Attachment_1-SOW_Quantifications_of_Maritime_Air_Emissions.docx

CONTRACTOR TECHNICAL SUPPORT SERVICES TO EVALUATE APPROACHES FOR QUANTIFYING MARITIME AIR EMISSIONS

FOR

U.S. COAST GUARD OFFICE OF STANDARDS EVALUATION & DEVELOPMENT (CG-REG)

STATEMENT OF WORK (SOW)

1.0 GENERAL.

1.1 SCOPE.

The purpose of this Statement of Work (SOW) is to obtain technical support services to assist the United States Coast Guard (USCG) in its compliance with the National Environmental Policy Act (NEPA); Executive Order 12866 on Regulatory Planning and Review, as supplemented by Executive Order 13563; and Executive Order 13653 on Preparing the United States for the Impacts of Climate Change. These statutes and related guidance documents are key process components which inform the USCGs approach to rulemaking. As the marine transportation sector continues to grow, it is imperative to understand the sources, patterns and distributions of maritime air emissions to inform rulemaking and associated enforcement activities for which the USCG is responsible. Our ability to perform the necessary environmental and economic assessments for these activities currently is hampered by the lack of 1) a national baseline for existing air emissions patterns and 2) a means of forecasting future trends in air emissions in anticipation of reasonably foreseeable changes in commercial maritime activities. Both of these issues stem from deficiencies in current known modeling approaches which prevent them from addressing air emissions universally across the desired geographic range using existing data sources.

The focus of this contract is to develop and test a strategy for applying maritime air emissions models in combination as a means for producing reasonable, defensible national level estimates and projections of various vessel-related air emissions using commercially available data. Emphasis shall be placed on evaluating the long- and short-term fates of emissions such as greenhouse gases, primary pollutants regulated under the Clean Air Act (CAA) and other airborne substances that ensue from maritime activities which may adversely affect the environment or human health in or adjacent to portions of the United States and its Territories which are subject to protection under the Coastal Zone Management Act (CZMA).

This task includes updating a literature review; and development, demonstration and evaluation of modeling options for quantifying maritime air emissions on a national scale. The literature review shall compile and summarize key scientific literature underlying the state-of-art for estimating maritime air emissions, including review articles in the professional literature, technical reports, and critiques by experts in the field. This information will serve as the theoretical foundation for informing the subsequent modeling effort. The modeling component shall be conducted in two phases. First, the contractor shall examine the process and performance of coordinating two or more complementary model systems to derive a technically-defensible national estimate of air emissions generated by the maritime transportation industries. The contractor shall subsequently verify the output of their models using historical data and selected scenarios. The culminating activity for this task is the synthesis phase, where the Contractor shall: 1) critically evaluate the various modeling approaches and their feasibility for practical application; 2) recommend their preferred alternative for producing a technically-defensible national air emissions baseline; 3) and identify further maritime air emissions quantification research and development needs that emerge from this effort.

1.2 BACKGROUND.

Current trends in the marine transportation industry suggest that global shipping will continue to increase for the foreseeable future, and that there may be a shift in preferred fuels and routes that could affect the amount of greenhouse gases or primary pollutants regulated under the Clean Air Act that are generated by future participants in the maritime transportation sector. Compared with terrestrial transportation modalities, little is known about the contribution of marine transportation emissions to global air pollution. However, vessels that are sources of US maritime emissions are generally large users of fossil fuels, with some vessels consuming millions of gallons of fuel monthly, therefore they are considered to be significant sources. Combustion of fossil fuels is a major cause of harmful air pollution, notably small particular matter (PM), sulfur dioxide (SO2), nitrogen oxides (NOx) and other greenhouse gases (e.g., CO2, methane, and water vapor). The residence time in the atmosphere of some of these substances varies widely. For instance, water vapor typically has a residence time of days.[footnoteRef:1] In contrast, Jacobson has estimated that the atmospheric lifetime of CO2 is approximately 30-95 days.[footnoteRef:2] Together with the lingering residence time and spatial-temporal differences in distribution of these substances, the existing generic approaches to estimating maritime air emissions tell only part of the story and produce very different results. These attributes heighten uncertainty surrounding understanding of existing maritime emissions and future trends and can be impediments to rulemaking impacts analyses. [1: Bolin, B. and H. Rodhe (1973). "A Note on the Concepts of Age Distribution and Transit Time in Natural Reservoirs." Tellus XXV 25(1): 58-62.

