission. # Standard Application Description Source Components 1 SF-424 (Application for This form must be completed by applicants for all ASSIST, Federal Assistance) SAMHSA grants and cooperative agreements. Workspace, Form or other S2S provider 2 SF-424 A (Budget Use SF-424A. Fill out Sections A, B, D and E of the ASSIST, Information — Non- SF-424A. Section C should only be completed if Workspace, Construction Programs) applicable. It is highly recommended that you use or other S2S Form the sample budget format in the FOA. provider 3 HHS Checklist Form The HHS Checklist ensures that you have obtained ASSIST, the proper signatures, assurances, and Workspace, certifications. You are not required to complete the or other S2S entire form, but please include the top portion of the provider form ("Type of Application") indicating if this is a new, noncompeting continuation, competing continuation, or supplemental application; the Business Official and Program Director/Project Director/Principal Investigator contact information (Part C); and your organization's nonprofit status (Part D, if applicable). All SAMHSA Notices of Award (NoAs) will be emailed by SAMHSA via NIH's eRA Commons to the Project Director/Principal Investigator (PD/PI), and Signing Official/Business Official (SO/BO). 4 Project/Performance The purpose of this form is to collect location ASSIST, Site Location(s) Form information on the site(s) where work funded under this Workspace, grant announcement will be performed. or other S2S provider 5 Project Abstract Your total abstract must not be longer than 35 lines. It ASSIST, Summary should include the project name, population(s) to be Workspace, served (demographics and clinical characteristics), or other S2S strategies/interventions, project goals and measurable provider objectives, including the number of people to be served annually and throughout the lifetime of the project, etc. In the first five lines or less of your abstract, write a summary of your project that can be used, if your project is funded, in publications, reports to Congress, or press releases. 27 # Standard Application Description Source Components 6 Project Narrative The Project Narrative describes your project. The ASSIST, Attachment application must address how your organization will Workspace, implement and meet the goals and objectives of the or other S2S program. You must attach the Project Narrative file provider (Adobe PDF format only) inside the Project Narrative Attachment Form. 7 Budget Justification and You must include a detailed Budget Narrative in ASSIST, Narrative Attachment addition to the Budget Form SF-424A. In preparing the Workspace, budget, adhere to any existing federal grantor agency or other S2S guidelines which prescribe how and whether budgeted provider amounts should be separately shown for different functions or activities within the program. The budget justification and narrative must be submitted as file BNF when you submit your application into Grants. ov 8 SF-424 B (Assurances You must read the list of assurances provided on the SAMHSA for Non -Construction) SAMHSA website and check the box marked 'I Agree' Website Form before signing the first page (SF-424) of the application. 9 Disclosure of Lobbying Federal law prohibits the use of appropriated funds for ASSIST, Activities (SF-LLL) Form publicity or propaganda purposes or for the Workspace, preparation, distribution, or use of the information or other S2S designed to support or defeat legislation pending provider before Congress or state legislatures. You must sign and submit this form, if applicable. 10 Other Attachments Form Refer to the Supporting Documents below. Use the ASSIST, Other Attachments Form to attach all required Workspace, additional/supporting documents listed in the table or other S2S below. provider 3.3 Supporting Documents In addition to the Standard Application Components listed above, the following supporting documents are necessary for the review of your application. Supporting documents must be attached to your application. For each of the following application components, attach each document (Adobe PDF format only) using the Other Attachments Form in ASSIST, Workspace, or other S2S provider. M # Supporting Description Source Documents 1 HHS 690 Form Every grant applicant must have a completed HHS 690 SAMHSA form (PDF 1 291 KB) on file with the Department of Website Health and Human Services. 2 Charitable Choice Form See Section IV-1 of the FOA to determine if you are SAMHSA SMA 170 required to submit Charitable Choice Form SMA 170. Website If you are, you can upload this form to Grants.gov when you submit your application. 3 Biographical Sketches See Appendix G of this document for additional Appendix F of and Job Descriptions instructions for completing these sections. this document. 4 Confidentiality and See the FOA or requirements related to confidentiality, FOA: See SAMHSA Participant participant protection, and the protection of human Appendix C Protection/Human subject's regulations. Subjects 5 Additional Documents The FOA will indicate the attachments you need to FOA: Section in the FOA include in your application. IV-1. 4. SUBMIT APPLICATION 4.1 Electronic Submission (eRA ASSIST, Grants.gov Workspace, or other S2S provider) After completing all required registration and application requirements, SAMHSA requires applicants to electronically submit using eRA ASSIST, Grants.gov Workspace or another system to system (S2S) provider. Information on each of these options is below: 1) ASSIST — The Application Submission System and Interface for Submission Tracking (ASSIST) is an NIH sponsored online interface used to prepare applications using the SF424 form set, submit electronically through Grants.gov to SAMHSA and other participating agencies, and track grant applications. [Note: ASSIST requires an eRA Commons ID to access the system] 2) Grants.gov Workspace — You can use the shared, online environment of the Grants.gov Workspace to collaboratively work on different forms within the application. 29 The specific actions you need to take to submit your application will vary by submission method as listed above. The steps to submit your application are as follows: To submit to Grants.gov using ASSIST: eRA Modules User Guides and Documentation I Electronic Research Administration (eRA) To submit to Grants.gov using the Grants.gov Workspace: http://www grants gov/web/grants/applicants/workspace-overview.html Regardless of the option you use, your application will be subject to the same registration requirements, completed with the same data items, routed through Grants.gov, validated against the same agency business rules, assembled in a consistent format for review consideration, and tracked in eRA Commons. All applications that are successfully submitted must be validated by Grants.gov before proceeding to the NIH eRA Commons system and validations. On -time submission requires that electronic applications be error -free and made available to SAMHSA for processing from the NIH eRA system on or before the application due date and time. Applications must be submitted to and validated successfully by Grants.gov and eRA Commons no later than 11:59 PM Eastern Time on the application due date. You are strongly encouraged to allocate additional time prior to the submission deadline to submit your application and to correct errors identified in the validation process. You are also encouraged to check the status of your application submission to determine if the application is complete and error -free. If you encounter problems when submitting your application in Grants.gov, you must attempt to resolve them by contacting the Grants.gov Service Desk at the following: By e-mail: support(a.grants.gov By phone: (toll -free) 1-800-518-4726 (1-800-518-GRANTS). \The Grants.gov Contact Center is available 24 hours a day, 7 days a week, excluding federal holidays. Make sure you receive a case/ticket/reference number that documents the issues/problems with Grants.gov. Additional support is also available from the NIH eRA Service desk at: By e-mail: http://grants.nih.gov/support/index.html 30 • By phone: 301-402-7469 or (toll -free) 1-866-504-9552. The NIH eRA Service desk is available Monday — Friday, 7 a.m. to 8 p.m. Eastern Time, excluding federal holidays. If you experience problems accessing or using ASSIST (see below), you can: • Access the ASSIST Online Help Site at: https://era.nih.gov/erahelp/assist/ • Or contact the NIH eRA Service Desk SAMHSA highly recommends that you submit your application 24-72 hours before the submission deadline. Many submission issues can be fixed within that time and you can attempt to re -submit. 4.2 Waiver of Electronic Submission SAMHSA will not accept paper applications except under very special circumstances. If you need special consideration, SAMHSA must approve the waiver of this requirement in advance. If you do not have the technology to apply online, or your physical location has no Internet connection, you may request a waiver of electronic submission. You must send a written request to the Division of Grant Review at least 15 calendar days before the application's due date. Direct any questions regarding the submission waiver process to the Division of Grant Review at 240-276-1199. 5. AFTER SUBMISSION 5.1 System Validations and Tracking After you complete and comply with all registration and application requirements and submit your application, the application will be validated by Grants.gov. You will receive a notification that your application is being processed. You will receive two additional e- mails from Grants.gov within the next 24-48 hours (one notification email will confirm receipt of the application in Grants.gov, and the other notification email will indicate that the application was either successfully validated by the Grants.gov system or rejected due to errors). It is important that you retain this Grants.gov tracking number. Receipt of the Grants.gov tracking number is the only indication that Grants.gov has successfully received and validated your application. If you do not receive a Grants.gov tracking number, you may want to contact the Grants.gov help desk for assistance (see resources for assistance in Section 4.1). If Grants.gov identifies any errors and rejects your application with a "Rejected with Errors" status, you must address all errors and submit again. If no problem is found, Grants.gov will allow the eRA system to retrieve the application and check it against its own agency business rules (eRA Commons Validations). If you use ASSIST to 31 complete your application, you are able to validate your application and fix errors before submission. After you successfully submit your application through Grants.gov, your application will go through eRA Commons validations. You must check your application status in eRA Commons. You must have an eRA Commons ID in order to have access to electronic submission and retrieval of application/grant information. If no errors are found, the application will be assembled in the eRA Commons. At this point, you can view your application in eRA commons. It will then be forwarded to SAMHSA as the receiving institution for further review. If errors are found, you will receive a System Error and/or Warning notification regarding the problems found in the application. You must take action to make the required corrections, and re -submit the application through Grants.gov before the application due date and time. You are responsible for viewing and tracking your applications in the eRA Commons after submission through Grants.gov to ensure accurate and successful submission. Once you are able to access your application in the eRA Commons, be sure to review it carefully as this is what reviewers will see. 5.2 eRA Commons: Warning vs. Error Notifications You may receive a System Warning and/or Error notification after submitting an application. Take note that there is a distinction between System Errors and System Warnings. Warnings — If you receive a Warning notification after the application is submitted, you are not required to resubmit the application. The reason for the Warning will be identified in the notification. It is at your discretion to choose to resubmit, but if the application was successfully received, it does not require any additional action. Errors — If you receive an Error notification after the applications is submitted, you must correct and resubmit the application. The word Error is used to characterize any condition which causes the application to be deemed unacceptable for further consideration. 5.3 System or Technical Issues If you encounter a system error that prevents you from completing the application submission process on time, the BO from your organization will receive an email notification from eRA Commons. SAMHSA highly recommends contacting the eRA Service Desk and submitting a web ticket to document your good faith attempt to submit your application, and determining next steps. See Section 4.1 for more information on contacting the eRA Service Desk. 32 5.4 Resubmitting a Changed/Corrected Application If SAMHSA does not receive your application by the application due date as a result of a failure in the SAM, Grants.gov, or NIH's eRA Commons systems, you must contact the Division of Grant Review within one business day after the official due date at: dar.applications a�samhsa.hhs.gov and provide the following: • A case number or email from SAM, Grants.gov, and/or NIH's eRA system that allows SAMHSA to obtain documentation from the respective entity for the cause of the error. SAMHSA will consider the documentation to determine if you followed Grants.gov and NIH's eRA requirements and instructions, met the deadlines for processing paperwork within the recommended time limits, met FOA requirements for submission of electronic applications, and made no errors that caused submission through Grants.gov or NIH's eRA to fail. No exceptions for submission are allowed when user error is involved. Please note that system errors are extremely rare. [Note: When resubmitting an application, please ensure that the Project Title is identical to the Project Title in the originally submitted application (i.e., no extra spacing) as the Project Title is a free -text form field.] In addition, check the Changed/Corrected Application box in #1. 33 Appendix B- Formatting Requirements and System Validation 1. SAMHSA FORMATTING REQUIREMENTS SAMHSA's goal is to review all applications submitted for grant funding. However, this goal must be balanced against SAMHSA's obligation to ensure equitable treatment of applications. For this reason, SAMHSA has established certain formatting requirements for its applications. See below for a list of formatting requirements required by SAMHSA: • Text must be legible. Pages must be typed in black, single-spaced, using a font of Times New Roman 12, with all margins (left, right, top, bottom) at least one inch each. You may use Times New Roman 10 only for charts or tables. • You must submit your application and all attached documents in Adobe PDF format or your application will not be forwarded to eRA Commons and will not be reviewed. • To ensure equity among applications, page limits for the Project Narrative cannot be exceeded. • Black print should be used throughout your application, including charts and graphs (no color). • The page limits for Attachments stated in the FOA: Section IV-1 should not be exceeded. If you are submitting more than one application under the same announcement number, you must ensure that the Project Title in Field 15 of the SF-424 is unique for each submission. 2. GRANTS.GOV FORMATTING AND VALIDATION REQUIREMENTS • Grants.gov allows the following list of UTF-8 characters when naming your attachments: A-Z, a-z, 0-9, underscore, hyphen, space, and period. Other UTF-8 characters should not be used as they will not be accepted by NIH's eRA Commons, as indicated in item #10 in the table below. • Scanned images must be scanned at 150-200 dpi/ppi resolution and saved as a PDF file. Using a higher resolution setting or different file type will result in a larger file size, which could result in rejection of your application. 34 • Any files uploaded or attached to the Grants.gov application must be PDF file format and must contain a valid file format extension in the filename. In addition, the use of compressed file formats such as ZIP, RAR or Adobe Portfolio will not be accepted. 3. eRA COMMONS FORMATTING AND VALIDATION REQUIREMENTS The following table is a list of formatting requirements and system validations required by eRA Commons and will result in errors if not met. The application must be 'error free' to be processed through the eRA Commons. There may be additional validations which will result in Warnings but these will not prevent the application from processing through the submission process. If you do not adhere to these requirements, you will receive an email notification from era-notify()-mail.nih.gov to take action and adhere to the requirements so that your application can be processed successfully. It is highly recommended that you submit your application 24-72 hours before the submission deadline to allow for sufficient time to correct errors and resubmit the application. If you experience any system validation or technical issues after hours on the application due date, contact the eRA Service Desk and submit a Web ticket to document your good -faith attempt to submit your application. eRA Validations eRA Error Message Applicant Identifier (Item 4 on the SF-424): The Commons Username must be provided in the The PD/PI Credentials must be provided Applicant Identifier field for the PD/PI. The Commons Username provided in the Applicant Username provided must be a valid Commons Identifier is not a recognized Commons account. account The Commons account provided in the Applicant Username must be affiliated with the Identifier field for the PD/PI is either not affiliated organization submitting the application and or with the applicant organization or does not hold the have the PI role PI role. Check with your Commons Account Administrator to make sure your account affiliation and roles are set-up correctly. The DUNS number provided must include valid The DUNS number provided has invalid characters characters (9 or 13 numbers with or without (other than 9 or 13 numbers) after stripping of dashes) dashes The documentation (forms) required for the The format of the application does not match the FOA must be submitted format of the FOA. Please contact the eRA Service Desk for assistance. 35 eRA Validations eRA Error Message ' If a change or correction is made to address an This application has been identified as a duplicate error, "Changed/Corrected" must be selected. of a previous submission. The `Type of Submission' (Item #1 on the SF-424) should be set to Changed/Corrected if you are addressing errors/warnings. Refer to Section II-5.4 for more information on resubmission criteria. The application cannot exceed 1.2GB. The application did not follow the agency -specific size limit of 1.2 GB. Please resize the application to be no larger than 1.2GB before submitting. The correct Funding Opportunity The Funding Opportunity Announcement number Announcement (FOA) number must be does not exist. All documents and attachments must be `The <attachment> attachment is not in PDF format. submitted in PDF format. All attachments must be provided to the agency in PDF format with a .pdf extension. Help with PDF attachments can be found at http://grants.nih.gov/qrants/ElectronieReceipt/pdf q uidelines.htm." All attachments must comply with the following formatting requirements: The (attachment) attachment was empty. PDF PDF attachments cannot be empty (0 bytes). attachments cannot be empty, password protected or encrypted. The <attachment> attachment contained formatting All PDF attachments cannot have Meta data or features not currently supported by NIH: missing, cannot be encrypted, password <condition returned>. protected or secured documents. Filename <file> cannot be larger than U.S. The size of PDF attachments cannot be larger standard letter paper size of 8.5 x 11 inches. See than 8.5 x 11 inches (horizontally or vertically). the PDF guidelines at [Note: It is recommended that you limit the size httP:Hgrants.nih.gov/qrants/ElectronicReceipt/pdf q uidelines.htm for additional information. of attachments to 35 MBJ PDF attachments must have a valid file name. The <attachment> attachment filename is invalid. Valid file names must include the following Valid filenames may only include the following UTF-8 characters: A-Z, a-z, 0-9, underscore characters: A-Z, a-z, 0-9, underscore ( _ ), hyphen hyphen (-), space, period. (-), space, or period. No special characters (including brackets) can be part of the filename. The email addresses for the Contact Person (SF-424 Section F) and the Authorized Representative (SF-424 below Section 21) must contain a '@', with at least 1 and at most 64 chars preceding and following the '@'. Control characters (ASCII 0 through 31 and 127), spaces and special chars < > Congressional district code of applicant (after truncating) must be valid. (SF-424, item 16 a and b) Budget Errors SF424-A: Section A — Budget Summary The total fields at the end of rows or at the bottom of columns must equal the sum of the elements for that row or column SF424-A: Section B — Budget Categories The Total in Section B (Column 5 - Row k) must equal the Total in Section A — Budget Summary: (Row 5, Column g). SF424-A: Section D — Forecasted Cash Needs The Federal Total for the 1 st Year (Line 13) must equal the Total in Section A (Row 5, Column g) The Non -Federal Total for 1st Year sum must equal Estimated Unobligated Funds Non - Federal Totals in Section A (d-5) + New or Revised Budget Non -Federal Totals (f-5) The Total for 1 st Year TOTAL in Section D must equal the Totals Total (Column 5, Row G) in Section A cF\A L1 I %J1 mu npayc The submitted e-mail address for the person to be contacted {email address), is invalid. Must contain a '@', with at least 1 and at most 64 chars preceding and following the '@'. Control characters (ASCII 0 through 31 and 127), spaces and special chars < > ( ) [ ] \ , ; : are not valid. Congressional district <Congressional District> is invalid. To locate your district, visit http://www.house.gov/ Ensure that the sum of Grant Program Function or Activity (a) elements entered equals the total amounts in the Total field Ensure that the TOTALS Total (row k, column 5) equals the Budget Summary Totals in section A, row 5 column g. Ensure that the Federal Total for 1st year, in Section D- Forecasted Needs equals the Section A, New or Revised Budget Federal Totals (e-5) amount. Ensure that the Non -Federal Total for 1st year equals the sum of Estimated Unobligated Funds Non -Federal Totals (d-5) and New or Revised Budget Non -Federal Totals (f-5) on Section A. Ensure that the Forecasted Cash Needs: 15. TOTAL equals to SECTION A — Budget Summary: 5.Totals Total (g). 37 eRA Validations eRA Error Message SF424-A: Section E — Budget Estimates Of Federal Funds Needed For Balance of The rp olect Ensure that the project period years on the SF 424 block 17 matches the provided budget periods in The number of budget years/periods must the SF-424A. Enter data for the first budget period match the span of the project. The number of in Section D and enter future budget periods in years in the project period in Block 17 on the Section E. SF-424 must align with the future funding periods. 38 Appendix C — Confidentiality and SAMHSA Participant Protection/Human Subjects Guidelines Confidentiality and Participant Protection: It is important to have safeguards protecting individuals from risks associated with their participation in SAMHSA projects. All applicants (including those who plan to obtain Institutional Review Board (IRB) approval) must address the elements below. If some elements are not applicable to the proposed project, explain why the element(s) is not applicable. In addition to addressing these elements, you will need to determine if the section below titled "Protection of Human Subjects Regulations" applies to your project. If so, you must submit the required documentation as described below. There are no page limits for this section. 1. Protect Clients and Staff from Potential Risks • Identify and describe the foreseeable physical, medical, psychological, social and legal risks or potential adverse effects participants may be exposed to as a result of the project. • Identify and describe the foreseeable physical, medical, psychological, social and legal risks or potential adverse effects staff may be exposed to as a result, of the project. • Describe the procedures you will follow to minimize or protect participants and staff against potential risks, including risks to confidentiality. • Identify your plan to provide guidance and assistance in the event there are adverse effects to participants and staff. 2. Fair Selection of Participants • Explain how you will recruit and select participants. • Identify any individuals in the geographic catchment area where services will be delivered who will be excluded from participating in the project and explain the reasons for this exclusion. 3. Absence of Coercion • If you plan to compensate participants, state how participants will be awarded incentives (e.g., gift cards, bus passes, gifts, etc.) If you have included funding for incentives in your budget, you must address this item. (A recipient or treatment or prevention provider may provide up to $30 non -cash incentive to 39 individuals to participate in required data collection follow up. This amount may be paid for participation in each required follow-up interview.) • Provide justification that the use of incentives is appropriate, judicious and conservative and that incentives do not provide an "undue inducement" that removes the voluntary nature of participation. • Describe how you will inform participants that they may receive services even if they chose to not participate in or complete the data collection component of the project. 4. Data Collection • Identify from whom you will collect data (e.g., from participants themselves, family members, teachers, others). • Describe the data collection procedures and specify the sources for obtaining data (e.g., school records, interviews, psychological assessments, questionnaires, observation or other sources). Identify what type of specimens (e.g., urine, blood) will be used, if any. State if the specimens will be used for purposes other than evaluation. In Attachment 2, "Data Collection Instruments/Interview Protocols," you must provide copies of all available data collection instruments and interview protocols that you plan to use (unless you are providing the web link to the instruments)/protocol(s)). 5. Privacy and Confidentiality Explain how you will ensure privacy and confidentiality. Describe: o Where data will be stored. o Who will have access to the data collected. o How the identity of participants will be kept private, for example, through the use of a coding system on data records, limiting access to records, or storing identifiers separately from data. NOTE: Recipients must maintain the confidentiality of alcohol and drug abuse client records according to the provisions of Title 42 of the Code of Federal Regulations, Part Il. 6. Adequate Consent Procedures • Include, as appropriate, sample consent forms that provide for: (1) informed consent for participation in service intervention; (2) informed consent for participation in the data collection component of the project; and (3) informed consent for the exchange (releasing or requesting) of confidential information. The sample forms must be included in Attachment 3, "Sample Consent Forms", of your application. If needed, give English translations. • Explain how you will obtain consent for youth, the elderly, people with limited reading skills, and people who do not use English as their first language. Describe how the consent will be documented. For example: Will you read the consent forms? Will you ask prospective participants questions to be sure they understand the forms? Will you give them copies of what they sign? NOTE: Never imply that the participant waives or appears to waive any legal rights, may not end involvement with the project, or releases your project or its agents from liability for negligence. 