Executive Order 13653 states that the Federal Government must build on recent progress and pursue new strategies to improve the Nation’s preparedness and resilience with respect to climate change, and particularly enjoins agencies to promote: 1) engaged and strong partnerships and information sharing at all levels of government; 2) risk-informed decision-making and the tools to facilitate it; 3) adaptive learning, in which experiences serve as opportunities to inform and adjust future actions; and 4) preparedness planning. In response to this call and to meet its environmental mandates, the USCG requires a means for producing reasonable maritime air emission estimates and projections to enable us to be more responsive partners with sister agencies on emerging air emissions issues and to inform future rulemaking. While information of this nature is available for some individual ports and port complexes, these data are not readily available on a national scale. Since new regulations could increase costs or otherwise influence port competiveness in the US and beyond, the maritime air emissions problem poses both economic and environmental challenges that could polarize regulated industries and the general public in ways that could complicate future rulemaking. By investigating these issues now, the USCG REG team has an opportunity to develop appropriate tools which facilitate reasonably foreseeable economic and environmental analyses proactively in anticipation of future rulemaking.

2.0 REQUIREMENTS.

The Contractor shall provide timely technical, research and analysis support to CG-REG and shall provide all agendas, progress reports, and other working communications described in this SOW.

2.1 TASK ONE. LITERATURE REVIEW.

The Contractor shall perform a focused literature review compiling and summarizing the latest key scientific literature underlying the state-of-art for estimating maritime air emissions, review articles in the professional literature, technical reports, and critiques by experts in the field. This collection of reference material forms the theoretical basis for the modeling dimension of this task. The Contractor shall produce an annotated bibliography summarizing each reference, and appending paper or .pdf copies as a deliverable for USCG use.

2.2 TASK TWO. DEVELOP AND DEMONSTRATE COORDINATED MODELING OPTIONS.

The Contractor shall examine the process and performance of coordinating combinations of two or more different model systems to determine if this approach provides a feasible means of obtaining a reasonable and defensible national estimate of air emissions generated by the maritime transportation industries. The goal of coordinating models is to develop a hybrid system capable of producing a national scale baseline for maritime air emissions. We are particularly interested in determining whether: 1) coordinating “top-down” and “bottom-up” modeling approaches is an appropriate means of generating a national estimate; 2) using “bottom-up” analyses from key port centers leads to enhanced granularity of findings of a national estimate drawn from a “top-down” analysis; and 3) including data from an alternate system such as a “ship traffic, energy and environment model” would produce the most defensible results. While we are interested in seeing the above dimensions included in the modeling task, the Contractor also may elect to offer their own model scheme to complement the coordinated model options. All models developed and evaluated in this effort shall be designed to accommodate future expansion or other adaptations to meet the USCGs evolving needs.

2.2.1. In consultation with the USCG REG-1 staff, the Contractor shall develop at least three coordinated model schemes and subsequently verify their output using historical data and selected scenarios. Given the significant differences in residence time for different air emission species and location of port infrastructure, due consideration shall be given to attending to these issues in the methodological approach to ensure that the models account for them adequately. The Contractor shall describe their proposed modeling approaches and associated reporting and evaluation scheme in a preliminary report for discussion and review with the USCG. These data will be used to determine the model(s) that will be chosen for further development and analysis. Final selections shall be made at the USCG’s discretion.

2.3 TASK THREE. EVALUATE THE MODELING OPTIONS.

The Contractor shall: 1) critically evaluate the various modeling approaches they devised; 2) provide the underlying rationale for selecting or not selecting a preferred alternative; and 3) make recommendations for further maritime air emissions quantification research and development. The Contractor shall demonstrate how the models may be used to create a national baseline and to forecast air emission trends or scenarios or otherwise meet future USCG needs through running and discussing illustrative scenarios. This demonstration should be based upon a particular future scenario such as implementation a new CAA regulation or modeling changes in the baseline that would result in a shift from bunker fuels to LNG or other reasonably foreseeable trends in maritime industrial practices. While not required, inclusion of additional scenarios with non-selected model alternatives may be used as further logical support for the recommended design and to explain why particular options were rejected.

2.3.1. The results of the critical evaluation shall be used to populate a draft report that expands upon the preliminary report and establishes a strawman outline for the final report. The draft report sections should be developed sufficiently to assist the USCG’s general understanding of each section and to support a key round of comments to ensure that any gaps or issues may be corrected before finalizing the report.