7. Risk/Benefit Discussion • Discuss why the risks you have identified in element 1. (Protect Clients and Staff from Potential Risks) are reasonable compared to the anticipated benefits to participants involved in the project. Protection of Human Subjects Regulations SAMHSA expects that most recipients funded under this announcement will not have to comply with the Protection of Human Subjects Regulations (45 CFR 46), which requires Institutional Review Board (IRB) approval. However, in some instances, the applicant's proposed project may meet the regulation's criteria for research involving human subjects. Although IRB approval is not required at the time of award, you are required to provide the documentation below prior to enrolling participants into your project. In addition to the elements above, applicants whose projects must comply with the Human Subjects Regulations must: • Describe the process for obtaining IRB approval for your project. • Provide documentation that an Assurance of Compliance is on file with the Office for Human Research Protections (OHRP). • Provide documentation that IRB approval has been obtained for your project prior to enrolling participants. General information about Human Subjects Regulations can be obtained through OHRP at http://www.hhs.gov/ohrp or (240) 453-6900. SAMHSA—specific questions should be directed to the program contact listed in Section VII of this announcement. 41 Appendix D — Developing Goals and Measurable Objectives To be able to effectively evaluate your project, it is critical that you develop realistic goals and measurable objectives. This appendix provides information on developing goals and objectives. It also provides examples of well -written goals and measurable objectives. GOALS Definition - a goal is a broad statement about the long-term expectation of what should happen as a result of your program (the desired result). It serves as the foundation for developing your program objectives. Goals should align with the statement of need that is described. Goals should only be one sentence. The characteristics of effective goals include: • Goals address outcomes, not how outcomes will be achieved; • Goals describe the behavior or condition in the community expected to change; • Goals describe who will be affected by the project; • Goals lead clearly to one or more measurable results; and • Goals are concise. Examples Unclear Goal Critique Improved Goal Increase the substance abuse and This goal could be Increase the capacity of the local HIV/AIDS prevention capacity of the local improved by specifying school district to reduce high -risk school district an expected program behaviors of students that may effect in reducing a contribute to substance abuse and/or health problem HIV/AIDS Decrease the prevalence of marijuana, This goal is not concise Decrease youth substance use in the alcohol, and prescription drug use among community by implementing evidence - youth in the community by increasing the based programs within the school number of schools that implement district that address behaviors that may effective policies, environmental change, lead to the initiation of use. intensive training of teachers, and educational approaches to address high - risk behaviors, peer pressure, and tobacco use. OBJECTIVES 42 Definition — Objectives describe the results to be achieved and the manner in which they will be achieved. Multiple objectives are generally needed to address a single goal. Well -written objectives help set program priorities and targets for progress and accountability. It is recommended that you avoid verbs that may have vague meanings to describe the intended outcomes, like "understand" or "know" because it may prove difficult to measure them. Instead, use verbs that document action, such as: "By the end of 2019, 75% of program participants will be placed in permanent housing." In order to be effective, objectives should be clear and leave no room for interpretation. SMART is a helpful acronym for developing objectives that are specific, measurable, achievable, realistic, and time -bound: Specific — Includes the "who" and "what" of program activities. Use only one action verb to avoid issues with measuring success. For example, "Outreach workers will administer the HIV risk assessment tool to at least 100 injection drug users in the population of focus" is a more specific objective than "Outreach workers will use their skills to reach out to drug users on the street." Measurable — How much change is expected. It must be possible to count or otherwise quantify an activity or its results. It also means that the source of and mechanism for collecting measurement data can be identified and that collection of the data is feasible for your program. A baseline measurement is required to document change (e.g., to measure the percentage of increase or decrease). If you plan to use a specific measurement instrument, it is recommended that you incorporate its use into the objective. Example: By 9/18 increase by 10% the number of 8th, 9th and 10th grade students who disapprove of marijuana use as measured by the annual school youth survey. Achievable — Objectives should be attainable within a given time frame and with available program resources. For example, "The new part-time nutritionist will meet with seven teenage mothers each week to design a complete dietary plan" is a more achievable objective than "Teenage mothers will learn about proper nutrition." Realistic — Objectives should be within the scope of the project and propose reasonable programmatic steps that can be implemented within a specific time frame. For example, "Two ex -gang members will make one school presentation each week for two months to raise community awareness about the presence of gangs" is a more realistic objective than "Gang -related violence in the community will be eliminated." Time -bound— Provide a time frame indicating when the objective will be measured or a time by when the objective will be met. For example, "Five new peer educators will be recruited by the second quarter of the first funding year" is a better objective than "New peer educators will be hired." W Examples: Non -SMART Objective Critique SMART Objective Teachers will be trained on The objective is not SMART By June 1, 2019, LEA supervisory the selected evidence -based because it is not specific, staff will have trained 75% of health substance abuse prevention measurable, or time -bound. It can education teachers in the local curriculum. be made SMART by specifically school district on the selected, indicating who is responsible for evidence -based substance abuse training the teachers, how many prevention curriculum. will be trained, who they are, and by when the trainings will be conducted. 90% of youth will participate This objective is not SMART By the end of the 2019 school year, in classes on assertive because it is not specific or time- district health educators will have communication skills. bound. It can be made SMART by conducted classes on assertive indicating who will conduct the communication skills for 90% of youth activity, by when, and who will in the middle school receiving the participate in the lessons on substance abuse and HIV assertive communication skills. prevention curriculum. Train individuals in the This objective is not SMART as it By the end of year two of the community on the prevention is not specific, measurable or time- project, the Health Department will of prescription drug/opioid bound. It can be made SMART by have trained 75% of EMS staff in the overdose -related deaths. specifically indicating who is County Government on the selected responsible for the training, how curriculum addressing the prevention many people will be trained, who of prescription drug/opioid overdose - they are, and by when the training related deaths. will be conducted. Appendix E — Developing the Plan for Data Collection, Performance Assessment, and Quality Improvement Information in this Appendix should be taken into consideration when developing a response to the criteria in Section D. Data Collection: In describing your plan for data collection, consider addressing the following points: • The electronic data collection software that will be used; • How often data will be collected; • The organizational processes that will be implemented to ensure the accurate and timely collection and input of data; • The staff that will be responsible for collecting and recording the data; • The data source/data collection instruments that will be used to collect the data; • How well the data collection methods will take into consideration the language, norms and values of the population(s) of focus; • How will the data be kept secure; • If applicable, how will the data collection procedures ensure that confidentiality is protected and that informed consent is obtained; and • If applicable, how data will be collected from partners, sub-awardees. It is not necessary to provide information related to data collection and performance measurement in a table but the following samples may give you some ideas about how to display the information. Table 1 provides an example of how information for the required performance measures could be displayed. Table 1 45 Performance Measures Data Source Data Collection Frequency Responsible Staff for Data Collection Method of Data Analysis Table 2 provides an example of how information could be displayed for the data that wui be collected to measure the objectives that are included in B.1 Table 2 Objective Data Source Data Collection Frequency Responsible Staff for Data Collection Method of Data Analysis Objective 1.a Objective 1.b Data Management, Tracking, Analysis, and Reporting: Points to consider: Data management: How data will be protected, including information about who will have access to data; How will data be stored. Data tracking: • The staff member who will be responsible for tracking the performance measures and measurable objectives. Data analysis: • Who will be responsible for conducting the data analysis, including the role of the Evaluator; • What data analysis methods will be used. Data reporting: • Who will be responsible for completing the reports; • How will the data be reported to staff, stakeholders, SAMHSA, Advisory Board, and other relevant project partners. Performance Assessment: Points to consider: • Information on how frequently performance data will be reviewed; • How you will use this data to monitor and evaluate activities and processes and to assess the progress that has been made achieving the goals and objectives; and • Who will be responsible for conducting the performance assessment. Quality Improvement: Points to consider: • If applicable, the QI model that will be used; • How will the QI process be used to track progress; • The staff members who will be responsible for overseeing these processes; • How you will implement any needed changes in project implementation and/or project management; o What decision -making processes will be used; o When and by whom will decisions be made concerning project improvement; o What are the thresholds for determining that changes need to be made; 47 Will the Advisory Board have a role in the QI process; and How will the changes be communicated to staff and/or partners/sub-awardees. Appendix F — Biographical Sketches and Position Descriptions Include position descriptions for the Project Director and all key personnel. Position descriptions should be no longer than one page each. For staff members, who have been identified, include a biographical sketch for the Project Director and other key positions. Each sketch should be two pages or less. Biographical Sketch Existing curricula vitae of project staff members may be used if they are updated and contain all items of information requested below. You may add any information items listed below to complete existing documents. For development of new curricula vitae include items below in the most suitable format: 1. Name of staff member 2. Educational background: school(s), location, dates attended, degrees earned (specify year), major field of study 3. Professional experience 4. Honors received and dates 5. Recent relevant publications Position Description 1. Title of position 2. Description of duties and responsibilities 3. Qualifications for position 4. Supervisory relationships 5. Skills and knowledge required 6. Amount of travel and any other special conditions or requirements 7. Salary range 8. Hours per day or week EEO Appendix G — Addressing Behavioral Health Disparities SAMHSA expects recipients to utilize their data to: (1) identify the number of individuals to be served during the grant period and identify subpopulations (i.e., racial, ethnic, sexual, and gender minority groups) vulnerable to behavioral health disparities; (2) implement a quality improvement plan for the use of program data on access, use, and outcomes to support efforts to decrease the differences in access to, use, and outcomes of service activities; and (3) identify methods for the development of policies and procedures to ensure adherence to the National Standards for Culturally and Linguistically Appropriate Services (CLAS) in Health and Health Care. Definition of Health Disparities: Healthy People 2020 defines a health disparity as a "particular type of health difference that is closely linked with social, economic, and/or environmental disadvantage. Health disparities adversely affect groups of people who have systematically experienced greater obstacles to health based on their racial or ethnic group; religion; socioeconomic status; gender; age; mental health; cognitive, sensory, or physical disability; sexual orientation or gender identity; geographic location; or other characteristics historically linked to discrimination or exclusion." Subpopulations SAMHSA grant applicants are routinely asked to define the population they intend to serve given the focus of a particular grant program (e.g., adults with serious mental illness [SMI] at risk for chronic health conditions; young adults engaged in underage drinking; populations at risk for contracting HIV/AIDS, etc.). Within these populations of focus are subpopulations that may have disparate access to, use of, or outcomes from provided services. These disparities may be the result of differences in language, beliefs, norms, values, and/or socioeconomic factors specific to that subpopulation. For instance, Latino adults with SMI may be at heightened risk for metabolic disorder due to lack of appropriate in -language primary care services; Native American youth may have an increased incidence of underage drinking due to coping patterns related to historical trauma within the Native American community; and African American women may be at greater risk for contracting HIV/AIDS due to lack of access to education on risky sexual behaviors in urban low-income communities. While these factors might not be pervasive among the general population served by a recipient, they may be predominant among subpopulations or groups vulnerable to disparities. It is imperative that recipients understand who is being served within their community in order to provide care that will yield positive outcomes, per the focus of that grant. In order for organizations to attend to the potentially disparate impact of their grant efforts, recipients are asked to address access, use and outcomes for subpopulations, which can be defined by the following factors: 50 • By race • By ethnicity • By gender (including transgender populations) • By sexual orientation (including lesbian, gay and bisexual populations) The ability to address the quality of care provided to subpopulations served within SAMHSA's grant programs is enhanced by programmatic alignment with the federal CLAS standards. National Standards for Culturally and Linguistically Appropriate Services (CLAS) in Health and Health Care The National CLAS standards were initially published in the Federal Register on December 22, 2000. Culturally and linguistically appropriate health care and services, broadly defined as care and services that are respectful of and responsive to the cultural and linguistic needs of all individuals, is increasingly seen as essential to reducing disparities and improving health care quality. The National CLAS Standards have served as catalyst and conduit for the evolution of the field of cultural and linguistic competency over the course of the last 12 years. In recognition of these changes in the field, the HHS Office of Minority Health undertook the National CLAS Standards Enhancement Initiative from 2010 to 2012. The enhanced National CLAS Standards seek to set a new bar in improving the quality of health to our nation's ever diversifying communities. Enhancements to the National CLAS Standards include the broadening of the definitions of health and culture, as well as an increased focus on institutional governance and leadership. The enhanced National Standards for Culturally and Linguistically Appropriate Services in Health and Health Care are comprised of 15 Standards that provide a blueprint for health and health care organizations to implement culturally and linguistically appropriate services that will advance health equity, improve quality, and help eliminate health care disparities. You can learn more about the CLAS mandates, guidelines, and recommendations at: http://www.ThinkCulturalHealth.hhs.gov. Examples of a Behavioral Health Disparity Impact Statement are available on the SAMHSA website at http://www.samhsa.gov/grants/grants-management/disparity- impact-statement. 51 Appendix H — Standard Funding Restrictions HHS codified the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for HHS Awards, 45 CFR Part 75. In Subpart E, cost principles are described and allowable and unallowable expenditures for HHS recipients are delineated. 45 CFR Part 75 is available at http://www.samhsa.goy/grants/grants- management/policies-requlations/requirements-principles. Unless superseded by program statute or regulation, follow the cost principles in 45 CFR Part 75 and the standard funding restrictions below. You may also reference the SAMHSA site for grantee guidelines on financial management requirements at https://www.samhsa.gov/qrants/grants- management/policies-requlations/financial-management-requirements. SAMHSA grant funds may not be used to: Directly or indirectly, purchase, prescribe, or provide marijuana or treatment using marijuana. Treatment in this context includes the treatment of opioid use disorder. Grant funds also cannot be provided to any individual who or organization that provides or permits marijuana use for the purposes of treating substance use or mental disorders. See, e.g., 45 C.F.R. § 75.300(a) (requiring HHS to "ensure that Federal funding is expended ... in full accordance with U.S. statutory ... requirements."); 21 U.S.C. §§ 812(c)(10) and 841 (prohibiting the possession, manufacture, sale, purchase or distribution of marijuana). This prohibition does not apply to those providing such treatment in the context of clinical research permitted by the DEA and under an FDA -approved investigational new drug application where the article being evaluated is marijuana or a constituent thereof that is otherwise a banned controlled substance under federal law. Pay for promotional items including, but not limited to, clothing and commemorative items such as pens, mugs/cups, folders/folios, lanyards, and conference bags. • Pay for the purchase or construction of any building or structure to house any part of the program. (Applicants may request up to $75,000 for renovations and alterations of existing facilities, if necessary and appropriate to the project.) • Provide residential or outpatient treatment services when the facility has not yet been acquired, sited, approved, and met all requirements for human habitation and services provision. (Expansion or enhancement of existing residential services is permissible.) 52 Provide inpatient treatment or hospital -based detoxification services. Residential services are not considered to be inpatient or hospital -based services. • Make direct payments to individuals to enter treatment or continue to participate in prevention or treatment services. Note: A recipient or treatment or prevention provider may provide up to $30 non - cash incentive to individuals to participate in required data collection follow up. This amount may be paid for participation in each required follow-up interview. • Meals are generally unallowable unless they are an integral part of a conference grant or specifically stated as an allowable expense in the FOA. Grant funds may be used for light snacks, not to exceed $3.00 per person per day. • Consolidated Appropriations Action, 2017 (Public Law 115-31) Division H, Section 520, notwithstanding any other provision of this Act, no funds appropriated in this Act shall be used to purchase sterile needles or syringes for the hypodermic injection of any illegal drug. Provided, That such limitation does not apply to the use of funds for elements of a program other than making such purchases if the relevant State or local health department, in consultation with the Centers for Disease Control and Prevention, determines that the State or local jurisdiction, as applicable, is experiencing, or is at risk for, a significant increase in hepatitis infections or an HIV outbreak due to injection drug use, and such program is operating in accordance with state and local law. • Pay for pharmaceuticals for HIV antiretroviral therapy, sexually transmitted diseases (STD)/sexually transmitted illnesses (STI), tuberculosis (TB), and hepatitis B and C, or for psychotropic drugs. 53 Appendix I — Intergovernmental Review (E.O. 12372) Requirements States with SPOCs All SAMHSA grant programs are covered under Executive Order (EO) 12372, as implemented through Department of Health and Human Services (DHHS) regulation at 45 CFR Part 100. Under this Order, states may design their own processes for reviewing and commenting on proposed federal assistance under covered programs. Certain jurisdictions have elected to participate in the EO process and have established State Single Points of Contact (SPOCs). Information on the SPOC for participating states can be found at: https://www.whitehouse.gov/wp- content/uploads/2019/02/SPOC-February-2019. pdf You do not need to do this if you are an American Indian/Alaska Native tribe or tribal organization. If your state participates, contact your SPOC as early as possible to alert him/her to the prospective application(s) and to receive any necessary instructions on the state's review process. For proposed projects serving more than one state, you are advised to contact the SPOC of each affiliated state. The SPOC should send any state review process recommendations to the following address within 60 days of the application deadline: Director, Division of Grants Management, Office of Financial Resources, Substance Abuse and Mental Health Services Administration, Room 17E18, 5600 Fishers Lane, Rockville, MD 20857. ATTN: SPOC — Funding Announcement No. SM-20-007. States without SPOCs If your state does not have a SPOC and you are a community -based, non -governmental service provider, you must submit a Public Health System Impact Statement (PHSIS)' to the head(s) of appropriate state and local health agencies in the area(s) to be affected no later than the application deadline. The PHSIS is intended to keep state and local health officials informed of proposed health services grant applications submitted by community -based, non -governmental organizations within their jurisdictions. If you are a state or local government or American Indian/Alaska Native tribe or tribal organization you are not subiect to these requirements. 1 Approved by OMB under control no. 0920-0428; Public reporting burden for the Public Health System Reporting Requirement is estimated to average 10 minutes per response, including the time for copying the first page of SF-424 and the abstract and preparing the letter for mailing. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. The OMB control number for this project is 0920-0428. Send comments regarding this burden to CDC Clearance Officer, 1600 Clifton Road, MS D-24, Atlanta, GA 30333, ATTN: PRA (0920-0428). 54 The PHSIS consists of the following information: A copy of the first page of the application (SF-424); and • A summary of the project, no longer than one page in length that provides: 1) a description of the population to be served; 2) a summary of the services to be provided; and 3) a description of the coordination planned with appropriate state or local health agencies. For SAMHSA grants, the appropriate state agencies are the Single State Agencies (SSAs) for substance abuse and mental health. A listing of the SSAs for substance abuse and the SSAs for mental health can be found on SAMHSA's website at http://www.samhsa.gov/grants/applying/forms-resources. If the proposed project falls within the jurisdiction of more than one state, you should notify all representative SSAs. Review the FOA: Section IV-1, carefully to determine if you must include an attachment with a copy of a letter transmitting the PHSIS to the SSA. The letter must notify the state that, if it wishes to comment on the proposal, its comments should be sent no later than 60 days after the application deadline to the following address: Thomas Graves, Director of Grants Management, Office of Financial Resources, Mental Health Services Administration, Room 17E20, 5600 Fishers Lane, Rockville, MD 20857. ATTN: SSA — Funding Announcement No. SM-20-007. In addition, applicants may request that the SSA send them a copy of any state comments. The applicant must notify the SSA within 30 days of receipt of an award. 