2.4. TASK FOUR. CULMINATING ANALYSIS AND DOCUMENTATION:

The final task activity is to prepare a culminating analysis and report the findings and recommendations ensuing from this task. The evaluation and accompanying narratives shall incorporate/address comments provided by the USCG on the draft report and at progress meetings.

2.4.1. The final report shall commemorate the methodologies used to develop and evaluate the models and rationale used to reject or recommend particular model schemes; present a manual on the proper use and adaptation of the models; present information on the circumstances under which particular models may be used; and summarize the outcomes of the model scenarios used to demonstrate document also and evaluate the utility of particular modeling schemes. The report shall also present the Contractor’s gap analysis and recommendations for future research.

2.5 REPORTS.

The Contractor shall provide: 1) the literature review and accompanying annotated bibliography (Section 2.1); 2) a preliminary report that identifies the specific models that will be used for this study and generally describes the underlying rationale for why they were chosen and how the Contractor proposes to coordinate them to produce national scale air emissions estimates for the marine transportation sector (Section 2.2.1); 3) a draft report that provides a proposed outline for the final report, identifies issues that may require midcourse corrections, and presents preliminary findings for discussion with the USCG (Section 2.3.1); and 4) a final report that documents the Contractor’s final methodology, results, and recommendations (Section 2.4.1). This final report shall include: (a) the methods used to develop the coordinated models; (b) summaries of the model output; (c) evaluations of the various modeling options as vehicles for national level maritime air emissions estimates; (d) underlying rationale for the preferred alternative or explanation for why one was not identified; (e) model simulations using the Contractor’s preferred alternative to forecast results of a potential national rulemaking scenario; (f) the final literature summary/annotated bibliography; and (g) recommendations for additional research. The report shall also include as appendices complete working copies of the models developed for this study, clear instruction manuals for their use, guidelines for effecting their future adaptation or expansion; and compiled literature exhibits. The Contractor shall clearly document assumptions, sources, and uncertainties in all correspondence, meeting notes, and deliverables. Results of all analyses shall be reproducible from documentation provided by the Contractor. Reports shall include an executive summary

2.6 PROGRESS MEETINGS.

In collaboration with the COR, the Contractor shall meet periodically with the USCG team to coordinate on project details and to report on progress that has been made toward meeting project milestones. These meetings shall be scheduled to elicit USCG comments and input for each deliverable and otherwise as needed during the contract. At a minimum, meetings will be held within ten (10) business days of receiving each deliverable to elicit USCG input and comments. Additional meetings shall be scheduled by mutual consent of the USCG and the Contractor at least every 4-6 weeks. These briefings shall be used to advise the USCG on the current status of the expenditure plan and deliverables; to collaborate on key decision points such as selection of the model combination approach and demonstration scenarios; to discuss any difficulties in meeting established milestones (and suggestions for overcoming them); and to address any other issues regarding overall prospects for completing the task. The Contractor shall provide the COR a proposed agenda and any read-aheads a minimum of 5 working days prior to a scheduled briefing. The USCG prefers that meetings scheduled to discuss required reports are conducted in person at the USCG Headquarters in Washington, D.C. Teleconferences may be substituted provided the Contractor can demonstrate in advance that their proposed delivery platform is compatible with USCG information technology at our facility. The Contractor is responsible for providing all information necessary to secure admittance for their representatives to our buildings. Obtaining clearance may take several days advance notice. Any additional briefings, including periodic project check-ins, may be conducted by teleconference.

2.7 TASK BRIEFINGS.

In collaboration with the COR, the Contractor shall prepare and present task briefings for the USCG project team and CG-REG management on the progress, results, difficulties and recommendations for the SOW 2.2 and 2.4. At a minimum, task briefings are required for the draft and final report stages.

3.0 GOVERNMENT TERMS & DEFINITIONS.

limited to primary pollutants under the CAA and greenhouse gases from activities in the Coastal Zone Management Areas of the US coasts, including the Great Lakes.

4.0 ADMINISTRATION.

4.1 CONTRACTOR PERSONNEL.

4.1.1 PROJECT MANAGER. The Contractor shall provide a Project Manager (PM) who shall be responsible for all Contractor work performed under this contract. The Project Manager is further designated as Key by the Government (See PWS 4.2).