55 Appendix J — Administrative and National Policy Requirements If your application is funded, you must comply with all terms and conditions of the NoA. SAMHSA's standard terms and conditions are available on the SAMHSA website at http://www samhsa gov/grants/grants-management/notice-award-noa/standard-terms- conditions. HHS Grants Policy Statement (GPS) If your application is funded, you are subject to the requirements of the HHS Grants Policy Statement (GPS) that are applicable based on recipient type and purpose of award. This includes any requirements in Parts I and 11 of the HHS GPS that apply to the award. The HHS GPS is available at http://www.samhsa.gov/grants/grants- management/policies-regulations/hhs-grants-policy-statement. The general terms and conditions in the HHS GPS will apply as indicated unless there are statutory, regulatory, or award -specific requirements to the contrary (as specified in the NoA). HHS Grant Regulations If your application is funded, you must also comply with the administrative requirements outlined in 45 CFR Part 75. For more information see the SAMHSA website at http://www samhsa gov/grants/grants-management/policies-regulations/requirements- principles. Additional Terms and Conditions Depending on the nature of the specific funding opportunity and/or your proposed project as identified during review, SAMHSA may negotiate additional terms and conditions with you prior to grant award. These may include, for example: o actions required to be in compliance with confidentiality and participant protection/human subjects requirements; o requirements relating to additional data collection and reporting; o requirements relating to participation in a cross -site evaluation; o requirements to address problems identified in review of the application; or revised budget and narrative justification. Performance Goals and Objectives 56 If your application is funded, you will be held accountable for the information provided in the application relating to performance targets. SAMHSA program officials will consider your progress in meeting goals and objectives, as well as your failures and strategies for overcoming them, when making an annual recommendation to continue the grant and the amount of any continuation award. Failure to meet stated goals and objectives may result in suspension or termination of the grant award, or in reduction or withholding of continuation awards. Accessibility Provisions for All Grant Application Packages and Funding Opportunity Announcements Recipients of federal financial assistance (FFA) from HHS must administer their programs in compliance with federal civil rights laws that prohibit discrimination on the basis of race, color, national origin, disability, age and, in some circumstances, religion, conscience, and sex. This includes ensuring programs are accessible to persons with limited English proficiency. The HHS Office for Civil Rights provides guidance on complying with civil rights laws enforced by HHS. Please see https://www.hhs.gov/civil- rights/for-providers/provider-obligations/index.html and http://www.hhs.gov/ocr/civilrights/understanding/sectionl 557/index.htmi. • Recipients of FFA must ensure that their programs are accessible to persons with limited English proficiency. HHS provides guidance to recipients of FFA on meeting their legal obligation to take reasonable steps to provide meaningful access to their programs by persons with limited English proficiency. Please see https://www.hhs.gov/civil-rights/for-individuals/special- topics/limited-english-proficiency/fact-sheet-guidance/index.html and https://www.lep.gov. For further guidance on providing culturally and linguistically appropriate services, recipients should review the National Standards for Culturally and Linguistically Appropriate Services in Health and Health Care at https://minorityhealth.hhs.qov/omh/browse.aspx?lvl=2&Mid=53. • Recipients of FFA also have specific legal obligations for serving qualified individuals with disabilities. Please see http://www hhs gov/ocr/civilrights/understanding/disability/index.html. • HHS funded health and education programs must be administered in an environment free of sexual harassment. Please see https://www.hhs.gov/civil- rights/for-individuals/sex-discrimination/index.html; https://www2.ed.gov/about/offices/list/ocr/docs/shguide.html, and https://www.eeoc.gov/eeoc/publications/upload/fs-sex.pdf. • Recipients of FFA must also administer their programs in compliance with applicable federal religious nondiscrimination laws and applicable federal conscience protection and associated anti -discrimination laws. Collectively, these laws prohibit exclusion, adverse treatment, coercion, or other discrimination against persons or entities on the basis of their consciences, 57 religious beliefs, or moral convictions. Please see https://www.hhs.gov/conscience/conscience-protections/index.html and https://www.hhs.gov/conscience/religious-freedom/index.html. Please contact the HHS Office for Civil Rights for more information about obligations and prohibitions under federal civil rights laws at https://www.hhs.gov/ocr/about- us/contact-us/index.html or call 1-800-368-1019 or TDD 1-800-537-7697. Cultural and Linguistic Competence Recipients of federal financial assistance (FFA) from HHS serve culturally and linguistically diverse communities that are not just defined by race or ethnicity, but also socio-economic status, sexual orientation, gender identity, physical and mental ability, age, and other factors. Organizational behaviors, practices, attitudes, and policies across all SAMHSA-supported entities respect and respond to the cultural diversity of communities, clients and students served. If your application is funded, you must ensure access to quality health care for all. Quality care means access to services, information, and materials delivered by trained providers in a manner that factor in the language needs, health literacy, culture, and diversity of the populations served. Quality also means that data collection instruments used should adhere to culturally and linguistically appropriate norms. For additional information and guidance, refer to the National Standards for Culturally and Linguistically Appropriate Services (CLAS) published by the U.S. Department of Health and Human Services at https://www.thinkcuIturalhealth.hhs.gov/. Additional cultural/linguistic competency and health literacy tools, and resources are available online at http://www.samhsa gov/capt/applying-strategic-prevention/cultural-competence Acknowledgement of Federal Funding As required by HHS appropriations acts, all HHS recipients must acknowledge Federal funding when issuing statements, press releases, requests for proposals, bid invitations, and other documents describing projects or programs funded in whole or in part with Federal funds. Recipients are required to state (1) the percentage and dollar amounts of the total program or project costs financed with Federal funds and (2) the percentage and dollar amount of the total costs financed by nongovernmental sources Supplement Not Supplant Grant funds may be used to supplement existing activities. Grant funds may not be used to supplant current funding of existing activities. "Supplant" is defined as replacing funding of a recipient's existing program with funds from a federal grant. Mandatory Disclosures W A term may be added to the NoA which states: Consistent with 45 CFR 75.113, applicants and recipients must disclose in a timely manner, in writing to the HHS awarding agency, with a copy to the HHS Office of Inspector General (OIG), all information related to violations of federal criminal law involving fraud, bribery, or gratuity violations potentially affecting the federal award. Sub -recipients must disclose, in a timely manner, in writing to the prime recipient (pass through entity) and the HHS OIG, all information related to violations of federal criminal law involving fraud, bribery, or gratuity violations potentially affecting the federal award. Disclosures must be sent in writing to the awarding agency and to the HHS OIG at the following addresses: SAM HSA Attention: Office of Financial Advisory Services 5600 Fishers Lane Rockville, MD 20857 AND U.S. Department of Health and Human Services Office of Inspector General ATTN: Mandatory Grant Disclosures, Intake Coordinator 330 Independence Avenue, SW, Cohen Building Room 5527 Washington, DC 20201 Fax: (202) 205-0604 (Include "Mandatory Grant Disclosures" in subject line) or email: MandatoryGranteeDisclosures(a-oig.hhs.gov Failure to make required disclosures can result in any of the remedies described in 45 CFR 75.371 Remedies for noncompliance; including suspension or debarment (See 2 CFR parts 180 & 376 and 31 U.S.C. 3321)." System for Award Management (SAM) Reporting A term may be added to the NoA that states: "In accordance with the regulatory requirements provided at 45 CFR 75.113 and Appendix XII to 45 CFR Part 75, recipients that have currently active federal grants, cooperative agreements, and procurement contracts with cumulative total value greater than $10,000,000, must report and maintain information in the System for Award Management (SAM) about civil, criminal, and administrative proceedings in connection with the award or performance of a federal award that reached final disposition within the most recent five-year period. The recipient also must make semiannual disclosures regarding such proceedings. Proceedings information will be made publicly available in the designated integrity and performance system (currently the Federal Awardee Performance and 59 Integrity Information System (FAPIIS)). Full reporting requirements and procedures are found in Appendix XII to 45 CFR Part 75." Drug -Free Workplace A term may be added to the NoA that states: "You as the recipient must comply with drug -free workplace requirements in Subpart B (or Subpart C, if the recipient is an individual) of part 382, which adopts the Government -wide implementation (2 CFR part 182) of section 5152-5158 of the Drug -Free Workplace Act of 1988 (Pub. L. 100-690, Title V, Subtitle D; 41 U.S.C. 701-707)." Smoke -Free Workplace The Public Health Service strongly encourages all award recipients to provide a smoke - free workplace and to promote the non-use of all tobacco products. Further, Public Law (P.L.) 103-227, the Pro -Children Act of 1994, prohibits smoking in certain facilities (or in some cases, any portion of a facility) in which regular or routine education, library, day care, health care or early childhood development services are provided to children. Standards for Financial Management Recipients are required to meet the standards and requirements for financial management systems set forth in 45 CFR part 75. The financial systems must enable the recipient to maintain records that adequately identify the sources of funds for federally assisted activities and the purposes for which the award was used, including authorizations, obligations, unobligated balances, assets, liabilities, outlays or expenditures, and any program income. The system must also enable the recipient to compare actual expenditures or outlays with the approved budget for the award. SAMHSA funds must retain their award -specific identity - they may not be commingled with state funds or other federal funds. ["Commingling funds" typically means depositing or recording funds in a general account without the ability to identify each specific source of funds for any expenditure.] Common mistakes related to comingling are outlined below: • Commingling of Cost Centers. Every business activity constitutes a cost center. Examples of cost centers include: a federal grant, a state grant, a private grant, matching costs for a specific grant, a self -funded project, fundraising activities, membership activities, lines of business, unallowable costs, indirect costs, etc. Recipients must establish a unique account(s) in the accounting system to capture and accumulate expenditures of each cost center, apart from other cost centers. • Commingling of Cost Categories. Recipients must avoid budget fluctuations that violate programmatic restrictions. They must also avoid applying indirect cost .E rates to prohibited cost categories, such as equipment, participant support costs and subcontracts/subawards in excess of $25,000. As a result, recipients must establish unique object codes in the accounting system to capture and accumulate costs by budget category (i.e., salaries, fringe benefits, consultants, travel, participant support costs, subcontracts, etc.). Commingling of Time Worked and Not Worked. Recipients may not directly charge a grant for employees' time not spent working on the grant. Therefore, Paid Time Off (PTO), such as vacation, holiday, sick and other paid leave, is not recoverable directly from grants, but rather must be allocated to all grants, projects and cost centers over an entire cost accounting period through either an indirect cost or fringe benefit rate. • Unsupported Labor Costs. To support charges for direct and indirect salaries and wages, recipients maintaining hourly timesheets must ensure that timesheets encompass all hours worked and not worked on a daily basis. The timesheet should identify the: (a) grant, project or cost center being worked on; (b) number of hours worked on each; (c) description of work performed; and (d) Paid Time Off (PTO) hours. The total hours recorded each day should coincide with an individual's employment status in accordance with established policy (i.e., full-time employees work 8 hours each day, etc.). Inconsistent Treatment of Costs. Recipients must treat costs consistently across all federal and non-federal grants, projects and cost centers. For example, recipients may not direct -charge federal grants for costs typically considered indirect in nature, unless done consistently. Examples of indirect costs include: administrative salaries, rent, accounting fees, utilities, etc. Additionally, in most cases, the cost to develop an accounting system adequate to justify direct - charging of the aforementioned items outweighs the benefits. As a result, use of an indirect cost rate is the most effective mechanism to recover these costs and not violate federal financial requirements of consistency, allocability and allowability. See the appendix titled "Sample Budget and Justification," for additional indirect cost guidance. Trafficking in Persons Awards issued by SAMHSA are subject to the requirements of Section 106(g) of the Trafficking Victims Protection Act of 2000, as amended (22 U.S.C. 7104). For the full text of the award term, go to http://www.samhsa.gov/grants/grants-management/notice- award-noa/standard-terms-conditions. NOTE: The signature of the AOR on the application serves as the required certification of compliance for your organization regarding the administrative and national policy requirements. 61 Publications Recipients are required to notify the Government Project Officer (GPO) and SAMHSA's Publications Clearance Officer (240-276-2130) of any materials based on the SAMHSA- funded grant project that are accepted for publication. In addition, SAMHSA requests that recipients: • Provide the GPO and SAMHSA Publications Clearance Officer with advance copies of publications • Include acknowledgment of the SAMHSA grant program as the source of funding for the project. • Include a disclaimer stating that the views and opinions contained in the publication do not necessarily reflect those of SAMHSA or the U.S. Department of Health and Human Services, and should not be construed as such. SAMHSA reserves the right to issue a press release about any publication deemed by SAMHSA to contain information of program or policy significance to the substance abuse treatment/substance abuse prevention/mental health services community. 62 Appendix K — Sample Budget and Justification All applications must have a detailed budget justification and narrative that explains the federal and the non-federal expenditures broken out by the object class cost categories listed on SF-424A - Section B (Budget Category) for non -construction awards. • The budget narrative must match the costs identified on the SF-424A form and the total costs on the SF-424. • The Budget Narrative and justification must be consistent with and support the Project Narrative. • The Budget Narrative and justification must be concrete and specific. It must provide a justification for the basis of each proposed cost in the budget and how that cost was calculated. Examples to consider when justifying the basis of your estimates can be ongoing activities, market rates, quotations received from vendors, or historical records. The proposed costs must be reasonable, allowable, allocable, and necessary for the supported activity. Refer to the program specific Funding Restrictions/Limitations and the Standard Funding Restrictions in the FOA, as well as to 45 CFR Part 75 (https://www.ecfr.gov/cgi- bin/text-idx?node=pt45.1.75, for applicable administrative requirements and cost principles. A SAMPLE BUDGET AND NARRATIVE JUSTIFICATION ARE PROVIDED AS WELL AS INSTRUCTIONS FOR COMPLETING THE SF-424A. YOU ARE STRONGLY ENCOURAGED TO USE THE SAMPLE BUDGET NARRATIVE STRUCTURE AS APPLICABLE. A SAMPLE OF A COMPLETED SF-424A IS PROVIDED AT THE END OF THIS APPENDIX. A. Personnel Provide the following information for the budget narrative and justification: Position - Provide the title of the position and an explanation of the roles and responsibilities of the position as it relates to the objectives of the award supported project. a. The position must be relevant and allowable under the project. b. The salaries of facilities and administrative (F&A) administrative and clerical staff are normally treated as indirect costs (45 CFR §75.413c). Direct charging of these costs may be appropriate only if all of the following conditions are met: i. administrative/clerical services are directly integral to a project or activity; ii. individuals involved can be specifically identified with the project or activity; and iii. the costs are not also claimed as indirect costs. 63 2. Name - The name of the individual to serve in the position. If the position is vacant, identify the anticipated hire date. a. If the position is being performed by someone other than a full-time, part-time, or temporary employee of the applicant organization (e.g., consultant or contractor), the grant -supported position should be listed under the contracts category. 3. Key Personnel - Identify if the position is key personnel required by the FOA: a. Key staff positions require prior approval by SAMHSA after review of credentials and job descriptions. 4. Salary/Rate - The estimated annual salary or rate. If providing a rate, specify the time basis (e.g., hourly, weekly). a. Salaries should be comparable to those within your organization. b. If the position is not being charged to the Federal award, but the individual is working on the project identify the salary/rate as an "in -kind" cost. 5. Level of Effort (LOE) - The level of effort (percentage of time) that the position contributes to the project. a. Personnel cannot exceed 100% of their time on all active projects (including other Federal awards). b. You should ensure the cost of living increase is built into the budget and justified. 6. Total Salary - The total salary/amount each position is paid based on their contribution to the project. a. If the position is not being charged to the Federal award, identify the cost as $0. The key staff positions identified in Section 1-2 must be included in the Personnel section and/or the Contractual Section (F). In addition, the Project Director must be the same as the Project Director listed on the HHS Checklist. FEDERAL REQUEST - Sample Personnel Narrative Total Salary Annual Level of Charge to Position Name Key Salary/Rate Effort Award (1) (2) Staff(3) (4) (5) (6) (1) Project Director Alice Doe Yes $64,890 10% $6,489 Total Salary Annual Level of Charge to Position Name Key Salary/Rate Effort Award (1) (2) Staff (3) (4) (5) (6) Vacant, to be hired within 60 $46,276 100% $46,276 (2) Program Coordinator days of No anticipated award date (3) Clinical Director Jane Doe No In -kind cost 20% 0 FEDERAL REQUEST (enter in Section B column 1, line 6a of SF-424A) $52,765 FEDERAL REQUEST — Sample Justification for Personnel 1. The Project Director will provide daily oversight of the grant. This position is responsible for overseeing the implementation of the project activities, internal and external coordination, developing materials, and conducting meetings. 2. The Program Coordinator will coordinate project service and activities, including training, communication and information dissemination. B. Fringe Benefits Fringe benefits are allowances and services provided to employees as compensation in addition to regular salaries and wages. Fringe benefits charged to an award must comply with HHS regulations at 45 CFR §75.431 (https://www.ecfr.gov/cgi-bin/text- idx?node=pt45.1.75). Provide the following information for the narrative and justification: 1. Position — The title of the position being charged to the award to which the fringe rate is being applied. 2. Name — The name of the individual associated with the position (note if the position is vacant.) 3. Rate — The total fringe benefit rate used and a clear description of how the computation of fringe benefits was done. a. The justification must detail the elements that comprise the fringe benefits, e.g., FICA, worker's compensation. If a fringe benefit rate is not used, you should explain how the fringe benefits were computed for each position. 4. Total Salary Charged to Award — Use the amount provided under section A. Personnel (6). 65 5. Total Fringe Charged to Award — Provide total fringe amount based on the rate applied to the total salary charted to the award. a. Fringe benefits charged to the award can only reflect the percentage of time devoted to the project. b. Do not combine the fringe benefit costs with direct salaries and wages in the personnel category. FEDERAL REQUEST - Sample Fringe Benefits Narrative Total Salary Total Fringe Charged to Charged to Award Award Position Name Rate (4) (5) (1) (2) (3) Project Director Alice Doe 29.65% $6,489 $1,924 Program Vacant, to be hired $46,276 Coordinator within 60 days of 29.65% $13,720 anticipated award date. FEDERAL REQUEST (enter in Section S column 1, line 6b of SF-424A) $15,644 FEDERAL REQUEST— Sample Justification for Fringe Benefits XYZ organization's Fringe benefits are comprised of: Fringe Category Rate Retirement 10% FICA 7.65% Insurance 6% Social Security 6% Total 29.65% The fringe benefit rate for full-time employees for years one and two is calculated at 29.65%. For years three, four, and five it is anticipated to increase to 31 %. C. Travel Travel costs charged to an award must comply with HHS regulations at 45 CFR §75.474. If your organization does not have documented travel policies, the federal GSA rates must be used (https://www.gsa.gov/portal/category/26429). If specific travel details are unknown, the basis for proposed costs should be explained (e.g., historical information). Funds requested in the travel category should be only for project staff. Travel for consultants and contractors should be shown in the "Contract" cost category along with consultant/contractor fees. Because these costs are associated with contract -related work, they must be billed under the "Contract" cost category. Travel for training participants, advisory committees, and review panels should be itemized the same way as in this section but listed in the "Other" cost category. Provide the following information for the narrative and justification: 1. Purpose — Briefly note the purpose of the travel, e.g., regional conference, training, site visit. a. The justification must identify the need for the travel if the travel is not specifically required by the FOA. b. The narrative description should include the purpose, why it is necessary and directly relates to the scope of work, number of trips planned, staff that will be making the trip, and approximate dates. 2. Location — specify the start and end locations of the trip 3. Item — specify the costs associated with travel, e.g., mode of transportation accommodations, per diem. 4. Rate Calculation — specify the basis for the travel costs. a. For mileage, specify the number of miles and the cost per mile. For air transportation, specify the cost. For per diem, specify the number of days and daily cost. For lodging, specify the number of nights and daily cost. b. Costs for contingencies and miscellaneous costs are not allowable. 5. Travel Cost Charged to Award — provide the total cost of the travel to be charged to the award during the budget period. FEDERAL REQUEST — Sample Travel Narrative Travel Cost Charged to the Purpose Destination Item Calculation Award 1 2 3 4 (5) Mandatory Chicago, IL to Airfare $200/flight x 2 $400 Grantee Washington Meeting D.C. Hotel $180/night x 2 $720 persons x 2 nights M Travel Cost Charged to the Purpose Destination Item Calculation Award 1 2 3 4 (6) Per Diem $46/day x 2 persons $184 (meals and x 2 days incidentals Local Travel Mileage 3,000 miles $1,140 .38/mile FEDERAL REQUEST - (enter in Section B column 1, line 6c of SF-424A $2,444 FEDERAL REQUEST: Sample Justification for Travel 1. Two staff (Project Director and Evaluator) to attend mandatory grantee meeting in Washington, D.C. 2. Local travel is needed to attend local meetings, project activities, and training events. Local travel rate is based on organization's policies/procedures for privately owned vehicle reimbursement rate. D. Equipment Equipment is a single item of tangible, nonexpendable, personal property that has a useful life of more than one year and a value of $5,000 or more (or a cost capitalization threshold established by the applicant organization that is less). For example, an applicant may classify equipment at $1,500 with a useful life of a year. Provide the following information for the narrative and justification: 1. Item(s) — Describe the equipment item(s) being purchased. The justification must relate the use of each item to the scope of work and implementation of specific program objectives. 2. Quantity — Identify the number of items to be purchased. 3. Amount — The total cost of purchase or lease of the equipment. a. The justification should include the basis of how costs were estimated, e.g., fair market value, cost quotes. b. The justification should include a lease versus purchase analysis, or a statement addressing if it is feasible and/or cost effective to lease versus purchase. 4. Percentage Charged to the Award — The percentage of equipment's value to be charged to the award 5. Total Charged to the Award — The total cost of the equipment that will be charged to the award. FEDERAL REQUEST — Sample Equipment Narrative .. Total Cost Charged to Items) -, Quantity Amount ` % Charged to the the Award ;(1) (2) (3) Award (5)' (4) FEDERAL REQUEST — (enter in Section B column 1, line 6d of SF-424A) $0 E. Supplies Supplies are items costing less than $5,000 per unit (federal definition), often having one-time use. Provide the following information for the narrative and justification: 1. Items - list supplies by type, e.g., office supplies, postage, laptop computers. a. The justification must include an explanation of the type of supplies to be purchased and how it relates back to meeting the project objectives. 2. Calculation - describe the basis for the cost, specifically the unit cost of each item, number needed and total amount. 3. Supply Cost Charged to the Award - provide the total cost of the supply items to be charged to the award during the budget period. FEDERAL REQUEST - Sample Supplies Narrative Item(s) Rate Cost General office supplies $50/mo. x 12 mo. $600 Postage $37/mo. x 8 mo. $296 Laptop Computer 1 x $900 $900 Printer 1 x $300 $300 Projector 1 x $900 $900 Copies 8000 copies x .10/copy $800 FEDERAL REQUEST — (enter in Section B column 1, line 6e of SF-424A) $3,796 FEDERAL REQUEST - Sample Justification for Supplies 1. Office supplies, copies and postage are needed for general operation of the project. 2. The laptop computer and printer are needed for both project work and presentations for Project Director. 3. The projector is needed for presentations and workshops. All costs were based on retail values at the time the application was written. F. Contract List the budgets for each sub -award, contract, consultant, or consortium agreement. Please note the differences between sub -awards, contracts, consultants, and consortium agreements: Sub -recipient means a non -Federal entity that receives a sub -award from a pass -through entity to carry out part of a Federal award, including a portion of the scope of work or objectives. Grant recipients are responsible for ensuring that all sub -recipients comply with the terms and conditions of the award, per 45 CFR §75.101. Contracts are a legal instrument by which the grant recipient purchases good and services needed to carry out the project or program under a Federal award. Contracts include vendors (dealer, distributor or other sellers) that provide, for example, supplies, expendable materials, or data processing services in support of the project activities. The grant recipient must have established written procurement policies and procedures that are consistently applied. All procurement transactions shall be conducted in a manner to provide to the maximum extent practical, open and free competition. Per,45 CFR §75.2, when the substance of a contract meets the definition of sub -award, it must be treated as a sub -award. Consortium Agreements are between entities (which may or may not include the grant recipient) working collaboratively on an award supported project. They address the roles, responsibilities, implementation, and rights and responsibilities between entities collaborating on an award. Consultants are individuals retained to provide professional advice or services for a fee. Travel for consultants and contractors should be shown in this category along with consultant/contractor fees. Provide the following information for the narrative and justification: 1. Name — Provide the name of the entity and identify if it is a sub -recipient, contractor, or consultant. 2. Service — Identify the products or services to be obtained. a. As part of the justification provide a summary of the scope of work, the specific tasks to be performed, the necessity of the task for each sub -award or contract as it relates to the Project Narrative. Include the dates/length for 70 the performance period. NOTE: costs that are outside the period of performance of the award cannot be charged to the award. 3. Rate - provide an itemized line item breakdown. a. If applicable, include any indirect costs paid under a sub -award and the indirect cost rate used. Do not incorporate sub -recipient, contract, or consultant indirect costs under the indirect costs line item for the grantee/recipient on the SF-424A and Section J of the budget narrative/justification. 4. Contract Costs Charged to the Award - Provide the total of the sub -recipient, consultant, or contract costs to be charged to the award during the budget period. COSTS FOR CONTRACTS MUST BE BROKEN DOWN IN DETAIL AND A NARRATIVE JUSTIFICATION PROVIDED. IF APPLICABLE, NUMBERS OF CLIENTS SHOULD BE INCLUDED IN THE COSTS. FEDERAL REQUEST - Sample Contracts Narrative Name (1) Service (2) Rate (3) Other Cost (4) (1) State Department of Training $250/individual x 3 5 days $ 750 Human Services staff (2) Treatment Services 1040 $27/client per year $28,080 Clients *Travel at 3,126 @ .50 per mile = $1,563 *Training course $175 1 FTE @ $27,000 *Supplies @ $47.54 x 12 (3) John Smith Treatment Client + Fringe Benefits months or $570 $46,168 (Case Manager) Services of $6,750 = $33,750 *Telephone @ $60 x 12 months = $720 *Indirect costs = $9,390 (negotiated with contractor) 71 Name (1) Service (2) Rate (3) Other Cost (4) (4) Jane Smith Evaluator $40 per hour x 225 hours 12 month period $9,000 Marketing Annual salary of (5) To Be Coordinator $30,000 x 10% $3,000 Announced level of effort FEDERAL REQUEST — (enter in Section B column 1, line 6f of-424A) $86,998 *Represents separate/distinct requested funds by cost category FEDERAL REQUEST — Sample Justification for Contracts 1. Certified trainers are necessary to carry out the purpose of the statewide Consumer Network by providing recovery and wellness training, preparing consumer leaders statewide, and educating the public on mental health recovery. 2. Client treatment services to be provided are based on organizational history of expenses. 3. The Case Manager is vital to providing client services related to the program and leading to successful outcomes. 4. The Evaluator is an experienced individual (Ph.D. level) with expertise in substance abuse, research and evaluation, is knowledgeable about the population of focus, and will be responsible for all data collection and reporting. 5. The Marketing Coordinator will develop a plan for public education and outreach efforts to engage clients in the community about recipient activities; and provide presentations at public meetings and community events to stakeholders, community civic organizations, churches, agencies, family groups and schools. G. Construction Construction or major alternation and renovation are not authorized under this program. Leave this section blank on line 6g of the SF-424A. Such activities are allowable only when program legislation includes specific authority for construction. If requesting consideration of minor alteration and renovation, provide those costs under the "Other" cost category (line 6h of the SF-424A and Section H of the budget narrative/justification). H. Other 72 This category addresses any costs not included in of the other cost categories. Costs that fall under "Other" would include: • Minor alteration and renovation (Minor A & R) o Minor A & R is defined as work that changes the interior arrangement or other physical characteristics of an existing facility or installed equipment so that it can be used more effectively for its currently designed purpose or adapted to an alternative use to meet a programmatic requirement. Alteration and renovation may include work referred to as improvements, conversion, rehabilitation, or remodeling, but is distinguished from new facility construction, facility expansion, or major alterations and renovation where the total Federal and non -Federal costs, excluding moveable equipment (equipment that is not permanently affixed), exceeds $500,000. o No more than $75,000 in Federal funds over the total period of performance may be used to support minor A&R activities, and such requests must be submitted to the GMS for formal prior approval. SAMHSA grant funds cannot be used to support the construction, expansion or major alternation and renovation of facilities. If the proposed project is part of a larger overall project that exceeds $500,000, it may not be artificially segmented to achieve the cost threshold. • Rent • Client incentives • Telephone • Travel for training participants, advisory committees, and review panels • Training activities (except costs for consultant and/or contractual). Provide the following information for the narrative and justification: 1. Item - List items by type of material or nature of expense. In the justification, explain the necessity of each cost for successful implementation and completion of the project. 2. Rate - Break down costs by quantity and cost per unit as applicable. NOTE: Rent costs must be submitted with the following information: • The individual cost items that make up the total cost of the building • The methodology used to allocate the costs to the programs or activities operating in the building • Rent Questions Worksheet httos://www.samhsa.gov/sites/default/files/rentguestionsworksheet.docx • Supporting documentation 3. Costs Charged to the Award - provide the costs charged to the award. FEDERAL REQUEST - Sample Narrative for "Other" 73 Item Rate Cost (1) Rent* $15/sq. ft. x 700 sq. feet $10,500 (2) Telephone $100/mo. x 12 mo. $1,200 (3) Client Incentives $10/client follow-up x 278 clients $2,780 (4) Brochures .89/brochure X 1500 brochures $1,335 FEDERAL REQUEST (enter in Section B column 1, line 6h of SF-424A) $15,815 FEDERAL REQUEST — Sample Justification for Other 1. Costs related to office space are typically included in the indirect cost rate agreement. However, if other rental costs for service site(s) are necessary for the project, they may be requested as a direct charge. The rent is calculated by square footage or FTE and reflects SAMHSA's fair share of the space. *If rent is requested (direct or indirect), provide the name of the owner(s) of the space/facility. Additionally, the lease and floor plan (including common areas) are required for all projects allocating rent costs. 2. The monthly telephone costs reflect the percent of effort for the personnel listed in this application for the SAMHSA project only. 3. The $10 incentive is needed to meet program goals in order to encourage attendance and follow-up with 278 clients. Brochures will be used at various community functions, such as health fairs and exhibits. I. Total Direct Charges FEDERAL REQUEST — TOTAL DIRECT CHARGES - Section B column 1, line 6i $177,462 of SF-424A (The Total Direct Charges will sum automatically on the form) J. Indirect Cost Rate Indirect costs (also referred to as facilities and administrative costs) are costs that cannot be specifically identified with a particular project or program or activity but are necessary to the operations of the organization (i.e., overhead). Facilities operation and maintenance costs, depreciation, and administrative expenses are examples of costs that are usually treated as indirect costs. The organization must not include costs associated with its indirect rate as direct costs. m Indirect costs may be charged to the award if: • The applicant has a Federally approved indirect cost rate • The applicant has never received a negotiated indirect cost rate and elects to charge a de minimis rate of 10 percent of modified total direct costs (MTDC) which can be used indefinitely for all awards until an indirect cost rate is approved. If the de minimis rate is proposed the applicant must clearly state in their justification that they have never received a negotiated IDC rate and are electing to charge a de minimis rate of 10% of modified total direct costs (MTDC). The MTDC indirect cost rate may be applied to: o All direct salaries and wages charged to the award; o Applicable fringe benefits; o Materials and supplies; o Services; o Travel; and o Sub -awards (first $25,000 of each sub -award) The MTDC excludes equipment, capital expenditures, charges for patient care, rental costs, tuition reimbursement, scholarships and fellowships, participant support costs, and the portion of each sub -award in excess of $25,000. • If the FOA is for a training grant or cooperative agreement, the indirect cost rate is limited to 8 percent. Please refer to 45 CFR §75.414 at https://www.ecfr.gov/cqi-bin/text-idx?node=pt45.1.75#se45.1.75 12, for more information about indirect costs and facilities and administrative costs. Provide the following information for the narrative and justification: 1. Calculation — Briefly summarize type of indirect cost rate. a. Attach a copy of the current fully executed, negotiated agreement indirect cost rate agreement. The applicable indirect cost rate(s) negotiated by the organization with the cognizant negotiating agency must be used in computing indirect costs (F&A) for a proposal (2 CFR §200.414). The amount for indirect costs should be calculated by applying the current negotiated indirect cost rate(s) to the approved base(s). 2. Indirect Cost Charged to the Award — list the total indirect costs that will be charged to the award. Costs must be calculated using the correct indirect cost base award (the categories of costs to which the indirect cost rate is applied). 75 CalculationIndirect Cost (1) Charged to the Award (2) Organization's Indirect Cost Rate of 10% (10% of personnel and fringe - .10 x $6,841 $68,409) FEDERAL REQUEST — (enter in Section B column 1, line 6j of-SF-424A) ( $6,841 FEDERAL REQUEST - TOTALS (6k) will sum automatically on the SF-424A ADDITIONAL INSTRUCTIONS ON COMPLETING THE SF- 424A In Section A, Use the first row only (Line 1) to report the total federal (e) funds and non-federal (f) funds requested for the first year of your project only. In Section B, Use the first column only (Column 1) to report the budget category breakouts (Lines 6a through 6h) and indirect charges (Line 6j) for the total funding requested for the first year of your project only. This total amount in 6k should be the same as the Total Federal Request for Year 1 entered on Line 1, Column (e) of Section A. In Section C, if applicable, enter the funding/resources that your organization will contribute (Applicant) as well as support you expect to receive from the State or other sources. Other support is defined as funds or resources, whether federal, non-federal or institutional, in direct support of activities through fellowships, gifts, prizes, in -kind contributions or non-federal means. [See Appendix I Standard Funding Restrictions for information on allowable costs.) In Section D Line 13, the funds needed for each quarter should be entered. The amount entered in "Total for First Year" should be the same as the amount entered in Column 1, Line 6k in Section B. Enter the amount for each quarter. The total in column 1 will sum automatically. Use the first row for federal funds and the second row for non-federal funds. In Section E, the funds being requested for Years 2, 3, and 4 should be entered. For example, Year 2 will be entered in column (b), Year 3 in column (c), etc. A sample of a completed SF-424A is included at the end of this appendix. Provide the total proposed project period and federal funding as follows: Proposed Project Period a. Start Date: 08/31 /2020 b. End Date: 08/30/2024 BUDGET SUMMARY (should include future years and projected total) Fo Total Category Year 1 Year 2* ` Year 3* Year 4* Year 5* Project Costs Personnel $52,765 $54,348 $55,978 $57,658 $59,387 $280,136 Fringe $15,644 $16,114 $17,353 $17,873 $18,409 $85',393 Travel $2,444 $1,140 $2,444 $1,140 $1,375 $8,543 Equipment 0 0 0 0 0 0 Supplies $3,796 $3,796 $3,796 $3,796 $3,796 $18,980 Contractual $86,998 $86,998 $86,998 $86,998 $86,998 $434,990 Other $15,815 $13,752 $11,629 $9,440 $7,187 $57,823 Total Direct $177,462 $176,148 $178,198 $176,905 $177,152 $885,865 Charges Indirect $6,841 $7,046 $7,333 $7,553 $7,780 $36,553 Charges Total Project $184,303 $183,194 $185,531 $184,458 $184,932 $922,418 Costs *FOR REQUESTED FUTURE YEARS: 1. Justify and explain any changes to the budget that differ from the amounts reported in the Year 1 Budget Summary. 2. If a cost of living adjustment (COLA) is included in future years, provide your organization's personnel policy and procedures which states that all employees within the organization will receive a COLA. In Section IV-3 of the FOA, any funding limitations or restrictions for the project will be specified. If there are limitations, include a narrative and separate budget for each year of the grant that shows the percent of the total grant award that will be used in the area where there is a limitation. For example, most FOAs include funding limitations for data collection and performance assessment. A sample budget for this area is shown below. 77 Data Year 1 Year 2 Year 3 Year 4 Year 5 Total Data Collection & Collection & Performance Performance Measurement Measurement Costs Personnel $6,700 $6,700 $6,700 $6,700 $6,700 $33,500 Fringe $2,400 $2,400 $2,400 $2,400 $2,400 $12,000 Travel $100 $100 $100 $100 1$100 $500 Equipment 0 0 0 0 0 0 Supplies $750 $750 $750 $750 $750 $3,750 Contractual $24,000 $24,000 $24,000 $24,000 $24,000 $120,000 Other 0 0 0 0 0 0 Total Direct $33,950 $33,950 $33,950 $33,950 $33,950 $169,750 Charges Indirect $910 $910 $910 $910 $910 $4,550 Charges Total Data $34,860 $34,860 $34,860 $34,860 $34,860 $174,300 Collection & Performance Measurement Charges The percentage of the budget that will be spent on data collection and performance measurement does not exceed 20% for any budget period. Maximum percentage for any budget period is 18.9% ($34,860/$184,303 - Year 1). A sample budget for funding limitations related to infrastructure development is shown below. m Infrastructure Development Year 1 Year 2 Year 3 Year 4 Year 5 Total Infra- structure Costs Personnel $2,250 $2,250 $2,250 $2,250 $2,250 $11,250 Fringe $558 $558 $558 $558 $558 $2,790 Travel 0 0 0 0 0 0 Equipment $15,000 0 0 0 0 $15,000 Supplies $1,575 $1,575 $1,575 $1,575 $1,575 $7,875 Contractual $5,000 $5,000 $5,000 $5,000 $5,000 $25,000 Other $1,617 $2,375 $2,375 $2,375 $2,375 $11,117 Total Direct Charges $26,000 $11,758 $11,758 $11,758 $11,758 $73,032 Indirect Charges $280 $280 $280 $280 $280 $1,400 Total Infrastructure Costs $26,280 $12,038 $12,038 $12,038 $12,038 $74,432 The maximum percentage of the budget that will be spent on infrastructure development for any budget period is 14.2% ($26,280/$184,303 - Year 1). 79 SAMPLE OF COMPLETED SF-424A SECTION A— BUDGET SUMMARY Grant Catalog of Estimated New or Revised Budget Program Federal Unobligated Funds Function or Domestic Activity Assistance Number Federal Non- federal Non- Total Federal Federal (a) (b) (c) (d) (e) ;(f) (g) 1. Title of FOA 93.243 $184,303 $184,303 2. 3. 4. 5. Totals $184,303 $184,303 — this total must match the total in Section B W and Section D (line 13) ,�)tanaara rorm 4L4N CFCTlnN R - RHnr,.FT CATEGORIES 6. Object Class :Categories GRANT PROGRAM FUNCTION OR ACTIVITY Total (5) (1) Title of FOA (2) (3) (4) a. Personnel $52,765 $52,765 b. Fringe Benefits $15,644 $15,644 c. Travel $2,444 $2,444 d. Equipment $0 $0 e. Supplies $3,796 $3,796 f. Contractual $86,998 $86,998 :1 6. Object Class GRANT PROGRAM FUNCTION OR ACTIVITY Total Categories (5) (1) Title of (2) (3) (4) FOA g. Construction $0 $0 h. Other $15,815 $15,815 i. Total Direct Charges $177,462 $177,462 (sum 6a-6h) j. Indirect Charges $6,841 $5,6,841 k. TOTALS (sum of 6i $184,303 — this total $184,303 and 6j) must match the total in Section A (q) and Line 13 in Section D 7. Program Income stanaara rorm 424H SECTION C — NON-FEDERAL RESOURCES (a) Grant Program (b) Applicant (c) State (d) Other Sources (e) TOTALS B. Title of FOA 9. 10. 11. 12. TOTAL (sum of lines 8-11) $ $ $ $ SECTION D - FORECASTED CASH NEEDS 13. Federal Totals for 1st Year $184,303 — this total must match the total in 1st Quarter $46,075 2"d Quarter $46,076 3rd Quarter $46.076 4th Quarter $46,076 Section A (q) and Section B (k) RE 14. Non - Federal 15.TOTAL (sum of lines 13 and 14) $184,303 $46,075 $46,076 $46,076 $46,076 SECTION E - BUDGET ESTIMATES OF FEDERAL FUNDS NEEDED FOR BALANCE OF THE PROJECT (a) Grant Program FUTURE FUNDING PERIODS (b) First (c) Second (d) Third (e) Fourth 16. Title of FOA— make sure the number of future years aligns with the total years in Line $184,498 $185,531 $185,762 $186,001 17 on the SF-424. This example shows a five- year project (4 out years). 17. 18. 19. 20. TOTAL (Sum of lines 16-19) $184,498 $185,531 $185,762 $186,001 SECTION F -OTHER BUDGET INFORMATION 21. Direct Charges: 22. Indirect Charges: 23. Remarks: W Appendix L - Key Personnel Staff Descriptions Applicants must identify key personnel staff in their applications. The Key Staff for this FOA are the Project Director and Lead Family Coordinator. For both positions, the following shall be provided in the application: o Job description: Should be no longer than one page each. o Biography: Should be no longer than one page each. If the person has not been hired, include a letter of commitment from the individual with a current biographical sketch. Key Personnel Project Director (PD) The PD is responsible for providing direct supervision to develop and implement the proposed SOC; establishing the organizational structure; hiring staff; and providing leadership in all facets of the development of the SOC. This key position should be staffed by one individual and be at least a 0.75 full-time equivalent position (FTE). Lead Family Coordinator Typically, this position is filled by a parent or other family member of a child or adolescent with SED, who has received or is currently receiving services from the mental health service system. This position is responsible for either setting up, or working with, an existing family -run organization, that represents the cultural and linguistic background of the population of focus. Responsibilities include, but are not limited to, working in partnership with the awardee staff in all levels of decision -making, including the development, implementation and evaluation of the SOC, and providing support services for families receiving services through the grant. This key position should be staffed by one individual and at least a 0.75 full-time equivalent (FTE). MW Analysis performed on a fiscal year System of Care Expansion and Sustainability Grant Fiscal Years 2021- 2025, starting 9/1/20 - 8/31/24 FY21 FY22 FY23 FY24 FY25 Total Personnel $ 354,746 $ 450,527 $ 482,064 $ 459,932 $ 75,740 $ 1,823,010 Fringe Benefits $ 226,861 $ 288,113 $ 308,281 $ 294,953 $ 48,601 $ 1,166,809 Travel $ 5,017 $ 10,617 $ 7,139 $ 16,003 $ 2,992 $ 41,767 Equipment $ 58,000 $ - $ - $ - $ - $ 58,000 Supplies $ 11,740 $ 5,755 '$ 1,874 $ 2,891 $ 531 $ 22,790 Contractual $ 37,500 $ 55,833 $ 51,667 $ 71,733 $ 12,667 $ 229,400 Construction $ - $ - $ - $ - $ - $ - Other $ 77,850 $ 90,987 $ 61,600 $ 69,403 $ 12,020 $ 311,860 Indirect Charges $ 71,287 $ 88,502 $ 87,375 $ 85,085 $ 14,116 $ 346,366 Total Project Costs 1 $ 833,334 $ 1,000,000 $ 1,000,000 $ 1,000,000 $ 166,667 $ 4,000,000 FY21 FY22 FY23 FY24 FY25 Total In -kind Personnel $ 242,342 $ 308,016 $ 329,885 $ 601,912 $ 109,263 $ 1,591,419 Fringe Benefits $ 116,323 $ 147,847 $ 158,344 $ 316,475 $ 57,958 $ 796,947 Total In -kind $ 358,665 $ 455,863 $ 488,230 $ 918,387 $ 167,221 $ 2,388,365 The System of Care Expansion and Sustainability Grant will pay up to $3,653,636 of direct program costs over four years, spanning Fiscal Year 2021 to Fiscal Year 2025, and it will contribute a 10% de-minimus rate, $346,366, to the department's administrative overhead. The analysis assumes the grant will cover the cost of 1.0 FTE Supervisor, 3.0 FTE Behavioral Health Specialist I, 3.0 FTE Peer Support Specialist, and 1.0 FTE Management Analyst. The grant requires a $3 to $1 match during years 1 through 3, and $1 to $1 match during year 4. To meet this requirement, 1.0 FTE Program Manager, and 2.0 FTE Supervisors during years 1 to 4 will be included, and 1.0 FTE Behavioral Health Specialist I will be supported with grant funds from years 1 to 3, and with Departmental funds during year 4. The grant also supports the purchase of two vehicles, contract services, a community training, among other support expenses. • BOARD• COMMISSIONERS ,T u� 1300 NW Wall Street, Bend, Oregon (541) 3 88-65 70 10:00 AM WEDNESDAY, January 8, 2020 BARNES & SAWYER ROOMS Present were Commissioners Phil Henderson, Patti Adair, and Anthony DeBone. Also present were Tom Anderson, County Administrator; Erik Kropp, Deputy County Administrator; David Doyle, County Counsel; and Sharon Keith, Board Executive Assistant. Several citizens and identified representatives of the media were in attendance. This meeting was audio and video recorded: and can be accessed at the Deschutes County Meeting Portal website http://deschutescountyor.iqm2.com/Citizens/Default.aspx CALL TO ORDER: Chair Adair called the meeting to order at 10:00 am PLEDGE OF ALLEGIANCE: CITIZEN INPUT: Commissioner Adair asked for prayers for Ashley Beatty's son for medical treatment. Rondo Boozell: Inquired if the Commissioners have ever considered the possibility of the Commissioners moving to a non -partisan party. BOCC MEETING JANUARY 8, 2020 PAGE 1 OF 7 CONSENT AGENDA: Before the Board was Consideration of Approval of the Consent Agenda. Commissioner Henderson requested to pull items 16, 17, and 18 for further review. Commissioner Adair requested to pull item 4 HENDERSON: Move approval of Consent Agenda minus Items 4, 16, 17, and 18 DEBONE: Second VOTE: HENDERSON: Yes DEBONE: Yes ADAIR: Chair votes yes. Motion Carried Consent Agenda Items: 1. Consideration of Board Signature of Order No. 2020-001, Designating an Official Newspaper for Publication of County Public Notices 2. Consideration of Chair Signature of Document No. 2020-050, justice Reinvestment Initiative Grant Agreement 3. Consideration of Chair Signature of Document No. 2020-051, Victims of Crime Act and Criminal Fine Account Grant Award 4. Consideration of Board Signature of Resolution No. 2020-003, Budget Adjustment for Statewide Transportation Improvement Funds 5. Consideration of Board Signature of Letters Appointing Paul Bertanga, Dan Youmans, and Walter McCoin to the Statewide Transportation Improvement Fund Advisory Committee 6. Consideration of Board Signature on Letter Appointing Julie Sherrer to the Sun Mountain Ranches Special Road District 7. Consideration of Board Signature on Letter Thanking Jo Kilmer for Service on the Sun Mountain Ranches Special Road District 8. Consideration of Board Signature on Letter Reappointing Bill Inman to the Deschutes River Recreation Homesites Special Road District Board #1 9. Consideration of Board Signature on Letter Reappointing Toni Williams to the Vandevert Acres Special Road District Board 10.Consideration of Board Signature on Letters Reappointing Linda LeMaster, Chris McLeod, and Linda Ray to the River Forest Acres Special Road District 11.Consideration of Board Signature on Letter Appointing Bill Shurte to the BOCC MEETING JANUARY 8, 2020 PAGE 2 OF 7 Pinewood Country Estates Special Road District Board 12.Consideration of Board Signature on Letter Thanking Anita Landice for Service on the Pinewood County Estates Special Road District Board 13.Consideration of Board Signature on Letter Appointing Bo Glines to the Spring River Special Road District Board 14.Consideration of Board Signature on Letter Reappointing Carl Jansen to the Spring River Special Road District Board 15.Consideration of Board Signature on Letter Thanking John Moore for Service on the Spring River Special Road District Board 16.Approval of Minutes of the December 9, 2019 BOCC Meeting 17.Approval of Minutes of the December 11, 2019 BOCC Meeting 18.Approval of Minutes of the December 18, 2019 BOCC Meeting ACTION ITEMS: Consent Agenda Item 4 as pulled for discussion: Consideration of Board Signature of Resolution No. 2020-003, Budget Adjustment for Statewide Transportation Improvement Funds Communications Director Whitney Hale presented this item for discussion. Commissioner Adair inquired on the transportation schedule charges. Ms. Hale will confer with the Oregon Department of Transportation for clarification. HENDERSON: Move approval of Resolution No. 2020-003 DEBONE: Second VOTE: HENDERSON: Yes DEBONE: Yes ADAIR: Chair votes yes. Motion Carried BOCC MEETING JANUARY 8, 2020 PAGE 3 OF 7 19.Consideration of Chair Signature of Document No. 2020-029, Notice of Intent to Award Qualified Pool of Fuel Reduction Contractors County Forester Ed Keith presented the document for consideration and reported on the work of the pool of contractors that is refreshed annually to expedite fuels reduction projects throughout the year. Mr. Keith reported on a grant award for approximately $500,000 that will be used towards this work. HENDERSON: Move approval of Document No. 2020-029 DEBONE: Second VOTE: HENDERSON: Yes DEBONE: Yes ADAIR: Chair votes yes. Motion Carried 20.Consideration of Board Signature on Document No. 2020-055, Update to the Greater Sisters Community Wildfire Protection Plan County Forester Ed Keith presented the update to the Greater Sisters Community Wildfire Protection Plan (CWPP). Mr. Keith reported on the partners involved in updating the CWPP including projects and priorities for the upcoming year. A risk assessment tool from the Oregon Department of Forestry entitled Oregon Wildfire Risk Explorer was used during this update and is a part of the plan. Evacuation map routes were also included in this update. HENDERSON: Move approval of Document No. 2020-055 DEBONE: Second VOTE: HENDERSON: Yes DEBONE: Yes ADAIR: Chair votes yes. Motion Carried BOCC MEETING JANUARY 8, 2020 PAGE 4 OF 7 Other Item: County Administrator Anderson reported on a $40,000 grant award received yesterday. Mr. Keith explained the scope of work for the fuels reduction grant program and the applications received. Mr. Keith thanked the Commissioners on behalf of the community for the opportunity for fuels risk reduction. Commissioner DeBone offered his attendance at a community meeting to thank them for being engaged. Commissioners considered increasing the pool of money for future fuels reduction projects as the $40,000 was designated from the lottery fund. 21.Consideration of Chair Signature of Document No. 2020-052, a Notice of Intent to Award Contract for the SW Canal Blvd/SW Helmholtz Way Intersection Improvement Project to High Desert Aggregate and Paving, Inc. County Engineer Cody Smith presented the document for consideration and explained the scope of work for the project. This work was identified in the Old Bend Redmond Highway safety improvement project. High Desert Aggregate and Paving is the qualified bidder. HENDERSON: Move approval of Document No. 2020-052 DEBONE: Second VOTE: HENDERSON: Yes DEBONE: Yes ADAIR: Chair votes yes. Motion Carried 22.Consideration of First Reading: Ordinance No. 2020-001, Religious Land Use Institutionalized Persons Act Planning Manager Peter Gutowsky and Assistant Legal Counsel Adam Smith presented the Ordinance for consideration of first reading. The ordinance is BOCC MEETING JANUARY 8, 2020 PAGE 5 OF 7 being requested for a repeat first reading due to changes to the findings. The second reading is scheduled for January 22, 2020. Mr. Smith reported on the language clarification to the Ordinance as a result of the direction by the Board. HENDERSON: Move to approve first reading by title only of Ordinance No. 2020-001 DEBONE: Second Discussion: Commissioner Henderson expressed his reason for support of this Ordinance. Chair Adair read Ordinance No. 2020-001 into the record by first reading by title only. VOTE: HENDERSON: Yes DEBONE: Yes ADAIR: Chair votes yes. Motion Carried OTHER ITEMS: Commissioner Henderson presented a draft letter addressed to the Oregon Department of Environmental Quality for consideration regarding the listing of water quality impaired water bodies throughout the state. County Counsel Dave Doyle created the draft letter as direction from the BOCC meeting of January 7. Commissioner Henderson recommended additional language changes. County Administrator Anderson reported on a request from the League of Women Voters to support a language for local government's proclamation and could be presented during a BOCC meeting in February. Commissioner DeBone recommended reviewing the document. County Administrator Anderson reported on a letter regarding support for two circuit court judges that should be presented in time for the Commissioners to present it at the AOC day on January 13, 2020. Commissioner Henderson spoke on the Fall River Special Road District BOCC MEETING JANUARY 8, 2020 PAGE 6 OF 7 invitation to their next board meeting on January 14. • Commissioner DeBone was interviewed on KNCP radio this morning. • Commissioner Henderson was interviewed on KBND this morning. Being no further items to come before the Board, the meeting was adjourned at 11:10 a.m. DATED this Day of Commissioners. TM- 2020 for the Deschutes County Board of BOCC MEETING JANUARY 8, 2020 PAGE 7 OF 7 E S CpGZ o Deschutes County Board of Commissioners 1300 NW Wall St, Bend, OR 97703 (541) 388-6570 - Fax (541) 385-3202 - https://www.deschutes.org/ AGENDA REQUEST & STAFF REPORT For Board of Commissioners BOCC Wednesday Meeting of January 15, 2020 DATE: January 9, 2020 FROM: Isabella Liu, Community Development, TITLE OF AGENDA ITEM: Nehmzow Marijuana Production Deliberation Discussions BACKGROUND AND POLICY IMPLICATIONS: The Board will conduct deliberations on January 22, 2020 for the proposed marijuana production facility located at 60148 Stirling Drive, Bend. Staff will conduct a work session prior to deliberations on January 15, 2020 to orient the Board to anticipated topics. ATTENDANCE: Izze Liu, Associate Planner X\ ' A MEMORANDUM DATE: January 9, 2020 TO: Deschutes County Board of Commissioners FROM: Izze Liu, Associate Planner RE: Deliberations following a public hearing for a reconsideration of a marijuana production application. File No. 247-19-000844-RC (related to file nos. 247-18-000915- AD, 247-19-000431-A). BACKGROUND INFORMATION APPLICANT/OWNER: APPLICANT'S ATTORNEY: APPELLANT: APPELLANT'S ATTORNEY: Tommy Nehmzow Michael Hughes, Hughes Law Keith & Kristin Adams Liz Dickson, Dickson Hatfield LLP LOCATION: The subject property has an assigned address of 60148 Stirling Drive, Bend; and is further identified on County Assessor Tax Map 18-13-30 as tax lot 500. HEARING DATE: December 11, 2019 RECORD PERIOD: The record will close at 5:00 pm on January 10, 2020. REVIEW PERIOD: The County must issue a final local decision by February 6, 2020. 