4.1.1.1 The PM shall be a single point of contact for the Contracting Officer and the Contracting Officer’s Representative (COR). It is anticipated that the PM shall be one of the senior level employees provided by the Contractor for this work effort. During any absence of the PM, only one (1) alternate shall have full authority to act for the Contractor on all matters relating to work performed under this task order. The PM and all designated alternates shall be able to read, write, speak, and understand English.

4.1.1.2 The PM shall be available to the COR via telephone between the core hours of 0800-1600 Eastern Time(ET) and shall respond to the COR within one (1) business day of notification for discussion and resolution of technical problems.

4.1.2 QUALIFIED PERSONNEL. The Contractor shall provide qualified personnel to perform all requirements and within the specified timeframes. All personnel performing work under this contract shall be United States citizens or aliens lawfully admitted to the U.S. for permanent residence. The Contractor shall ensure the highest ethical standards and professional integrity are maintained while also safeguarding against waste, fraud and abuse by personnel associated with the Safety Training and Outreach Programs.

4.1.3 EMPLOYEE IDENTIFICATON. Contractor employees visiting Government facilities shall wear an identification badge that, at minimum, displays the Contractor name, the employee’s photo, name, clearance-level, and badge expiration date. Visiting employees shall comply with Government escort rules and requirements. All Contractor employees shall identify themselves as Contractors when their status is not readily apparent and display all Identification and visitor badges in plain view above the waist at all times.

4.1.4 EMPLOYEE CONDUCT. The PM shall ensure Contractor employees are aware of, understand, and abide by established USCG rules, regulations, and safety and work practices.

4.1.4.1 REMOVING EMPLOYEES FOR MISCONDUCT OR SECURITY REASONS. The Government may, at its sole discretion, direct the Contractor to remove any Contractor employee from USCG facilities for misconduct or security reasons. Removal does not relieve the Contractor of its responsibility to continue providing the services required under any task order awarded. The Contracting Officer will provide the Contractor with a written explanation to support any request to remove an employee.

4.1.5 CONFLICT OF INTEREST. The Contractor shall not employ any person who is an employee of the U.S. Government if that employment would, or would appear to cause, a conflict of interest.

4.2 KEY PERSONNEL. Before replacing any individual designated as Key by the Government, the Contractor shall notify the Contracting Officer no less than fifteen (15) business days in advance, submit written justification for replacement, and provide the name and qualifications of any proposed substitute(s). All proposed substitutes shall possess qualifications equal to or superior to those of the Key person being replaced. The Contractor shall not replace Key personnel without prior written approval from the Contracting Officer. The Government may designate additional Contractor personnel as Key at the time of award.

4.3 SECURITY. All support positions under this contract are classified as non-critical. However, Contractor personnel will have access to privacy information and shall maintain the privacy and integrity of all such data in accordance with (IAW) the Privacy Act (5 USC 522a) and all applicable USCG and Department of Homeland Security (DHS) rules and regulations.

4.4 PERIOD OF PERFORMANCE. The period of performance for this contract is one (1) year from date of award.

4.5 PLACE OF PERFORMANCE. The primary place of performance shall be the Contractor’s facilities. Secondary places of performance are outlined in section 4.7 “Travel” below.

4.6 HOURS OF OPERATION. Contractor employees shall generally perform all work between the hours of 0800 and 1600 Eastern Time (ET), Monday through Friday (except Federal Holidays). However, there may be occasions when Contractor employees shall be required to work other than normal business hours, including weekends and holidays, to fulfill requirements under this contract.

4.7 TRAVEL. The only Contractor travel required to support this contract is anticipated to be inside the local commuting area, and visits to USCG facilities located in the Washington, DC Metro Area. The Contractor shall be responsible for obtaining COR approval (electronic mail is acceptable) for all reimbursable travel in advance of each travel event. Travel costs outside of the local commuting area will be reimbursed directly by the Government.

4.8 KICK-OFF MEETING. The Contractor shall participate in a Kick-Off Meeting with the Contracting Officer, COR and TPM(s) not later than (NLT) seven (7) business days after date of award. The purpose of the Kick-Off Meeting, which will be chaired by the Contracting Officer, is to discuss technical and contracting objectives, and to review the Contract requirements, including invoicing and payment, of this task order and review the Contractor's project plan. The Kick-Off Meeting may be held at the Government’s facility, or may be accomplished via teleconference.

4.9 PROJECT PLAN. The Contractor shall provide a draft Project Plan at the Kick-Off Meeting for Government review and comment. The Contractor shall provide a final Project Plan to the COR NLT five (5) business days after the Kick-Off Meeting or receipt of Government comments.