1. PURPOSE The Deschutes Board of County Commissioners ("Board") is tasked with determining if the subject proposal meets the requirements in the applicable sections of the Deschutes County Code. The Board held a public hearing on December 11, 2019 to reconsider the application for a marijuana production facility. This memo and the decision matrix are designed to assist the Board in their deliberations. The decision matrix will be provided to the Board in person during the scheduled meeting. It focuses on the contested aspects of the application that require Board determinations or interpretations. II. RECORD The record, in its entirety, was presented to the Board as attachments to the May 21 st, June 26th, July 24th, August 28th, and December 4th staff memorandums. Only those record items that have not been presented to the Board previously are attached to this memo. The attached record items include materials submitted at the public hearing and during the open record period. The open record period closes on January 10th but due to the time constraints of this application, staff has prepared the Board meeting packet without the applicant's final argument. If the applicant submits a final argument, staff will present this document to the Board in person during the scheduled meeting and summarize the comments in the decision matrix. A binder containing copies of all materials in the record has also been prepared for the Board. It is located in the Board office so that it is accessible at anytime. III. OBJECTION SUMMARY The appellant and other opponents at the hearing stated several reasons for their opposition which were described in the Notice of Appeal, in oral and written testimony, and in the open record period submissions. A decision matrix will be provided during the scheduled meeting to assist the Board to determine if the Administrative Determination should be affirmed, affirmed with modified findings and/or conditions, or denied. Below, staff has identified six key issues that the appellant or an opponent has raised regarding the proposal. Two other issues were raised that may be unrelated to the approval criteria. Finally, several other topics were raised that did not relate to or address approval criteria. IV. DISCUSSIONS OF OBJECTIONS The following is a summary of the points of objections and does not fully describe or explore all aspects of the proposal or of objections. The complete arguments and rebuttals were presented at the hearing and in the attached record materials submitted during the open record period. The key topics raised are summarized below: 1. Oregon Land Conservation and Development Commission Administrative Rules are not addressed. 2. Findings related to ORS 215.243 are incomplete. 3. Findings related to Statewide Planning Goals are incomplete. 4. Proximity to a possible youth activity center. 247-19-000844-RC (related to file nos. 247-18-000915-AD, 247-19-000431-A) Additionally, the appellant and other opponents at the hearings on July 241h and December 11th stated several reasons for their opposition which were described in oral and written testimony, and in documents submitted during the open record period. Below, staff identifies six key issues that are related to the approval criteria, two issues that may be unrelated, and nine issues raised that did not address the approval criteria. Topics that addressed approval criteria: 1. Proximity to a possible youth activity center. 2. Screening and fencing. 3. Odor control. 4. Noise. 5. Secure waste disposal. 6. Identification of applicable criteria is required by statute. Topics and questions that may or may not address approval criteria: 1. Analysis of the applicable land use statutes, statewide land use planning goals and administrative rules of the Land Conservation Development commission are insufficient. 2. Applicability of the code amendments adopted by Ordinance No. 2018-012 and later repealed by Ordinance No. 2019-014. Topics and questions that did not address approval criteria: 1. Moral objections, personal beliefs, opinions regarding marijuana use (both positive and negative). 2. Amount of water to be used. 3. Traffic and use of Stirling Drive. 4. Fire access easement on subject property leadingto the Sundance Meadows Ranch property. 5. Public Health, Safety, and Welfare. 6. Compatibility with neighborhood uses. 7. Federally illegal. 8. Impacts to wildlife. 9. Proximity to a residential subdivision. V. CONCLUSION & NEXT STEPS The Board will conduct deliberations on January 22, 2020. The County filed the Notice of Withdrawal to LUBA on November 8th, therefore, the decision must be mailed out by February 6, 2020. 247-19-000844-RC (related to file nos. 247-18-000915-AD, 247-19-000431-A) VI. RECORD ATTACHMENTS The following attachments are materials that have been entered into the record after the December 4, 2019 staff memorandum. Only those record items that have not been presented to the Board previously are attached to this memo. They are presented in reverse chronological order. Attachments: 1. 2020-01-03 - Appellant Rebuttal 2. 2019-12-20 - Staff Open Record 3. 2019-12-20 - Applicant Open Record 4. 2019-12-20 -Appellant Open Record 5. 2019-12-11 - Kook Open Record 6. 2019-12-11 - Exhibit 4 - Dee Schultz 7. 2019-12-11 - Exhibit 3 - Elizabeth Dickson 8. 2019-12-11 - Exhibit 2 - LUBA No. 2019-036 Waveseer 9. 2019-12-11 - Exhibit 1 - Sheriff Nelson 10. 2019-12-11 - Hearing Exhibit List 11. 2019-12-11 - Notice of Public Hearing 247-19-000844-RC (related to file nos. 247-18-000915-AD, 247-19-000431-A) E S CCGZ o � Deschutes County Board of Commissioners 1300 NW Wall St, Bend, OR 97703 AGENDA REQUEST & STAFF REPORT For Board of Commissioners BOCC Wednesday Meeting of January 15, 2020 DATE: January 9, 2020 FROM: William Groves, Community Development, 541-388-6518 TITLE OF AGENDA ITEM: Lower Bridge PUD - Draft Findings and Decision Review RECOMMENDATION & ACTION REQUESTED: Review the attached draft findings and decision and provide any feedback or edits prior to the scheduled January 22, 2020 decision adoption. BACKGROUND AND POLICY IMPLICATIONS: The Applicant requested conditional use, tentative subdivision plan, and SMIA site plan approval to establish a 19-lot residential planned unit development ("PUD") on the Subject Property. The Hearings Officer denied the application and the decision was timely appealed. The Board conducted a public hearing on October 30, 2019. Following the close of the record, the Board deliberated on December 18, 2020 and voted unanimously that the application could be approved. Staff has worked with the Applicant, as the prevailing party, to develop the attached draft Board decision, pursuant to DCC 22.28.060. FISCAL IMPLICATIONS: none ATTENDANCE: Will Groves, Legal STAFF MEMORANDUM Date: January 9, 2020 To: Board of County Commissioners From: Will Groves, Senior Planner Re: Draft Decision - Appeal of Hearings Officer Decision (File Nos. 247-19-000405-CU, 406-TP, 407-SMA, 741-A, 757-A) 1. Purpose This meeting is to afford the Deschutes Board of County Commissioners ("Board") with an opportunity to provide edits and feedback to staff regarding a draft decision. Any edits can be made prior to the Board's adoption of the final decision, scheduled for Wednesday, January 22, 2020. II. Background The Applicant requested conditional use, tentative subdivision plan, and SMIA site plan approval to establish a 19-lot residential planned unit development ("PUD") on the Subject Property. The Hearings Officer denied the application and the decision was timely appealed. The Board conducted a public hearing on October 30, 2019. Following the close of the record, the Board deliberated on December 18, 2020 and voted unanimously that the application could be approved. Staff has worked with the Applicant, as the prevailing party, to develop the attached draft Board decision, pursuant to DCC 22.28.060. 111. Clarification Staff and the Applicant have a different understanding of the Board's deliberative statements regarding the protection of natural resources (DCC 18.128.210(B)(8)). 8. Adequate provision is made for the preservation of natural resources such as bodies of water, natural vegetation and special terrain features. The Board was asked if Scenic Resources would be adequately protected under the proposal as conditioned. Staff noted that opponents recommended additional setbacks from the canyon rim, as a potential new condition of approval to minimize visual impacts. The Board stated that no additional conditions of approval would be required. Staff understood this to indicate that no additional canyon rim setbacks would be required. 1 1 7 NW Lafayette Avenue, Bend, Oregon 97703 1 P.O. Box 6005, Bend, OR 97708-6005 Q, (541)388-6575 @cdd@deschutes.org @ www.deschutes.org/cd The Applicant understood the Board's statement to indicate that no conditions of approval relating to canyon rim setbacks would be required, as scenic resources would be adequately be protected by the Landscape Management combining zone requirements. Accordingly, the Applicant believes that the following Hearings Officer conditions of approval should be stricken: A topographic survey shall be required prior to construction or earthmoving in the vicinity of the canyon rim. Structures and/or earthmoving are prohibited on or below slopes exceeding 10 percent within the canyon. Habitat improvement projects approved or sponsored by ODFW and not subject to this requirement. Staff notes that while these conditions would likely reduce visual impacts, they were imposed bythe Hearings Officer to also address potential slope stability and erosion impacts (See Hearings Officer decision pages 114-115, DCC 18.128.210(B)(8)). IV. Conclusion & Next Steps Staff respectfully requests the Board to provide desired edits in the Wednesday, January 15 meeting. The final decision will be placed on the meeting agenda for Wednesday, January 22 for Board signature. The 150-day period for issuance of a final local decision ends January 28, 2019. Attachments: 2020-01-09 - Draft BOCC Findings and Decision 247-19-000405-CU, 406-TP, 407-SMA, 741-A, 757-A Page 2 of 2 REVIEWED LEGAL COUNSEL DECISION OF THE DESCHUTES COUNTY BOARD OF COUNTY COMMISSIONERS FILE NUMBERS: 247-19-000405-CU/406-TP/407-SMA/741-A and 757-A APPLICANT/OWNER: Lower Bridge Road, LLC APPLICANT'S Tia M. Lewis ATTORNEY: Schwabe, Williamson & Wyatt APPELLANTS: Calfa Holdings, LLC APPELLANT'S Timothy_V. Ramis ATTORNEY: Jordan Ramis PC STAFF REVIEWER: Will Groves, Senior Planner LOCATION: The Subject Property is identified as Tax Lot 500 on Deschutes County Assessor's Map 14-12-15, and Tax Lots 1502, 1505, and 1600 on Assessor's Map 14-12 (index). Each of these tax lots has an assigned address in Terrebonne as follows: HEARINGS OFFICER'S DECISION ISSUED: APPEALS FILED: HEARING DATE: RECORD CLOSED: Tax Lot 500: 70465 NW 96th Court; Tax Lot 1502: 70300 NW Lower Bridge Way; Tax Lot 1505: 10000 NW Lower Bridge Way; and Tax Lot 1600: 70350 NW Lower Bridge Way September 24, 2019 October 1 and 7, 2019 October 30, 2019 November 201h, 2019 Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Pagel of 24 I. SUMMARY OF DECISION: In this decision, the Board of County Commissioners ("Board") considered the appeals of both appellants (applicant and opponent's) of the September 24, 2019, hearings officer's findings and decision (file nos. 247-19-000405-CU/406-TP/407-SMA; "Hearings Officer's Decision"). The Board exercised its discretion to hear the appeal de novo. The Board received three memoranda from Will Groves, Senior Planner. The following lists the memoranda by date: • October 16, 2019, Consideration on whether to hear the, appeal • October 28, 2019, Pre -hearing staff presentation • December 4, 2019, Pre -deliberation staff presentation The Board conducted a public hearing on October 30, 2019, and deliberated on December 18, 2019. The Board voted 3-0 (Henderson, DeBone, and Adair in favor) to overturn the Hearings Officer's Decision of denial and approved the land use permit to establish a 19-lot residential planned development on the subject property that includes three parcels totaling 144.7 acres, zoned RR-10, FP, LM and SMIA and located between the Deschutes River and Lower Bridge Way west of Terrebonne (247-19-000405-CU/406-TP/407-SMA). The Board broadly concurs with the Hearings Officer's decision but reverses the denial and approves the application, as described in detail below. The Board finds that, as conditioned, all applicable criteria for approval have been met and that there is substantial evidence upon which to base its findings for approval. APPLICABLE STANDARDS AND CRITERIA: Title 18 of the Deschutes County Code, the County Zoning Ordinance: Chapter 18.04, Title, Purpose and Definitions Chapter 18.16, Exclusive Farm Use Zones Chapter 18.52, Surface Mining (SM) Zone Chapter 18.56, Surface Mining Impact Area Combining Zone Chapter 18.60. Rural Residential Zone (RR-10) Chapter 18.84. Landscape Management Combining Zone (LM) Chapter 18.96. Flood Plain Zone (FP) Chapter 18.116. Supplementary Provisions Chapter 18.128, Conditional Uses Title 17 of the Deschutes County Code: Chapter 17.08, Definitions and interpretation of Language Chapter 17.12, Administration and Enforcement Chapter 17.16, Approval of Subdivision Tentative Plans and Master Development Plans Chapter 17.24, Final Plat Chapter 17.36, Design Standards Chapter 17.44, Park Development Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 2 of 24 Chapter 17.48, Design and Construction Specifications Title 22, Deschutes County Development Procedures Ordinance Deschutes County Comprehensive Plan Chapter 3, Rural Growth Management Oregon Administrative Rules (OAR) OAR 660-004 (7)(e), Application of Goal 14 (Urbanization) to Rural Residential Areas BASIC FINDINGS: The Board adopts and incorporates by reference the code interpretations, findings of fact, and conclusions of law set forth in the September 24, 2019, Hearings Officer's Decision in Section II Basic Findings (Lot of Record, Site Description, Review Period, Proposal, Surrounding Land Uses, Land Use History, Public Agency Comments, and Public Comments), Section III, Preliminary Findings [1 Page 15, 2 Page 24]), with the following additions and changes: PRELIMINARY FINDINGS: With the exception of Preliminary Finding #2 (Pages 24-25) the Board adopts the Hearing Officer's preliminary findings. Regarding Preliminary Finding #1, the Board adopts the Hearing Officer's preliminary finding except as supplemented by the Board herein. For Preliminary Finding #2, the Board rejects the Hearings Officer Findings and adopts its own as set forth herein. Preliminary Finding #2: Issue: Did Applicant request SMIA site plan review for the PUD/tentative plan being considered in this case or did Applicant "defer" SMIA Site Plan Review to a later time (building permit applications for each dwelling unit)? The Hearings Officer found the Applicant failed to request SMIA Site Plan Review but instead argued it should be deferred until dwellings were proposed on the subject property. On appeal, the Applicant pointed to the SMIA site plan application materials, fee and notice in the record demonstrating it had indeed applied for SMIA Site Plan Review. The Applicant also submitted additional evidence on appeal demonstrating it met all applicable approval criteria for SMIA Site Plan Review. The Board finds the Applicant's evidence persuasive, there is no contradictory evidence which would undermine the Applicant's evidence or otherwise suggest the proposal does not meet the SMIA Site Plan Review criteria. Based on the substantial evidence in the record, as described below under the SMIA Site Plan criteria, the Board finds the proposal complies with SMIA Site Plan review and meets the applicable approval criteria. K. PROCEDURAL HISTORY: The Hearings Officer's Decision was issued on September 24, 2019. Two separate appeals were timely filed by the Applicant and one opponent during the 12- day appeal period. The Board used its discretion to serve as the hearings body for the Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 3 of 24 Appellants' appeals to be heard de novo pursuant to Board Order 2019-042, dated October 16, 2019. A public hearing was held on October 30, 2019. The Applicant Appellant, Lower Bridge Road, LLC, was represented by Tia M. Lewis, Attorney at Law; and the Opponent Appellant, Calfa Holdings, was represented by Timothy V. Ramis, Attorney at Law. The Board heard testimony and established an open record period that closed on November 20, 2019. The Board conducted deliberations on December 18, 2019. Via a 3-0 vote, the Board finds the proposal, as conditioned, complies with the applicable criteria listed under Section II above and overturns the Hearings Officer's Decision denying the application. IV. FINDINGS: The Board adopts and incorporates by reference the code interpretations, findings of fact, and conclusions of law set forth in the September 24, 2019, Hearings Officer's Decision in the Findings section, except for the findings relating to the DCC Sections identified below. To the extent there are conflicts between any of the findings identified above and the findings below, the findings and conclusions below shall control. Title 22 - DESCHUTES COUNTY DEVELOPMENT PROCEDURES ORDINANCE Section 22 08.010. Application Requirements. A. Property Owner. For the purposes of ,DCC 22.09010, the term "property owner" shall mean the owner of record or the contract purchaser and does not include a person or organization that holds a security interest. B. Applications for development or land use actions shall. 1. Be submitted by the property owner or a person who has written authorization from the property owner as defined herein to make the application; FINDING: The Board deliberated on this topic as framed by issue 13 in the November 2, 2019 decision matrix. Opponents argue the applicant is not authorized to make the subject application request because the ownership of the property is "split" with the applicant, Lower Bridge Road, LLC, owning the property, with the mineral rights being held by another entity, Diatomaceous Earth, Inc. The evidence in the record shows title to the subject property is held in the name of Lower Bridge Road, LLC. The evidence further shows the land use application was signed by Paul Christensen who is the President of Realvest LLC, who is the sole member of LBR Manager, LLC, which is the manager for Lower Bridge Road, LLC. Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 4 of 24 The Board finds that Lower Bridge Road, LLC is the property owner as that term is described above in DCC 22.08.010, and thus, is authorized to make the subject application. Title 18 - DESCHUTES COUNTY CODE, COUNTY ZONING 18.04, Title, Purpose, and Definitions Section 18.04.030, Definitions "Lot area" means the total horizontal area contained within the lot lines. Said area shall be computed as gross area for lots larger than 2.5 acres and net area for lots 2.5 acres and smaller. The total horizontal net area within lot lines of a lot is that square footage of a lot that is free from roads, streets, rights of way or easements of access to other property. Provided, however, that the Planning Director or Hearings Body shall include in gross lot areas all streets, roads, and easement of access to other property that would accrue to that lot if the road, street or easement were vacated, and shall treat the gross area of lots that have never been previously described of record as other than fractions of a section as if the section contained 640 acres, in cases where a lot is sought to be partitioned. FINDING: The Board deliberated on this topic as framed by issue 12 in the November 2, 2019 decision matrix. Opponents argue that the subject property contains three historic public right-of-ways - Kidder Rd, Willamette Valley Wagon Rd, and Lower Bridge (Lambert) Rd. - that traverse the subject property in the proposed Open Space of Tracts of Tract E and Tract F, and must be subtracted from the property acreage calculations for purposes of demonstrating compliance with the PUD Open Space requirements of 65%. The Board finds that the three right-of-way roads are allowed to be counted towards the lot area of the proposed PUD, including the open space tracts, based on the definition above that states in relevant part, "... the Planning Director or Hearings Body shall include in gross lot areas all streets, roads, and easement of access to other property that would accrue to that lot if the road, street or easement were vacated ... " The Board finds the Code specifically requires inclusion of these right of ways in the acreage calculations and this requirement is consistently applied County -wide for existing and proposed rights of way. The historic roads shall be shown on the final plat as required by DCC. Chapter 18.56, Surface Mining Impact Area Combining Zone (SMIA) The Board deliberated on this topic as framed by issue 9 in the November 2, 2019 decision matrix. Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 5 of 24 Section 18 56 030 Application of Provisions. The standards set forth in DCC 18.56 shall apply in addition to those specified in DCC Title 18 for the underlying zone. If a conflict in regulations or standards occurs, the provisions of DCC 18.56 shall govern. FINDING: The Hearings Officer found "that Applicant did NOT clearly and definitively submit and support a request for a SMIA Site Plan review, rather, Applicant requested the Hearings Officer defer SMIA Plan review until the building permit stage" and found this criterion was not met. The Board finds the evidence in the record shows the applicant applied for the SMIA review, paid the requisite fee, and submitted the subdivision and builder's envelope plans and the land use notice of application includes the notice of SMIA Site Plan Review. In addition, the Board finds the applicant submitted evidence that establishes all proposed buildable areas were over 250 feet from both of the applicable surface mining sites, #322 and #461. Finally, the Board finds that the applicant's buildable envelope and dimensional exhibits, together with the testimony of a local builder, demonstrate that the subdivision lots can be sited consistent with the requirements of DCC 18.56 and.17.16.100(D) and finds the applicant can comply with Section 18.56.120, Waiver of Remonstrance, through a condition of approval to record the waiver prior to final plat approval. Section 18 56.090. Specific Use Standards. The following standards shall apply in the SMIA Zone: New dwellings, new noise sensitive and dust sensitive uses or structures, and additions to dwellings or noise and dust sensitive uses or structures in existence on the effective date of Ordinance No. 90 014 which exceed 10 percent of the size of the existing dwelling or use, shall be subject to the criteria established in DCC 18.56.100. FINDING: The Hearings Officer found that the proposed PUD is a noise and dust sensitive use and must comply with DCC 18.56.100 and did not meet this criterion because the applicant "... did not submit a SMIA Site Plan review at this time. Applicant elected to defer SMIA Site plan review until the building permit stage for each lot." As stated above, the Board finds the applicant did submit a SMIA site plan review for the proposed subdivision demonstrating that the subdivision lots can be sited consistent with the requirements of DCC 18.56 and 17.16.100(D) and finds the applicant can comply with Section 18.56.120, Waiver of Remonstrance, through a condition of approval to record the waiver prior to final plat approval. Section 18 56 100 Site Plan Review and Approval Criteria. A. Elements of Site Plan. A site plan shall be submitted in a form prescribed by the Planning Director or Hearings Body detailing the location of the proposed noise sensitive use, the location of the nearby surface mine zone and operation, if any, Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 6 of 24 and other information necessary to evaluate the approval criteria contained in DCC 18.56.100. B. Site plan review and approval, pursuant to the County Uniform Land Use Action Procedures Ordinance, shall be required for all uses in the SMIA Zone prior to the commencement of any construction or use. C. The Planning Director or Hearings Body may grant or deny site plan approval and may require such modifications to the site plan as are determined to be necessary to meet the setbacks, standards and conditions described above. D. The site plan shall be approved if the Planning Director or Hearings Body finds that the site plan is consistent with the site specific ESEE analysis in the surface mining element of the Comprehensive Plan and that the proposed use will not prevent the adjacent surface mining operation from meeting the setbacks, standards and conditions set forth in DCC 18.52.090, 18.52.110 and 18.52.140, respectively. FINDING: The Hearings Officer found the applicant did not meet the above criteria (A) - (D) because the applicant did not submit a SMIA Site Plan review and elected to defer SMIA Site plan review until the building permit stage for each lot. The Board disagrees. On appeal, the Applicant clarified that while it did argue to the Hearings Officer that SMIA Site Plan Review should be conducted prior to the issuance of a building permit on each lot and not at the subdivision stage, it did nevertheless submit the application, pay the fee and submit substantial evidence demonstrating compliance with the SMIA Site Plan Review criteria. There is no evidence in the record contradicting the Applicant's evidence demonstrating compliance. As stated above, the Board finds the applicant submitted a SMIA site plan review for the proposed subdivision demonstrating that the subdivision lots can be sited consistent with the requirements of DCC 18.56 and 17.16.100(D) and finds the applicant can comply with Section 18.56.120, Waiver of Remonstrance, through a condition of approval to record the waiver prior to final plat approval. E. Public notice shall be as set forth in DCC Title 22, the Uniform Development Procedures Ordinance, except that in all cases notice of the receipt of an SMIA application shall be sent to the mine owners and/or operators whose SM Zoned site triggered the SMIA review. FINDING: The Hearings Officer found that the applicant did not give notice, pursuant to this approval criterion. The Board finds that the Hearings Officer misinterpreted this criterion that the applicant was responsible to give notice of the SMIA application to the mine owners and/or operators of SM 322 and SM 461. The Board finds that public notice of receipt of the SMIA application rests with the County staff. The Board finds that county staff provided public notice to the adjacent mine owners, including the owners of the two adjacent surface mines in compliance with the above criterion. Section 18.56.120. Waiver of remonstrance. The applicant for site plan approval in the SMIA Zone shall sign and record in the Deschutes County Book of Records a statement declaring that the applicant and his successors will Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 7 of 24 not now or in the future complain about the allowed surface mining activities on the adjacent surface mining site. FINDING: The Hearings Officer found the applicant did not submit a SMIA Site plan review for the PUD and condition use request. As described herein and demonstrated by the record, the Board finds the applicant submitted a SMIA site plan review for the proposed subdivision demonstrating that the subdivision lots can be sited consistent with the requirements of DCC 18.56 and 17.16.100(D) and finds the applicant can comply with Section 18.56.120, Waiver of Remonstrance, through a condition of approval to record the waiver prior to final plat approval. Chapter 18.84, Landscape Management Combining Zone (LM) The Board deliberated on this topic as framed by issue 10 in the November 2, 2019 decision matrix. Section 18.84.080. Design review standards. The following standards will be used to evaluate the proposed site plan: D. Subject to applicable rimrock setback requirements or rimrock setback exception standards in DCC 18. 84.090(E), all structures shall be sited to take advantage of existing vegetation, trees and topographic features in order to reduce visual impact as seen from the designated road, river or stream. When more than one nonagricultural structure is to exist and no vegetation, trees or topographic features exist which can reduce visual impact of the subject structure, such structure shall be clustered in a manner which reduces their visual impact as seen from the designated road, river, or stream. FINDING: Opponents argue the determination of rimrock setback requirements for new structures and dwellings must be undertaken at the subdivision tentative plan stage. The location of the potential rimrock, they argue, can impact the feasibility of development on each lot. The Board finds that compliance with the rimrock setback of (D) above is determined as part of the Landscape Management (LM) Site Plan review that occurs prior to application for a building permit. The LM review is a public land use process subject to notice and all public participatory rights for land use applications. The LM review provisions specifically regulate the location, appearance and screening of structures and require site plan approval for those structures prior to the issuance of a building permit. DCC 18.84.050A. These provisions do not apply to a tentative subdivision approval like the present request. Opponent's concerns that the rimrock setbacks could not be met on the lots as configured were addressed by the Applicant's building envelope exhibit demonstrating sufficient area on the Lots to site a home and accessory uses without seeking exceptions to any setbacks, including rimrock. The Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 8 of 24 Board notes, based on the site visit, there is little visible rimrock on any of the Lots and finds the evidence in the record to be persuasive to establish the lot configuration will allow the lots to be developed with homes and accessory structures meeting all applicable setbacks. Chapter 18.96, Flood Plain (FP) Zone The Board deliberated on this topic as framed by issues 1, 2, 5, and 14 in the November 2, 2019 decision matrix. Section 18.96.030 The following uses and their accessory uses are permitted outright C. Open space. D. Portions of a residential use that do not contain structures, such as lawn, garden or play areas. FINDING: The Board finds that open space is a use permitted outright in the Flood Plain Zone. The Board finds the Applicant's argument that the listing of "open space" as a use means open space associated with another use, such as here, a planned development, persuasive. The evidence shows "open space" is not listed as a use in any other zone in the County. Open space, by itself, is not a use for which the County would require approval. Flood Plain zoned land is typically combined with or split zoned with other land since the Flood Plain boundaries are based on FEMA maps and generally follow water courses. In cases of split zoning like the subject property where the adjacent zone (RR- 10) permits uses which have open space components, like planned developments, the Board finds the above provisions mean those listed portions of the development can be located in the Flood Plain zone, while those portions of the development not listed, like residential dwellings and accessory structures, cannot be located in the Flood Plain zone. Section 18.96.040 The following uses and their accessory uses may be allowed subject to applicable sections of this title: H. Subdividing or partitioning of land, any portion of which is located in a flood plain, subject to the provisions of DCC Title 18 and DCC Title 17, the Subdivision/Partition Ordinance. FINDING: The Board finds that subdividing land, of which any portion is located in a flood plain, is allowed, subject to the applicable sections of DCC Title 18. The present request contains split zoned land, partially RR-10 and partially Flood Plain, which is typical of Flood Plain zoned areas. The Board finds the present request for a planned development subdivision, where all development Lots are located in the RR-10 zoned portions of the property and all Flood Plain zoned acreage is located within the protected open space, is permitted under the applicable sections of DCC 19.96, Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 9 of 24 as set forth above. Section 18 96 110 Dimensional Standards. In an FP Zone, the following dimensional standards shall apply. C. Minimum lot size shall be 10 acres for all areas which have received an exception to the Statewide Planning Goals for resource uses. Areas which have not received an exception to the Statewide Planning Goals shall have a minimum lot size of 80 acres. FINDING: The Hearings Officer found that the minimum lot size for the flood plain -zoned portion of the property is 10-acres and that no Goal 5 exception was required. The Hearings Officer also agreed with the 2015 Land Use Decisions that Tracts C and E include at least 10 acre of FP -zoned land, and therefore, meet this criterion. The Board agrees with and adopts as its own the Hearings Officer's findings that no Goal 5 exception was required and that the minimum lot size in this case is 10 acres and, therefore this criterion is met. The Board additionally finds the record shows the subject property was rezoned from Surface Mining to RR-10 in 2008 through the non -resource designation process, which is an alternative method to the goal exception process. That 2008 Zone Change Decision concluded there are no Goal 3, 4 or 5 resources on the subject property and is the equivalent of a goal exception. The Oregon Administrative Rules (OAR) Division 4 interprets the requirements of Goal 2 (Land Use Planning) and ORS 197.732 regarding exceptions. The definition for Non -Resource lands is described in OAR 660-004-0005(3): o "Land not subject to any of the statewide goals listed in OAR 660-004-0010(1)(a) through (g) except subsections (c) and (d). If a subject property does not qualify as "agricultural or forest land," then no exception to Statewide Planning Goal 3, Agricultural Land or Goal 4, Forest Land is required because the subject property is not agricultural or forest land. We find the nonresource designation process undertaken for this property in 2008 to be the equivalent of a goal exception for purposes of applying this Flood Plain minimum lot size. The Board finds further support forthis interpretation in the purpose and intent of the County Flood Plain zone, which was based on FEMA maps of areas subject to flooding, not on resource inventories, and drafted and historically applied as if it were an overlay or combining zone. This minimum lot size provision was adopted to require 80 acre minimum lot sizes in FP zoned areas designated for resource use protected by Goals 3 and 4 (with Comprehensive Plan designations Agriculture or Forest) but to allow 10 acre minimum lot sizes in FP zoned areas on all other lands (with other Comprehensive Plan designations such as, in this case, Rural Residential Exception Area). Because the subject property received a nonresource zone change in 2008 and that decision specifically found there to be no Goal 3, 4 or 5 resources on the subject property, the Board finds Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 10 of 24 the 10 acre minimum lot size applies to the Flood Plain zoned portions of the property. Chapter 18.128, Conditional Use Section 18 128 015 General Standards Governing Conditional Uses The Board deliberated on this topic as framed by issue 6 in the November 2, 2019 decision matrix. Except for those conditional uses permitting individual single family dwellings, conditional uses shall comply with the following standards in addition to the standards of the zone in which the conditional use is located and any other applicable standards of the chapter. 3. The natural and physical features of the site, including but limited to, general topography, natural hazards and natural resources. FINDING: Opponents argue the DEQ and OHA letters certifying the site safe for residential use are not sufficient to demonstrate there are no environmental hazards from historical mining and waste disposal. The Board finds that DEQ and OHA are the applicable state agencies that possess the technical and scientific expertise in matters relating to the environment. The Board finds that the DEQ process is a public process and that the public had a right to participate. It is the Board's understanding that many of the opponents participated in the DEQ process and submitted evidence of historical environmental conditions similar to the evidence submitted herein. The Board relies on DEQ and OHA to determine the safety of the site for residential uses. At the hearing before the Board, Bob Schwarz, DEQ Project Manager, testified the subject property had completed the VCP Program and had received letters of certification for residential use from both DEQ and OHA. Contrary to assertions of the opponents, the Applicant and DEQ have submitted evidence demonstrating the NFA and No Apparent Health Hazard letters cover the entire subject property, including the 29 acres west of Lower Bridge Way. The Board finds this to be persuasive, substantial evidence upon which we conclude the conditions of the 2008 Zone Change have been met and the property has been reclaimed and certified as safe for residential use. The issues opponents raise as to the historical uses of the property for solid and hazardous waste disposal have been addressed through the DEQ and OHA certification process in which the opponents participated. We find the evidence from DEQ and OHA that the property is safe for residential use to be both credible and persuasive. Section 18 128 210 Planned Development B. The conditional use may be granted upon the following findings: 6. That sufficient financing exists to assure the proposed development will be substantially completed within four years of approval. Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 11 of 24 FINDINGS: The Board deliberated on this topic as framed by issue 4 in the November 2, 2019 decision matrix. Opponents raised a number of issues directed toward the applicant's ability to successfully fund the proposed project and have it substantially completed within four years of approval. The Hearings Officer found the Applicant's testimony and evidence of investing 12 years and over $3 million dollars since 2006 to clean up the property through the DEQ VCP program was not sufficientto establish the Applicant had financial abilityto complete the proposed subdivision within 4 years of approval as required by DCC 18.128.210(B)(6). On Appeal, the Applicant submitted a cost estimate prepared by a registered civil engineer to complete the subdivision, including both soft and hard costs and a 10% contingency. The Applicant also submitted a letter from the CFO of Realvest as the entity responsible for financing the project together with a money market statement, demonstrating funds sufficient to and committed to building the project. Finally, in response to opponents evidence of past bankruptcy filings, the Applicant submitted evidence demonstrating the Realvest Chapter 11 Plan for reorganization was accepted and was fully completed in 2010. The Board finds the Applicant's evidence that it has the financial ability to complete the project within 4 years to be sufficient and persuasive and constitutes substantial evidence upon which we conclude this criterion is met. The Board notes that this project is not a multi -phase or complicated project with substantial costs and improvements. The proposal is for a 19 lot subdivision with associated infrastructure. There is no vertical or other structural construction associated with this project. The above criterion requires the Applicant to show it can develop 19 Lots and supporting infrastructure within 4 years. The engineering cost estimate and testimony and evidence of sufficient funding to complete are adequate to demonstrate compliance with the meaning of the County code requirements. The Board finds the opponent's arguments about lingering environmental costs are too speculative to require funding or evidentiary analysis as the DEQ letters certify the safety for residential use and the applicant has demonstrated significant expenditures on consultants to verify adequate and available utility and infrastructure development. Lastly, the Board finds the fact that Realvest sought protection of the bankruptcy process in 2009 through Chapter 11 Reorganization and the successful completion of that plan does not undermine our conclusion. Many real estate development companies sought bankruptcy protection during the recession. The successful completion of the reorganization by Realvest, the testimony of the representatives of the Applicant and the submission of the cost to complete and the money market account committed to the project is persuasive and demonstrates the Applicant has sufficient financial ability to complete the project in 4 years. 8. Adequate provision is made for the preservation of natural resources such as bodies of water, natural vegetation and special terrain features. FINDINGS: The Board deliberated on this topic as framed by issues 7 and 8 in the November 2, Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 12 of 24 2019 decision matrix. Opponents argue that the 19-lot riverfront development may not be granted approval by the Oregon State Parks and Recreation Commission because the proposal is not consistent with the existing low -density agricultural use and would undermine the values of the Scenic Waterway designation. The Board finds that the County implements scenic protections through the Landscape Management Combining Zone which applies to the subject property and will require individualized review of each proposed dwelling through a land use process prior to building permit approval. In addition, the Board finds that the Scenic Waterway review, through the Oregon State Parks, is also required of each proposed dwelling prior to the issuance of a building permit. The Board finds that no additional conditions, beyond those imposed by the Hearings Officer, are required as the buildings will be adequately reviewed through the LM and State Parks processes, both of which are public processes. The Board agrees with the Hearings Officer that the issues State Parks raises with regard to the Scenic Waterway designation are not related to review criteria for this subdivision request. The record shows State Parks was notified of the 2008 zone change request to RR-10 and submitted no comments in that zone change application process. The record shows comprehensive Riparian Area Management Plan was prepared by a professional biologist and contains prohibitions on any development in the Flood Plain and riparian areas, with stringent and cohesive management strategies designed to protect and monitor these areas. The proposed CC&Rs contain funding, enforcement and review provisions to ensure the plans are carried out and progress is monitored by biologist review. We find this proposed development plan, even with the additional density allowed by the planned/cluster form of development, provides more protection for the scenic and riparian resources than a standard subdivision. The Board also notes that this area is a former abandoned mine with little native vegetation, not a pristine forested or protected area. The Applicant's efforts to remediate and reuse the former mine site and the proposal to develop the 19 lot subdivision with 94.1 acres of protected, cohesively managed open space will be a significant improvement to the scenic and riparian areas on the subject property. Opponents argue that the proposed PUD will have negative impacts on wildlife habitat and that the riparian area was surveyed during dormancy and is not an adequate baseline to measure existing conditions or set standards for preservation. ODFW recommends that the County ensure sufficient compensatory mitigation plan to address wildlife impacts, such as riparian, deer, and eagle habitats and urges the County to implement stringent setback standards for future development of the property. Evidence in the record includes a Riparian Area Management Plan (RAMP) prepared by a professional biologist that contains prohibitions on development in the flood plain and riparian areas with stringent and cohesive management strategies design to protect and monitor the RAMP area. We find this plan to be more protective of the resources than a standard subdivision allowed Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 13 of 24 outright on the adjacent RR-10 zoned land. We further find that the subject property is not located in the County's Wildlife Area Protection zone or any of the sensitive bird or mammal habitat zones. It is not subject to any applicable approval criterion requiring compensatory mitigation. We find the County protections which do apply to the subject property, including the FP zone provisions prohibiting structures, the LM provisions regulating scenic resources and the State scenic water provisions, together with the additional protections of the RAMP to demonstrate adequate provision is made for the natural resources on the subject property within the meaning of the above criterion. The Board finds that the proposed development plan, even with the additional density, provides more protection for the scenic and riparian resources than a standard subdivision. The Board finds that to protect the riparian area it is important to consolidate access to the river from the 19 Lot development. As a condition of approval, the Board will limit access in the riparian area, as defined in the RAMP study, to one consolidated, signed access point, directing residents to use the trail access only and prohibiting access through the riparian area except on designated trails. D. Dimensional Standards. 3. The minimum lot area, width, frontage and yard requirements otherwise applying to individual buildings in the zone in which a planned development is proposed do not apply within a planned development. An equivalent overall density factor may be utilized in lieu of the appropriate minimum lot area. FINDINGS: The Board deliberated on this topic as framed by issue 3 in the November 2, 2019 decision matrix. Opponents argue that a PUD is not a permitted use in the FP zone and therefore flood plain zoned land cannot be used to calculate the density in a PUD. The Board adheres to and incorporates its previous finding that when, as here, there is split zoned property, with a portion being Flood Plain and a portion being RR-10 where uses are allowed that have open space components, such as planned developments, the open space for the project can be located in the Flood Plain zone because it is specifically listed as a use in that zone. From this finding, it stands to reason that a property owner is not required to deduct the Flood Plain zoned acreage from the overall project acreage calculations because it is a part of and integrally managed with the development by the Lot owners as protected open space. The Board further notes the County has historically allowed flood plain zoned acreage to be included as open space in cluster and planned developments. Evidence in the record shows historical decisions that include flood plain in the calculations of the subdivision proposal. Finally, the Board finds the Planned Unit form of development, specifically defined in DCC 18.04, and authorized under DCC 18.128, allows development at a density of 1 unit per 7.5 "according to a plan that does not necessarily correspond in lot size, bulk or type of dwelling, density, lot concept Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 14 of 24 or required open space to the standard regulations otherwise required by DCC Title 18." The County Code further defines "Lot area" to include gross acreage, including right of way, for purposes of calculating density and lot area. Gross acreage is used to calculate the overall project dimensions and the Board finds this includes Flood Plain zoned acreage in the present request. The present proposal to create 19 lots ranging in size from 2 to 5 acres and comprising 42.5 acres in private lot area, with 94.1 acres of open space area on 144.7 acres project area is consistent with the definition and approval criteria for a planned development and the applicable provisions of the Flood Plain zone. Any increased density allowed by this development plan over and above the standard subdivision allowed outright in the RR-10 zone is justified based on the 94.1 acres of protected open space and the cohesive stewardship plan to both fund and implement the open space and riparian management plans for the property. Title 17, The County Subdivision and Partition Ordinance Section 17 16 100 Required Findings for Approval. A tentative plan for a proposed subdivision shall not be approved unless the Planning Director or Hearings Body finds that the subdivision as proposed or modified would meet the requirements of this title and Titles 18 through 21 of this code and is in compliance with the comprehensive plan. Such findings shall include, but not be limited to, the following. D. For subdivision or portions thereof proposed within a Surface Mining Impact Area (SMIA) zone under DCC Title 18, the subdivision creates lots on which noise or dust sensitive uses can be sited consistent with the requirements of DCC 18.56, as amended, as demonstrated by the site plan and accompanying information required - under DCC 17.16.030. FINDING: The Board deliberated on this topic as framed by issue 9 in the November 2, 2019 decision matrix. The Hearings Officer found "that Applicant did NOT clearly and definitively submit and support a request for a SMIA Site Plan review; rather, Applicant requested the Hearings Officer defer SMIA Plan review until the building permit stage" and found this criterion was not met. The Board finds the evidence in the record shows the applicant applied for the SMIA review, paid the requisite fee, and submitted the subdivision and builder's envelope plans. In addition, the Board finds the applicant submitted evidence that establishes all proposed buildable areas were over 250 feet from both of the applicable surface mining sites, #322 and #461. Finally, the Board finds that the applicant has demonstrated that the subdivision lots can be sited consistent with the requirements of DCC 18.56 and 17.16.100(D) and finds the applicant can comply with Section 18.56.120, Waiver of Remonstrance, through a condition of approval to record the waiver prior to final plat approval. Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 15 of 24 Section 17 36.170. Lots. Size and Shape. The size, width and orientation of lots or parcels shall be appropriate for the location of the land division and for the type of development and use contemplated, and shall be consistent with the lot or parcel size provisions of DCC Title 18 through 21, with the following exceptions: FINDING: The Board deliberated on this topic as framed by issue 11 in the November 2, 2019 decision matrix. Opponents question whether all lots are developable given siting constraints on the proposed building sites, such as rimrock setbacks, and believe the Board should require the applicant to conduct a rimrock survey of the lots to determine feasibility of residential construction on the lots. The Board finds that the lots have ample size to construct a dwelling,well, and septic. The record includes the Applicant's conceptual building envelopes and a typical residential building plan for a 4,000 square foot home, well, septic and reserve to demonstrate there is ample area on each lot to site a dwelling and all necessary residential components and meet the required setbacks. This evidence is supported by the testimony, both oral and written, of a local builder who reviewed the evidence and attested to the fact that all lots contain ample area to site a residence and all necessary infrastructure. The Board further finds there are no applicable approval criteria warranting a rimrock survey. The rimrock setbacks are imposed through LM review, which is required prior to the issuance of a building permit and which is a public land use process subject to all notice and participatory rights. V. DECISION: Based on the findings of fact and conclusions of law set out above, by a vote of 3-0 the Board hereby APPROVES the Applicant's proposed Conditional use and tentative subdivision plan to establish a 19-lot residential planned development on three parcels totaling 144.7 acres and reverses on appeal the September 24, 2019, Hearings Officer's Decision (file no. 247-19-000405-CU/406-TP/407- SMA/741-A and 757-A), which denied the application, subject to the following conditions: A. This approval is based upon the application, site plan, specifications, and supporting documentation submitted by the Applicant. Any substantial change in this approved use will require review through a new land use application. A substantial change to the site plan will result if the Redmond Fire Department requires a "second road" access meeting County "road" standards into the Subject Property. B. The Applicant shall obtain any necessary permits from the Deschutes County Building Division and Environmental Soils Division. Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 16 of 24 C. No building or structure shall be erected or enlarged to exceed 30 feet in height, except as allowed by DCC 18.120.040 D. Structural setbacks from any north lot line shall meet the solar setback requirements in DCC 18.116.180. E. The Applicant shall lawfully reconfigure the legal lots to correspond with the proposed plat boundaries, or otherwise establish the proposed plat boundaries as legal lot(s) prior the recording of any final plat under this approval. F. The Applicant shall not seek, nor be granted, exceptions from setback requirements set forth in DCC 18.60.050, DCC 18.84, DCC 18.56.100 D and the Oregon Scenic Waterway laws. G. The Applicant shall sign a Waiver of Remonstrance Easement for Surface Mining Site nos. 461 and 322 prepared by the county, record the document in the Deschutes County Book of Records, and submit a copy of the recorded document to the Planning Division prior to final plat approval. H. Lot Coverage. The main building and accessory buildings located on any building site or lot shall not cover in excess of 30 percent of the total lot area. I. Riparian Area Management Plan Implementing Conditions: 1. Prohibit, within the river canyon area (area below the bench/plateau), of changes in the natural grade including no alteration, removal or destruction of natural vegetation excepting when done as part of an ODFW approved habitat enhancement project; and 2. Prohibit construction of any structure, whether or not it requires a building permit, closer than 50-feet from any rimrock; and 3. Compliance with all provisions of the Revised RAMP; and 4. Prohibit the feeding of wildlife; and 5. Recording in the Deschutes County public records a copy of the CC&Rs with a copy of the Revised RAMP attached; and 6. Compliance with DCC 18.96.060. J. Fire Hazard Mitigation Conditions. 1. Compliance with the Redmond Fire and Rescue water storage requirements; and 2. Confirmation that only one access road is required; and 3. The cul-de-sac designs shall meet the requirements of Redmond Fire and Rescue; and 4. Additional conditions may be added by the Board based upon on additional information received from Redmond Fire and Rescue. K. In order to prevent or minimize erosion and/or pollution, changes in the natural grade Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 17 of 24 of land, or the alteration, removal or destruction of natural vegetation riverward of proposed and actual existing strictures or on existing slopes over 10 percent within the canyon shall be prohibited unless they are part of an ODFW approved habitat enhancement project. L. Any new structure or substantial exterior alteration of a structure requiring a building permit or an agricultural structure within an LM Zone shall obtain site plan approval in accordance with DCC 18.84 prior to construction. No setback exceptions will be granted in LM review for any lot/dwelling. M. The property owner shall convey to the County a conservation easement, as defined in DCC 18.04.030, "Conservation Easement," affecting all property on the subject lot which is within 10 feet of the ordinary high-water mark of the river or stream, prior to final plat approval. N. Notwithstanding DCC 18.84.090(E), structures in the PUD are precluded from receiving exceptions to the rimrock setback standards. O. All necessary federal, state and local government agency permits shall be obtained for work in the Flood Plain Zone. P. Structures are prohibited in the Flood Plain zoned portions of the property. ip. Prior to final plat approval, a drainage submittal package that is in conformance with the standards and criteria found within the Central Oregon Stormwater Manual shall be submitted to Deschutes Countyfor review and acceptance. Drainage facilities shall be designed and constructed to receive and/or transport at least a design storm as defined in the current Central Oregon Stormwater Manual and all surface drainage water coming to and/or passing through the development or roadway. R. All new surface water drainage shall be retained on -site on the upper bench/plateau of the subject property and outside the FP Zone. S. Drainage facilities compliant with the Central Oregon Stormwater Manual shall be designed for maximum allowable development. T. Each residential lot receive an approved septic site evaluation, prior to final plat approval. U. Road and Traffic Mitigation Conditions: Prior to construction of public and private road improvements: 1. The Applicant shall submit road improvement plans for private roads to Road Department for approval prior to commencement of construction pursuant to DCC 17.40.020 and 17.48.060. The roads shall be designed to the minimum Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 18 of 24 standard for a private road pursuant to 17.48.160, 17.48.180, and 17.48A. Road improvement plans shall be prepared in accordance with all applicable sections of DCC 17.48; and _. 2. Improvement plans shall include provisions for improvements on Lower Bridge Way to provide for the required intersection sight distances according to recommendations given in an acceptable Site Traffic Report. 3. Review and approval by the Road Department that Applicant Exhibit PH-2 meets all applicable transportation related requirements. Prior to final plat approval by Road Department: 4. The Applicant shall complete road improvements according to the approved plans and all applicable sections of DCC 17.48. Improvements shall be constructed under the inspection of a register professional engineer consistent with ORS 92.097 and DCC 17.40.040. Upon completion of road improvements, Applicant shall provide letter from the engineer certifying that the improvements were constructed in accordance with the approved plans and all applicable sections of DCC 17.48; and 5. Maintenance of the interior private roads shall be assigned to a home owners association by covenant or plat pursuant to DCC 17,16.040, 17.16.105, 17.48.160(A), and 17.48.180(E). If by covenant, Applicant shall submit covenant to Road Department or Community Development Department for review and shall record covenant with the County Clerk upon Road Department approval. A copy of the recorded covenant shall be submitted to the Community Development Department prior to final plat approval; and 6. All easements of record or existing rights of way shall be noted on the final partition plat pursuant to DCC 17.24.060(E), (F), and (H); and 7. The Applicant shall dedicate additional right of way to provide the required right-of-way width of 30 feet from the centerline on each side of the road (60- feet total minimum width) on Lower Bridge Way pursuant to DCC 17.36.020(B), 17.36.080, and 17.48A. Dedication shall be by plat declaration; and 8. The surveyor preparing the plat shall, on behalf of the Applicant, submit information showing the location of the existing roads in relationship to the rights of way to Deschutes County Road Department. This information can be submitted on a worksheet and does not necessarily have to be on the final plat. All existing road facilities and new road improvements are to be located within legally established or dedicated rights of way. In no case shall a road improvement be located outside of a dedicated road right of way. If research reveals that inadequate right of way exists or that the existing roadway is outside of the legally established or dedicated right of way, additional right of way will be dedicated as directed by Deschutes County Road Department to meet the applicable requirements of DCC Title 17 or other County road standards. This condition is pursuant to DCC 17.24.060(E),(F), and (G) and 17.24.070(E)(8); and 9. The Applicant shall submit as -constructed improvement plans to Road Department pursuant to DCC 17.24.070(E)(1); and Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 19 of 24 10. The Applicant shall submit plat to Road Department for approval pursuant to DCC 17.24.060(R)(2), 100, 110, and 140. V. Dust Mitigation Conditions: The Applicant shall mitigate dust from construction related ground disturbance at all times using the following Best management Practices: 1. Applicant shall include, in its Dust Control Plan (Exhibit 14, Attachment D), all of the following: a. Clearing and grubbing shall be held to the minimum necessary for grading and equipment operation; and b. Construction shall be sequenced to minimize the exposure time of the cleared surface area; and C. Exposed soils shall be quickly stabilized using vegetation, mulching, spray -on adhesives, calcium chloride, sprinkling, and stone/gravel layering; and d. Key access points shall be identified and stabilized prior to commencement of construction; and e. The impact of dust shall be minimized by anticipating the direction of prevailing winds; and f. Most construction traffic shall be directed to stabilized roadways within the project site; and g. Water shall be applied by means of pressure -type distributors or pipelines equipped with a spray system or hoses and nozzles that will ensure even distribution; and h. All distribution equipment shall be equipped with a positive means of shutoff; and i. Unless water is applied by means of pipelines, at least one mobile unit shall be available at all times to apply water or dust palliative to the project; and j. Pre -construction vegetative ground cover shall not be destroyed, removed, or disturbed more than twenty calendar days prior to land disturbance; and k. Temporary soil stabilization with appropriate vegetation shall be applied on areas that will remain unfinished for more than thirty calendar days; and I. Permanent soil stabilization with perennial vegetation or pavement shall be applied as soon as practical after final grading; and M. Irrigation and maintenance of the perennial vegetation shall be provided for thirty calendar days or until the vegetation takes root, whichever is longer; and n. Prior to any approval of mining use on SM Site 461 Applicant shall provide owners of the Subject Property (including individual lots) assurance of adequate dust control measures on SM Site 461. Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 20 of 24 W. All lighting shall be shielded and directed downward in accordance with DCC 15.10, Outdoor Lighting Control. X. Open Space Management Conditions: 1. Uses permitted in the open space tracts include the management of natural resources via the RAMP, creation and maintenance of trail systems, and other outdoor uses that are consistent with the character of the natural landscape; and 2. Off -road motor vehicle use is prohibited in the open space tracts; and 3. Construction of additional trails within the riparian area subject to the RAMP shall be limited to one consolidated access point which is signed and directs residents to use the trail access only and prohibits access through the riparian area except on designated trails. 4. Where the natural landscape on an open space tract has been altered by prior land use such as surface mining, reclamation and enhancement of the open space tract is permitted to create or improve wetlands, create or improve wildlife habitat, restore native vegetation, and provide for agricultural or forestry use after reclamation. All land use approvals 'required for such projects -- such as work in mapped wetlands, floodplains, and within the bed and bank of the Deschutes River - shall be obtained from Deschutes County; and 5. At the time the Applicant/owner transfers ownership of the open space tracts to the HOA, the Applicant/owner shall record with the Deschutes County Clerk deed restrictions on the open space tracts assuring that use of the tracts is limited to the use(s) allowed in the approved PUD, and precluding construction of any residential dwelling on the tracts, for as long as the open space tracts remain outside an urban growth boundary. Y. Structures and/or earthmoving are prohibited on or below slopes exceeding 10 percent within the canyon. Habitat improvement projects approved or sponsored by ODFW and not subject to this requirement. Z. All conditions of ZC-08-1 /PA-08-1 continue to apply to the use and development of the subject property. AA. The subdivision plat name shall be subject to the approval of the County Surveyor, prior to final plat approval. AB. Domestic Water Supply Statement: Prior to final plat approval, a statement that no domestic water supply facility will be provided to the purchaser of any lot depicted in the proposed subdivision plat, even if a domestic water supply source may exist. A copy of any such statement, signed by the subdivider and indorsed by the County, shall be filed by the subdivider with the Real Estate Commissioner and shall be included by the commissioner in any public report made for the subdivision under Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 21 of 24 ORS 92.385 (Examination). If the making of a public report has been waived or the subdivision is otherwise exempt under the Oregon Subdivision Control Law, the subdivider shall comply with the applicable provisions of ORS 92.090(4)(c). AC. Sewage Disposal Statement: Prior to final plat approval, a statement that no sewage disposal facility will be provided to the purchaser of any lot depicted in the proposed subdivision plat, where the Department of Environmental Quality has approved the proposed method or an alternative method of sewage disposal for the subdivision in its evaluation report described in ORS 454.755 (Fees for certain reports on sewage disposal) (1)(b). A copy of any such statement, signed by the subdivider and indorsed by the city or county shall be filed by the subdivider with the Real Estate Commissioner and shall be included by the commissioner in the public report made for the subdivision under ORS 92.385 (Examination). If the making of a public report has been waived or the subdivision is otherwise exempt under the Oregon Subdivision Control Law, the subdivider shall comply with the applicable provisions of ORS 92.090(5)(c). AD. No street name shall be used which will duplicate or be confused with the name of an existing street in a nearby city or in the County. Street names and numbers shall conform to the established pattern in the County and shall require approval from the County Property Address Coordinator. AE. Easements shall be provided along property lines when necessary for the placement of overhead or underground utilities, and to provide the subdivision or partition with electric power, communication facilities, street lighting, sewer lines, water lines, gas lines or drainage. Such easements shall be labeled "Public Utility Easement" on the tentative and final plat; they shall be at least 12 feet in width and centered on lot lines where possible, except utility pole guyline easements along the rear of lots or parcels adjacent to unsubdivided land may reduced to 10 feet in width. AF. A stormwater easement or drainage right of way conforming substantially with the lines of the Deschutes river shall be provided, prior to final plat approval. AG. Grading of building sites shall conform to the following standards, unless physical conditions demonstrate the property of other standards: 1. Cut slope ratios shall not exceed one foot vertically to one and one half feet horizontally; and 2. Fill slope ratios shall not exceed one foot vertically to two feet horizontally; and 3. The composition of soil for fill and the characteristics of lots and parcels made usable by fill shall be suitable for the purpose intended; and 4. When filling or grading is contemplated by the subdivider, that person/entity shall submit plans showing existing and finished grades for the approval of the Community Development Director. In reviewing these plans, the Community Development Director shall consider the need for drainage and effect of filling on adjacent property. Grading shall be finished in such a manner as not to Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 22 of 24 create steep banks or unsightly areas to adjacent property. AH. The Applicant shall pay a fee in lieu of dedication of park land in the amount of $350 per dwelling unit, prior to final plat approval. Al. No on street parking shall be allowed within bike lanes. AJ. Culverts and Drainage 1. Road culverts shall be concrete or metal with a minimum design life of 50 years. 2. All cross culverts shall be 18 inches in diameter or larger; and 3. Culverts shall be placed in natural drainage areas and shall provide positive drainage; and. 4. Drainage Swales. The Design Engineer is responsible to design a drainage Swale adequate to control a design storm as defined in the Central Oregon Stormwater Manual created by Central Oregon Intergovernmental Council; and 5. Drainage Plans. A complete set of drainage plans including hydraulic and hydrologic calculations shall be incorporated in all road improvement plans; and 6. Drill Holes. Drill holes are prohibited; and 7. Injection wells (drywells) are prohibited in the public right-of-way. AK. All fencing on the Subject Property shall be wildlife friendly and meet the requirements of DCC 18.88.070. AL. The applicant shall obtain OPRD approval for the PUD (prior to Final Plat approval) and for each individual dwelling (prior to a building permit being issued). AM. All sewage disposal installations, such as septic tanks or septic drainfields, shall be set back from the ordinary high water mark along all streams or lakes a minimum of 100 feet, measured at right angles to the ordinary high water mark. In those cases where practical difficulties preclude the location of the facilities at a distance of 100 feet and the County Sanitarian finds that a closer location will not endanger health, the Planning Director or Hearings Body may permit the location of these facilities closer to the stream or lake, but in no case closer than 25 feet. AN. All structures, buildings or similar permanent fixtures shall be set back from the ordinary high water mark along all streams or lakes a minimum of 100 feet measured at right angles to the ordinary high water mark. AO. All computations related to DCC 18.128.210 B.7 shall carried out to two decimal places. Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 23 of 24 VII. DURATION OF APPROVAL The applicant shall initiate the use for the proposed development within two (2) years of the date this decision becomes final, or obtain approval of an extension under Title 22 of the County Code, or this approval shall be void. Dated this day of January , 2020. BOARD OF COUNTYCOMMISSIONERS FOR DESCHUTES COUNTY Patti Adair, Chair Anthony DeBone, Vice Chair Philip G._Henderson, Commissioner THIS DECISION BECOMES FINAL WHEN MAILED. PARTIES MAY APPEAL THIS DECISION TO THE LAND USE BOARD OF APPEALS WITHIN 21 DAYS OF THE DATE ON WHICH THIS DECISION IS FINAL. Board of County Commissioners Decision, Document No. 2020-080 File Nos. 247-19-000405-CU/406-TP/407-SMA / 247-19-000741-A/757-A Page 24 of 24 \)TES CO o' Deschutes County Board of Commissioners 1300 NW Wall St, Bend, OR 97703 (541) 388-6570 - Fax (541) 385-3202 - https://www.deschutes.org/ AGENDA REQUEST & STAFF REPORT For Board of Commissioners BOCC Wednesday Meeting of January 15, 2020 DATE: January 9, 2020 FROM: Zechariah Heck, Community Development, 541-385-1704 TITLE OF AGENDA ITEM: CONTINUED PUBLIC HEARING: Nonprime Resource Lands BACKGROUND AND POLICY IMPLICATIONS: An initial public hearing was held by the Board on November 18, 2019 to consider proposed Comprehensive Plan amendments that establish eligibility criteria for six specific areas currently designated Exclusive Farm Use or Forest Use to Nonprime Resource (NPR) Lands. The Board continued the public hearing to January 15, 2020. FISCAL IMPLICATIONS: None ATTENDANCE: Zechariah Heck, Associate Planner; Peter Gutowsky, Planning Manager; Nick Lelack, CDD Director. u ►fTi �L7 7_PIIIIJ61 TO: Board of County Commissioners ("Board") FROM: Zechariah Heck, Associate Planner DATE: January 8, 2020 SUBJECT: Nonprime Resource Lands / Hearing Preparation (File No. 247-19-000265-PA) The Board will continue a public hearing on the Nonprime Resource ("NPR") Lands amendments on January 15, 2020. I. BACKGROUND An initial public hearing was held by the Board on November 18, 2019 to receive public testimony and consider the Planning Commission's recommendation to approve Comprehensive Plan amendments that establish eligibility criteria for six specific areas currently designated Exclusive Farm Use or Forest Use to Nonprime Resource (NPR) Lands, defined in Oregon Administrative Rules (OAR) 660-004-0005(3) as "Non Resource Lands." These areas are legacy residential developments as they were platted or conveyed prior to State enabling planning legislation taking effect in Deschutes County. The six subject properties are: • Haner Park • Section 36 (Township 22, Range 10) • Skyline Subdivision • 1 st Addition to Skyline Subdivision • Squaw Creek Canyon Recreational Estates 1 st Addition • Meadow Crest Acres Subdivision Central Oregon Landwatch commented during the November 18 hearing in addition to submitting written testimony. 1,000 Friends of Oregon also submitted written testimony. Both organizations oppose the proposed amendments by stating the County has made conclusionary statements that lack factual basis for complying with Statewide Planning Goals 2 - Land Use Planning, 3 - Agricultural Lands, 4 - Forest Lands, 5 - Natural Resources, 7 - Natural Hazards, 10 - Housing, 11 - Public Facilities and Services and 12 - Transportation. The hearing was continued to January 15, 2020. 117 NW Lafayette Avenue, Bend, Oregon 97703 1 P.O. Box 6005, Bend, OR 97708-6005 Q, (541) 388-6575 @ cdd@deschutes .org @ www.deschutes.org/cd UPDATED FINDINGS / POLICIES Staff is in the process of responding to the concerns raised by Central Oregon Landwatch and 1,000 Friends of Oregon by coordinating with Oregon State Extension, County Forester, Oregon Department of Fish and Wildlife, rural fire protection districts, and the cities of Bend, La Pine, Redmond and Sisters. Staff requests the Board consider an open record period after the January 15 public hearing to allow several letters from the above mentioned agencies to be included in the record. Goal 2 - Land Use Planning Both Central Oregon Landwatch and 1,000 Friends of Oregon expressed concern of the terminology "committed residential areas", by suggesting it inflates a relationship with the State exception process (ORS 197.732(2)(b) and OAR 660-004-0028). This was not the intention. The purpose of the amendments is to address six legacy residential developments that preceded the statewide land use system. These areas are developed with residential uses and contain rural -residential infrastructure, i.e., septic systems, roads, electric utilities. Each subject property has a small average lot size. There is no history or evidence of farm or forest uses. Nonetheless, staff has omitted the word "committed" in reference to these areas to clear any potential confusion. Goal 3 - Agricultural Lands Squaw Creek Canyon Recreational Estates 1st Addition and Meadow Crest Subdivision are zoned Exclusive Farm Use, which is intended to preserve agricultural land and restrict developments unrelated to farming activities that may create conflicts.' However, both of these areas are residentially developed, have less than a 2.5 acre average lot size, and each lot is privately owned by separate parties. There is no history or evidence of agricultural uses or irrigation on these properties. Staff has coordinated with Oregon State Extension to perform an analysis of the commercial viability of farming these properties. Unfortunately, Oregon State Extension was not able to provide a letter by the submittal date of this memorandum. Staff will update the Board on January 15 regarding an anticipated letter. Goal 4 - Forest Lands Skyline Subdivision, 1 st Addition to Skyline Subdivision, Haner Park, Section 36, and a portion of Squaw Creek Canyon Recreation Estates are zoned Forest Use 2, which is intended to preserve forest lands for commercial forestry. Despite the purpose of the zone, these areas are developed with residential uses and have no history of commercial forest activities. County Forester Ed Keith performed an analysis to determine the economic potential of each area if utilized as the zone intends, i.e., a commercial forestry operation (Attachment 1). Mr. Keith's analysis concludes that only a small-scale firewood business could exist on the subject properties. Such an operation would yield approximately $18.22 per acre on an annual basis for the most productive areas. ' Squaw Creek Canyon Recreation Estates has an area zoned Forest Use 2 as well. Page 2 of 9 Mr. Keith's analysis justifies why these areas are not suitable for commercial forest uses, now and into the future, including adjacent or nearby lands for forest operations and practices. Goal 5 - Natural Resources Three of the subject properties contain acknowledged Goal 5 habitat for winter deer range or deer migration corridors: • Squaw Creek Canyon Recreational Estates 1 st Addition (Winter Deer Range) • Meadow Crest Acres Subdivision (Deer Migration Corridor) • Section 36 (Deer Migration Corridor) Deschutes County acknowledges the Wildlife Combining Zone, a Goal 5 wildlife inventory affects these three areas. However, the proposal does not create a new conflicting use. Residential uses and their accessory structures are allowed today and would be permitted if the Comprehensive Plan policies are adopted and a corresponding zone change to Nonprime Resource Lands -10 occurs. The process for developing a residential use is the only thing that would change. Today, a property owner must apply and receive approval for a conditional use permit to develop a residence! Single-family residential uses would be permitted outright if the proposed amendments are adopted and the County subsequently adopts and applies a Nonprime Resource Lands zone to the subject properties. This would help eliminate the regulatory burden faced by property owners in these areas, without creating a new conflicting use. Staff has coordinated with the Oregon Department of Fish and Wildlife (ODFW) to determine if they have any concerns with the County's proposal. Clarification that all new housing, regardless if it is permitted conditionally or outright, is required to meet Wildlife Area Combining Zone fencing and siting standards was shared with the department. ODFW staff had not submitted any concerns at the time of writing. Goal 7 - Natural Hazards and Goal 12 - Transportation Testimony submitted on November 18 described concerns with permitting additional development in areas that could be considered a wildfire hazard area. In response to this concern, staff asked fire districts to comment on the proposed amendments. Sisters - Camp Sherman Rural Fire Protection District and Deschutes County Rural Fire Protection District #2 both provided comments, Attachments 2 and 3, respectively. The fire districts stated no concerns regarding the proposal. Both districts referenced the policies that prevent future land divisions (Policies 3.3.2 and 3.11.6) and the fact that a limited number of future residences could be established on the subject properties. Furthermore, staff has updated the proposed Comprehensive Plan policies to include a new policy, Policy 3.11.2 that addresses wildfire hazards and transportation access by requiring applicants to demonstrate a subject property has adequate fire protection. 2 DCC 18.128.015, General Standards Governing Conditional Uses, which contain compatibility criteria, do not apply to individual single-family dwellings. Page 3 of 9 Policy 3.11.2 In addition to State rules governing nonresource lands, to qualify for a Nonprime Resource Lands comprehensive plan designation and Nonprime Resource Lands zoning, a property must demonstrate: a. It is located in a fire -protection district or can be annexed into one, b. There is adequate access for fire apparatus to serve the subject property, or c. Other measures that prove there is adequate fire protection for potential uses. This policywill inform a provision in a Nonprime Resource Lands -10 zone to ensure that prior to issuing a new residential dwelling permit, the applicant demonstrates adequate access and fire protection. With the letters from fire districts now a part of the record and the inclusion of a specific wildfire hazard policy, there are no Goal 7 or 12 impacts with the proposed amendments. Goal 10 - Housing In aggregate, a total of 110 residences could be established on the six subject properties. The nearest property proposed for redesignation is approximately two miles awayfrom an Urban Growth Boundary (UGB), i.e., Squaw Creek Canyon Recreational Estates to the City of Sisters. The rest of the properties are at least three miles away from an UGB. Staff has coordinated with the cities of Bend, Sisters, La Pine, and Redmond to determine if there would be any impact on their Goal 10 - housing obligations in case the proposed amendments yielded full build -out of each subject property. Each municipality provided a letter for the record stating there would be no impact on their housing objectives (Attachments 4, 5, 6, and 7). Not one of the subject properties is within a city's 20-year housing needs analysis or buildable lands inventory. These letters demonstrate there are no Goal 10 impacts with the proposed amendments. Goal 11 - Public Facilities and Services Opposition to the proposed amendments include assertions they fail to address whether the soils and water table for the subject properties are of sufficient quality and depth to accommodate the wastewater needs of potential residential development. Todd Cleveland, Deschutes County Environmental Health Supervisor, has provided a letter to the record stating onsite wastewater treatment systems are not a significant limitation to residential uses on the subject property (Attachment 8). Additional statements were raised that the findings failed to address whether domestic wells will provide sufficient water for the proposed uses and whether additional residential water use will impact irrigation on resource lands. There are no groundwater limitations near the subject properties. Oregon Water Resource Department (OWRD) is responsible for administering State regulations relating to domestic wells and irrigation demands. Deschutes County does not have the authority to prohibit land uses based on concerns of limited groundwater availability. It is the responsibility of a property owner to verify with OWRD that a domestic well could be successful. This is the modus operandi today when one applies for a residence in the County, regardless of zoning, and it will remain if the County's proposal is adopted. Page 4 of 9 Summary The State land use system is not working for these six legacy residential areas zoned EFU and Forest Use. Property owners in these areas must go through a perfunctory process in order to exercise their property rights because of inaccurate zoning designations. The subject properties look and act like rural residential subdivisions. They have decades of residential development since each area was platted or conveyed prior to State land use legislation taking effect in the County. A majority of the properties are developed with single-family residences and will continue to be developed. The question at hand is what process the County and State will require property owners to go through? The State's non -resource land program, locally referred to as Nonprime Resource Lands, is a mechanism that can alleviate the regulatory burden and reflect the actual lay of the land of these legacy residential areas. This has been an issue Deschutes County has attempted to address for over a decade. The County has been told these areas are not mapping errors, and, thus, cannot be addressed through the State's Big Look Bill. Staff from the Department of Land Conservation and Development (DLCD) have stated the County cannot utilize an exception process for these areas because too many non -farm and template dwellings have been approved. The only option to address the anomaly of the situation is to redesignate the subject properties under the proposed Nonprime Resource Lands amendments. The system creating a hardship for the property owners of Squaw Creek Canyon Recreation Estates, Skyline Subdivision and 1 st Addition, Meadow Crest Acres, Haner Park and Section 36 can be improved. The State's non -resource land program permits a jurisdiction to rezone properties that have an exceedingly low capacity to be managed for commercial agriculture and/or forestry activities. The County has shown the subject properties do not meet the definitions of either agricultural land or forest lands found in Statewide Planning Goals 3 and 4 and accompanying Oregon Revised Statutes and Oregon Administrative Rules due to the presence of poor soil conditions, a lack of irrigation, climate conditions and other relevant factors, including but not limited to past use. Furthermore, the attached letters demonstrate the County has adequately coordinated with applicable agencies and jurisdictions to confirm the proposal complies with applicable statewide planning goals and State law. II1. NEXT STEPS An attached matrix lists the updated draft goal and policy amendments with staff comments. Again, the County will propose a new NPR Lands designation and NPR-10 zone solely to the six legacy residential areas if the amendments are acknowledged. This new zone will allow a single-family dwelling or a manufactured home and their accessory uses outright. At the conclusion of the public hearing, the Board can: • Continue the hearing to a date certain; • Close the hearing and leave the written record open to a date certain; or • Close the hearing and commence deliberations or schedule to a later date. Page 5 of 9 Attachments: 1. Letter from Ed Keith, Deschutes County Forester 2. Letter from Sisters - Camp Sherman Rural Fire Protection District 3. Letter from Deschutes County Rural Fire Protection District 4. Letter from the City of Bend 5. Letter from the City of Redmond 6. Letter from the City of Sisters 7. Letter from the City of La Pine 8. 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Estates — Avg. lot size 2.5 acres Following is my analysis informed by the Natural Resources Conservation Service soil productivity data that includes the following assumptions: • Productivity is provided as an average cubic foot per acre per year growth potential. This averages out soil productivity across soil types, although soil types may not be evenly distributed on a given parcel. You can see the full value of soil productivity for each soil type in the attached excel spreadsheet. 0 Depending on standing (existing) volume there may not be trees thereof a sufficient size to harvest at present. This analysis assumes parcels are fully stocked. I also assume you would only harvest once a decade, due to slow growth rates, even though revenues are averaged out on a per year basis. • 1 assume no maintenance costs such as the need for pre -commercial thinning or other stand improvement activities (burning, road maintenance, etc.). If maintenance costs are included (currently unknown) net revenue would be decreased. • 1 assume that the landowner is optimizing growth, because soil productivity is stated in the culmination of mean annual increment (the point in time where the entire stand reaches an ideal stocking and the maximum amount of volume that a tree can add is being added yearly). It's unlikely that this is actually the case, the land is likely to be either under or overstocked, both negatively influencing growth per acre, so the estimate will be overstated. • No mortality or other loss is accounted for (i.e. theft, non -merchantability, wildlife damage, storm damage) • No other costs other than the costs, including labor and equipment, for producing the products are accounted for (i.e. taxes/assessments, road access maintenance, etc.). As a note, if just the cost of Oregon Department of Forestry fire protection is factored in (currently about $1.80 per acre per year with a minimum charge of $18.75 per lot per 61150 SE 271" Street Bend, Oregon 97702 (541) 322-7117 ed.keith@deschutes.org www.descliutes.org year and a surcharge of $47.50 per lot per year if the lot has an improvement) there is a net cost (i.e. loss) for owning most of these lots as forestland. Analysis• After review of the average lot size, the only likely commercial timber utilization for all areas with the possible exception of Section 36 would be selling firewood. I first considered calculating based on an assumed timber harvest, however there are several reasons not to assume a timber harvest. Smaller lot sizes would not have the volume to justify a timber harvest considering the fixed costs to move in equipment, hire a logger, and all the cost that go along with logging that require a larger scale and higher volume to account for fixed costs. Having enough volume for a timber harvest (partial cuts / thinning) on these low productivity soils may be every 40 years, providing an unpredictable and difficult to forecast revenue source due to the risk of fire, insects, disease, interest rates and market fluctuations. Finally, with current delivered log prices (approximately $325/MBF) and logging costs and haul costs (approximately $210/MBF) it is unlikely that saw logs would be much more profitable than firewood at the size of these lots, even dismissing some of the above mentioned costs. I'd estimate that if an owner were to have a larger tract (to reach an economy of scale) with similar soils they would still only be providing an average yearly profit of approximately $25.00 per acre per year after logging and hauling costs (possibly .24 MBF/year * $110/MBF net = $26.40 /acre / year). Thus, in order to provide consistent information I've made the assumption that firewood would be the most likely way to provide for revenue from forest products across all subdivisions. Using the Natural Resources Conservation Service soil survey information I compiled a listing of soil types present in each subdivision along with their associated estimated soil productivity. Based on that soil productivity I then estimated an average harvest per acre per decade, and applied gross revenue and costs based on a survey of current commercial firewood operations. I then averaged those revenues back out to a year to year income resulting in an estimated net revenue per acre per year. Results (see attached excel spreadsheet for detailed calculations): • Haner Park — Avg. lot size 1.19 acres: $10.47 / ac / yr. • Section 36 — Avg. lot size 11.65 acres: $13.78 / ac / yr. • Skyline Subdivision and Skyline 1st Addition —Avg. lot size 0.73 acres: $18.22 / ac/ yr. • Squaw Creek Canyon Rec. Estates — Avg. lot size 2.5 acres: $16.41 / ac/ yr. § \ \ \! §§! ]§ !§§ ]§ § § II as !w ° a § §! §!§ §§ !! )§ ) 4 a ;w a!@ 88 Ba ,a a § !! §§E §N !! e! a § §! !!! !B !! !! § B It It ! It ! ! ! It 1!q )f / !\ \;\ \\ � ) !i 34 / Sisters -Camp Sherman Rural Fire Protection District "Protecting Life and Property through Quality Service's December 10, 2019 Zechariah Heck Deschutes County Community Development 117 NW.Lafayette Avenue Bend, Or. 97708 Zechariah, Thank you for the opportunity to provide input regarding the proposed change in zoning for Squaw Creek Canyon Recreation Estates 1't Addition to Nonprime Resource Lands. The proposed zoning would apply to approximately 18 vacant parcels within the boundaries of the Sisters -Camp Sherman Fire Protection District. The properties impacted by the proposed change in zoning are within two road miles of our fire station located at 17233 Buffalo Drive. This fire station currently provides structural and wildland fire response as well as emergency medical first response services to adjoining properties. The Fire District supports the change in zoning for these parcels due to the following factors: 1. Many of the surrounding properties are already developed and no new lots are being created as a result of the change In zoning. 2. The lots likely would be developed without the change in zoning. 3. Our existing facilities and personnel are capable of providing emergency services to the lots Identified. 4. There is adequate road access4or emergency responders to serve the lots. I would appreciate the opportunity to review the site plans for new development to Insure we will have adequate access to structures once they are developed. merely, Rogerlohnsot Fire Chief 301 South Elm Street, PO Box 1509 Sisters, Oregon 97759 Phone 541-549-0771 Fax 541-549-1343 (S41) 318-04S9 1 1212 SW Simpson Ave. I Bend, OR 97702 1 Fax (S41) 322-6320 December 18, 2019 Zechariah Heck Associate Planner Deschutes County Community Development Subject: Non -Resource Lands To Whom it May Concern: The Deschutes County Rural Fire Protection District #2 was requested to submit a letter for the record. Skyliner Subdivision, 15t Addition appears to be the only planned community within the Rural Fire District that meets the criteria as defined by Deschutes County as Non -Resource Lands. The elected Fire District Board members discussed this request at their December 10, 2019 regular meeting and do not have any concerns with the proposal from Deschutes County to change this area of concern to Non -Prime Resource Lands. Their decision was based upon that Deschutes County will not create any additional lots and only residences and associated structures will be allowed on the 11 vacant lots. The Fire District is also requesting that any substantial remodel or newly constructed residences or other associated structures on said property, including roads and bridges (to and from the residence) should meet the requirements of the Oregon Fire Code and Fire District #2 ordinances. In addition, all structures when required by the Fire Department Fire Marshal should meet best practices requirements to mitigate the spread of wildfire. Respectfully Submitted, ,/ (3 -7' Gary N. Marshall Executive Director CITY OF BEND December 16, 2019 710 NW WALL STREET Zechariah Heck, Associate Planner PO BOX 431 Deschutes County Community Development Department BEND, OR 97709 (541) 388-5505 tel P.O. Box 6005 Relay Users Dial 7-1-1 Bend, OR 97708 (541) 385-6676 fax bendoregon.gov Re: Nonprime Resource Lands, Deschutes County File No. 247- 19-000265-PA MAYOR Sally Russell MAYOR PRO TEM Zechariah, Bruce Abernethy The City of Bend Growth Management Department understands CITY COUNCILORS Deschutes County has proposed comprehensive plan amendments to Barb Campbell Gene Goodman -Campbell establish a Nonprime Resource Lands program. Specifically, the Justin Livingston amendments focus on six residential areas that were platted or conveyed Bill Moseley prior to State enabling planning legislation taking effect. The subject areas Chris Piper are: CITY MANAGER - Squaw Creek Canyon Recreational Estates 1st Addition Eric King Skyline Subdivision and 1st Addition - Meadow Crest Acres Subdivision - Haner Park - Section 36 (Township 22, Range 10) We understand a goal of the proposed amendments is to allow single- family residences and their accessory uses as an outright permitted use. Redesignating these six areas to a Nonprime Resource Land 10 zone may lead to 110 new homes in the county on properties that are currently undeveloped. The City of Bend's Comprehensive Plan and Housing Needs Analysis adopted in 2016 does not consider these subdivisions. Bend's Housing Needs Analysis is based on factors relevant to the City of Bend, not the subdivisions previously mentioned. The subject properties are not considered in the City of Bend's 20-year housing needs analysis or buildable lands inventory due to the distance from the Urban Growth Boundary among other factors. The County's Nonprime Resource Land amendments pertaining to these subdivisions will therefore not affect the City of Bend's adopted housing policies or objectives. Sincerely, Brian Rankin Growth Management Department Director City of Bend MO CITY OF REDMOND Community Development Department 1910 r'Q10 -- January 1, 2020 Mr. Zechariah Heck, Associate Planner Deschutes County Community Development Department P.O. Box 6005 Bend, OR 97708 Re: Nonprime Resource Lands, Deschutes County File No. 247-19-000265-PA Dear Mr. Heck, 411 SW 9th Street Redmond, OR 97756 (541)923-7721 Fax: (541) 548-0706 wwwAxednrond.ontis The city of Redmond Planning Department understands Deschutes County has proposed comprehensive plan amendments to establish a Nonprime Resource Lands program. Specifically, the amendments focus on six residential areas that were platted or conveyed prior to State enabling planning legislation taking effect. The subject areas are: - Squaw Creek Canyon Recreational Estates Is'Addition - Skyline Subdivision and 1st Addition - Meadow Crest Acres Subdivision - Haner Park - Section 36 (Township 22, Range 10) We understand a goal of the proposed amendments is to allow single-family residences and their accessory uses as an outright permitted use. Redesignating these six areas to a Nonprime Resource Land 10 zone may lead to 110 new homes in the county on properties that are currently undeveloped. The subject properties are not considered in the Redmond 20-year housing needs analysis or buildable lands inventory due to the distance from the Urban Growth Boundary among other factors. The County's Nonprime Resource Land amendments will therefore not impact our housing policies or objectives. Sincerely, r Deborah McMahon, Planning Manager CITY OFSISTERS PO Box 39 - Sisters, Or 97759 1 ph: 541-549-6022 1 x""vxi.sisters.or.us COMMUNITY DEVELOPMENT DEPARTMENT December 31, 2019 Zechariah Heck, Associate Planner Deschutes County Community Development Department P.O. Box 6005 Bend, OR 97708 Re: Nonprime Resource Lands, Deschutes County File No. 247-19-000265-PA Zechariah, The City of Sisters Community Development Department understands Deschutes County has proposed comprehensive plan amendments to establish a Nonprime Resource Lands program. Specifically, the amendments focus on six residential areas that were platted or conveyed prior to State enabling planning legislation taking effect. The subject areas are: - Squaw Creek Canyon Recreational Estates 11t Addition - Skyline Subdivision and 1st Addition - Meadow Crest Acres Subdivision - Haner Park - Section 36 (Township 22, Range 10) We understand a goal of the proposed amendments is to allow single-family residences and their accessory uses as an outright permitted use. Redesignating these six areas to a Nonprime Resource Land 10 zone may lead to 110 new homes in the county on properties that are currently undeveloped. The subject properties are not considered in the City of Sister's 20-year housing needs analysis or buildable lands inventory due to the distance from the Urban Growth Boundary among other factors. The County's Nonprime Resource Land amendments will therefore not impact our housing policies or objectives. If you have any questions, please feel free to call me at (541) 323-5219 or email me at pdavenport@ci.sisters.or.us. Sincerely, Patrick Davenport, AICP, CFM Community Development Director b�W �oY �X. r CITY OF LA PINE - - - - 16345 Sixth Street — PO Box 2460 O R C G O N La Pine, Oregon 97739 TEL (541) 536-1432 — FAX (541) 536-1462 www.lapineoregon.gov January 6, 2020 Zechariah Heck, Associate Planner Deschutes County Community Development Department P.O. Box 6005 Bend, OR 97708 Re: Nonprime Resource Lands, Deschutes County File No. 247-19-000265-PA Zechariah, The City of La ,Pine Community Development Department understands Deschutes County has proposed comprehensive plan amendments to establish a Nonprime Resource Lands program. Specifically, the amendments focus on six residential areas that were platted or conveyed prior to State enabling planning legislation taking effect. The subject areas are: - Squaw Creek Canyon Recreational Estates 111 Addition - Skyline Subdivision and 1st Addition - Meadow Crest Acres Subdivision - Haner Park - Section 36 (Township 22, Range 10) We understand a goal of the proposed amendments is to allow single-family residences and their accessory uses as an outright permitted use. Redesignating these six areas to a Nonprime Resource Land 10 zone may lead to 110 new homes in the county on properties that are currently undeveloped. The subject properties are not considered in the City of La Pine's 20-year housing needs analysis or buildable lands inventory due to the distance from the Urban Growth Boundary among other factors. The County's Nonprime Resource Land amendments will therefore not impact our housing policies or objectives. Sincerely, Melissa Bethel City Manager E S o w e� COMMUNITY DEVELOPMENT January 3, 2020 To: 'Zechariah Heck, Associate Planner From: Todd Cleveland, Environmental Health Supervisor, Environmental Soils Division RE: Nonprime Resource Lands — Onsite Wastewater Treatment Systems Below is a summary of onsite wastewater systems approved for use and limitations for onsite wastewater systems in the areas identified. Most of these areas have onsite wastewater systems serving existing development. In some cases, the records are quite old and limited. A site evaluation is required for each lot or parcel prior to any new permit. Squaw Creek Canyon Estates Within this subdivision each lot has been evaluated and issued an approved site evaluation prior to the approval of the final plat. Typically, conventional systems that include alternative systems have been required. Often in areas along the rim of the canyon the soil conditions are more limited requiring the use of alternative systems such as capping fills, sand filters or alternative treatment technologies. Skyliner Subdivision and Skyliner V Addition Lot size, setbacks and proximity to Tumalo Creek can impact onsite wastewater system requirements. Most sites have been suitable for a conventional system or an alternative treatment technology. A few parcels may be too small, lack suitable area or be too near the creek to obtain approval for any type of system. Meadow Crest Acres This area is served with onsite wastewater systems and typically can be approved. This development is located in an area of groundwater concern and based on detailed hydrogeological analysis needs nitrogen reducing onsite wastewater technologies to best protect water resources for future beneficial uses. Haner Park Many older onsite wastewater systems serve the existing residential cabins this area. Conventional onsite wastewater systems serve this area. At times, setback or available area can limit onsite approvals. A Department of Environmental Quality hydrologist determined this area to be a low risk area for groundwater and water resource contamination from onsite wastewater systems; therefore, conventional systems have been approved. Section 36 (Township 22, Range 10) Conventional onsite systems serve existing development and good soils allow for conventional systems in this area. The rural nature and low density provide significant protection to groundwater resources from any potential contamination from onsite wastewater treatments systems. There are no obvious concerns with conventional onsite wastewater treatment systems serving development in this area. Conclusion: Onsite wastewater treatment systems are not a significant limitation to residential uses in these areas. 117 NW Lafayette Avenue; Bend, Oregon 97703 1 P.O. Box 6005, Bend, OR 97708-6005 '�� (541) 388-6575 @ cod@bdeschutes.org @) www.desChUtes.org/cd i ,• i.E3ts Y0iC' R AL A1:. January 14, 2020 Deschutes County Board of Commissioners 1300 NW Wall Street Bend, OR 97703 Re: Nonprime Resource Lands Dear Chair and Commissioners, E,t?!�S'' f ip!c I is it n Sr. 2vr. P 7t 7 6227 On behalf of the Central Oregon Association of REALTORS° (COAR) — representing nearly 1,800 real estate professionals in Deschutes County — thank you for the opportunity to comment on the County's Nonprime Resource Lands program. We support the proposed comprehensive plan amendments to establish eligibility criteria for designating Exclusive Farm Use or Forest Use zoned properties to Nonprime Resource (NPR) Lands defined in OAR 660-004-0005(3) as "Non -Resource Lands." Deschutes County is the fastest -growing County in Oregon — far out -pacing the U.S. average. Growth trends between the April 2010 census through July 1, 2018 show that Deschutes County grew by 21.7 percent. In comparison, the U.S. national average growth for the same time period was 6 percent.' Population estimates indicate that this pattern of rapid growth is not likely to slow in the near future. Recent projections from Portland State University's Oregon Population Forecast Project predict an increase of more than 57 percent between the recorded July 2018 population and 2043.2 Such significant growth presents myriad challenges to the County, but one of the most pressing is housing. As real estate professionals, we understand the housing challenges in our region particularly well and we are acutely aware of the impacts of growth on the local real estate market. Six months is generally considered a healthy supply of housing. As of January 2020, the current housing supply for all residential property types within Deschutes County is 4.2 months. In the more affordable segments of the market, the supply picture is even more bleak— in the $259,000 to $398,999 range, 2.7 months of inventory is available.' A limited supply of housing also means fewer options at various — and affordable — price points; leaving large portions of the community straining under the weight of housing costs they cannot afford. The U.S. Department of Housing and Urban Development (HUD) considers those whose monthly housing costs exceed 30 percent of their monthly income to be "housing cost burdened." In Deschutes County, more than half of renter households fall into this category .n, s _ _ _.__ Ce. n 11a10 r i, p o A ;Ao bF at:on o i REAI.I(DRS` I ',l_2 NE Z ' S-( r et Bend 0it, 97?01 : F,IioIie: 3>1 382 6027 rl E G LANDWATCH January 15, 2020 Deschutes County Board of Commissioners 1300 NW Wall Street Bend, OR 97703 via hand delivery 2843 NW Lob Di Sie. 200 j tie rid, OR'97703 Phone: (341) 647-2930 www.colw.org re: File No. 247-19-000265-PA Amendments to comprehensive plan to change the development allowed on certain agricultural and forest lands Dear Chair Henderson and Commissioners, On behalf of Central Oregon LandWatch, thank you for the opportunity to comment on the proposed amendments. LandWatch believes the proposed amendments contravene the statewide planning goals, which provide the exclusive method for excluding certain lands from goal requirements. The County proposes to alter the uses perniitted in six specific areas: Meadow Crest Acres (F I); Squaw Creek Canyon Recreational Estates (F2, EFU); Haner Park (F2); Skyline Subdivision (F2); Skyline Subdivision 1st Addition (F2); Section 36 (F2). Exhibit F to proposed Ordinance 2019-007 ("Exhibit F). The lands, which are maintained and preserved for agriculture and forestry in the County, are preserved because they meet the definition of agricultural lands and forest lands, respectively. The County fails to demonstrate that reasons justify why the state policies in Goals 3 and 4 should not apply to these six areas. ORS 197.732(2)(c)(A). The proposal misinterprets the applicable law by referring to the six areas as "committed to residential uses." Just because there are other houses in an area does not mean it is "committed to residential uses." The word "committed" is a term of art that is to be determined in a goal exception process. The County has not justified exceptions for any of the six areas. Exhibit F. Nolec:ling Control Oie(. oWs Noturcil Environment And Working For Susfcrine ble C�wnmurni;ies 2 The proposed action is quasi-judicial, not legislative, because it will apply not to the whole county, but to the six named areas. Petersen v. Mayor & Council of City of Klamath Falls, 279 Or 249, 255-56, 566 P2d 1193, 1196 (1977) (a decision is quasi- judicial when it necessarily involves the application of general standards to a specific situation); Fasano v. Washington County, 264 Or 574, 581, 507 P2d 23, 26 (1973) (a determination of whether the permissible use of specific pieces of property should be changed is usually an exercise of judicial, not legislative, authority). Our specific comments are below. The six areas are not legally "commnitted; " the amendments mischaracterize the six areas by referring to the areas as "committed, " whichh must be justified through the exceptions process of Goal 2. The amendments misinterpret and misapply the applicable law in describing the six areas as "committed to residential uses." e.g.: "[The] NPR-10 zone is available only for four subdivisions, Haner Park and Section 36 committed to residential uses because they are platted, parcelized, or partially developed and committed to residential uses." Exhibit F, 4. Emphasis added. "These six areas are committed to residential uses..." Exhibit D. Emphasis added. The term "committed" in Oregon land use law refers to lands where an irrevocably committed exception has been justified. ORS 197.732(2); Goal 2. The County has not justified an exception for any of the six areas To exclude any one of the areas from the requirements of Goals 3 or 4, the County must justify exceptions to the goals. The County appears to disagree with the goal requirements for the six areas, but the exceptions process "is not to be used to indicate that a jurisdiction disagrees with a goal." OAR 660-004-0000(2). The County cannot use the exceptions process to remove lands from EFU and forest zoning on the basis that the County disagrees with the provisions of the applicable goals: "An exception is a decision to exclude certain land from the requirements of one or more applicable statewide goals in accordance with the process specified in Goal 2, Part II, Exceptions. The documentation for an exception must be set forth Proieding Ceniral Or&gon's Natural Environmeni And Working For Susiainoble Comn,im 1i ,s in a local government's comprehensive plan. Such documentation must support a conclusion that the standards for an exception have been met. The conclusion shall be based on findings of fact supported by substantial evidence in the record of the local proceeding and by a statement of reasons that explains why the proposed use, not allowed by the applicable goal, or a use authorized by a statewide planning goal that cannot comply with the approval standards for that type of use, should be provided for. The exceptions process is not to be used to indicate that a jurisdiction disagrees with a goal." Id. Exceptions are "exceptional" and are not granted lightly, but only when facts and land use policy considerations justify them. Vincep v. Yamhill County, 55 Or LUBA 433, 449 (2007): "[A]ny approach that would allow exceptions to be easily approved would be inappropriate under ORS 197.732, because exceptions must be just that - exceptional." Exceptions are permitted deviations from state law and policy: the amendments misinterpret and misapply the applicable law by describing unpermitted deviations from state law and policy. The County cannot adopt amendments that state in advance what uses will be permitted on the six specific lands, e.g. permitting single family dwellings and their accessory uses outright. Exhibit D. If exceptions for any of the six areas could be justified, the exceptions analysis itself would determine the uses, densities, public facilities and services, and activities permitted in each area. OAR 660-004-0018(1): "Exceptions to one goal or a portion of one goal do not relieve a jurisdiction from remaining goal requirements and do not authorize uses, densities, public facilities and services, or activities other than those recognized or justified by the applicable exception." 2. Proposal for new uses requires six quasi-judicial decisions. The contemplated action introduces new uses to six specific areas: "Ordinance 2019-007 formally recognizes a NPR Lands Comprehensive Plan designation for six committed residential areas." Exhibit F, 5. The proposed action necessitates six quasi-judicial decisions demonstrating compliance with or justifying exceptions to the applicable goals. ORS 197.732(1)(b): ProIecling C' eniral Or :doWNatural [nviromneni And Working For Sustcsinobla (,:0rntrwnMoS "Exception" means a comprehensive plan provision, including an amendment to an acknowledged comprehensive plan, that: (A) Is applicable to specific properties or situations and does not establish a planning or zoning policy of general applicability; (B) Does not comply with some or all goal requirements applicable to the subject properties or situations; and (C) Complies with standards under subsection (2) of this section. The County's draft findings cloak the six decisions with a legislative character. Petersen v. Mayon & Council of City of Klamath Falls, 279 Or 249, 256, 566 P2d 1193, 1197 (1977). However, the threshold determination to be made for each of the six areas is whether allowing the proposed uses in an area would be consistent with the statewide planning goals, and such determinations are quasi-judicial in nature. Id. ("[W]e believe that the initial, threshold determination to be made whether the proposed annexation is consistent with the statewide planning goals is a determination which is quasi-judicial in nature.") Though the County sees the six areas as similar in the characteristics it wishes to focus on, they are six separate areas with specific qualities, land use patterns, and surrounding land use patterns. A decision is quasi-judicial in nature when it requires a determination that a particular land area does or does not comply with the goals. Strawberry Hill 4 Wheelers v. Benton Co. Bd. of Comm., 287 Or. 591, 603, 601 P.2d 769 (1979) (quasi-judicial decisions are directed at a closely circumscribed factual situation or a relatively small number of persons); Petersen, 279 Or at 255-56 (a decision is quasi- judicial when it necessarily involves the application of general standards to a specific situation); White v. Vogt, 258 Or App 130, 142, 308 P3d 356, 363 (2013) (where evidence is weighed and a decision made by applying rules to a specific factual situation, the decision is quasi-judicial). The proposal requires an exercise of judicial authority, and the propriety of the decisions must be supported with detailed, fact -based findings. The amendments are directed at a relatively small number of identifiable persons, the landowners in each area. See Neuberger v. City of Portland, 288 Or 155, 603 P2d 771, 775 (1979). Landowners entitled to notice in the six areas may not be aware that these proceedings are taking t'rotecting (_enirol C�)togon's Noiurol Environment And Working For Suslainobl Cor��rnun;iias place, because the County has not conducted its hearings in accordance with the notice provisions of ORS 197.763. Conclusion Rural land in Deschutes County consists almost entirely of agricultural or forest land preserved and maintained for farm or forest use. There is no evidence that the six areas, or any other rural lands, were incorrectly designated in the past. An exception to the statewide planning goals, including Goals 3 or 4, will be required before new uses not contemplated by the goals may be permitted on any of the County's EFU or Forest lands. LCDC's Goal 2 and associated rules provide the exclusive process for changing the uses allowed on the County's rural lands that are now zoned for farm or forest use. Thank you for your attention to these views. Please consider this a formal request for written notification of any decision in this matter. Sincerely, 41 Carol Macbefh Staff Attorney Central Oregon LandWatch Hotec.ling Cenlrof (iegon's Nciiural Environnncnf And Working For Sustainable Con-mnunrti<>s