4.10 MONTHLY PROGRESS REPORTS. The Project Manager shall provide a monthly Progress Report to the Contracting Officer and COR via electronic mail. The report shall include, at minimum, a summary of the work performed in support of this contract, including any Contractor concerns or recommendations for the previous month.

4.11 PROGRESS MEETINGS. The project manager shall be available to meet with the COR in person, if feasible, or by telephone to discuss Contractor performance and progress upon the COR’s request. The frequency of these meetings will be determined by the COR. A mutual effort will be made during these meeting to resolve any problems identified. The Contractor shall provide a draft agenda and any read-aheads a minimum of 5 working days prior to a progress meeting.

4.12 GENERAL REPORT REQUIREMENTS. The contractor shall provide all written reports in electronic format with read/write capability using applications that are compatible with USCG Standard Workstations III (Windows VISTA/ Windows 7, and Microsoft Office Applications).

4.13 INTELLECTUAL PROPERTY. All documentation, photography and electronic data and information collected by the Contractor and entered into or generated in support of this contract shall be considered Government property, and shall be returned to the Government at the end of the contract. All courses and materials developed under this contract shall be the property of the USCG, including all intellectual property developed by the Contractor or provided by the Government in meeting the requirements of the contract.

4.14 PROTECTION OF INFORMATION. Contractor access to information protected under the Privacy Act is required under this contract. Contractor employees shall safeguard this information against unauthorized disclosure or dissemination IAW the law and Government policy and regulation.

4.15 SECTION 508 COMPLIANCE. Section 508 of the Rehabilitation Act (29 U.S.C. 794d), as amended by the Workforce Investment Act of 1998 (P.L. 105-220), August 7, 1998, requires that when Federal agencies develop, procure, maintain, or use electronic and information technology, they must ensure that it is accessible to people with disabilities, unless it would pose an undue burden to do so. Federal employees and members of the public who have disabilities must have access to and use of information and services that is comparable to the access and use available to non-disabled Federal employees and members of the public. For additional information, please refer to FAR 39.2 or http://www.section508.gov.

5.0 GOVERNMENT FURNISHED RESOURCES. At the request of the Contractor, the Government will provide copies of the references cited in SOW paragraph 7.0 “References” at the Kick-Off Meeting.

6.0 CONTRACTOR FURNISHED PROPERTY. The Contractor shall furnish all facilities, materials, equipment and services necessary to fulfill the requirements of this task order, except for the Government Furnished Property specified in SOW paragraph 5.0.

7.0 REFERENCES

Executive Order 12866 on Regulatory Planning and Review, Federal Register, Vol. 72, No. 14, p. 2763-2765. January 2007.

(http://www.archives.gov/federal-register/executive-orders/pdf/12866.pdf)

Executive Order 13563 on Improving Regulation and Regulatory Review, Federal Register, Vol. 76, No. 14, p. 3821-3823. January 21, 2011.

(http://www.whitehouse.gov/sites/default/files/omb/inforeg/eo12866/eo13563_01182011.pdf)

Circular A-4: Regulatory Analysis, Office of Management and Budget. September 2003. (http://www.whitehouse.gov/omb/circulars_a004_a-4/)

Maritime Transportation Security Act.

(http://www.regulations.gov/#!document_detail;D=USCG-2002-14069-0005)

91st Annual Meeting of Transportation Research Board.

(http://www.trb.org/annualmeeting2012/annualmeeting2012.aspx and http://AMOnline.TRB.org)

Bolin, B. and H. Rodhe (1973) “A Note on the Concepts of Age Distribution and Transit Time in Natural Reservoirs.” Tellus XXV. 25(1): 58-62.

Jacobson, M.Z. (2005) “Correction to “Control of Fossil-Fuel Particulate Black Carbon and Organic matter, Possibly the Most Effective Method of Slowing Global Warming.” Journal of Geophysical Research Atmospheres (1984-2012), 110(D14)

National Environmental Policy Act of 1969, as amended.

http://ceq.hss.doe.gov/ceq_regulations/regulations.html)

8.0 GOVERNMENT ACCEPTANCE PERIOD

The COR will review deliverables prior to acceptance and provide the Contractor with an e-mail that provides documented reasons for non-acceptance. If the deliverable is acceptable, the COR will send an e-mail to the Contractor notifying it that the deliverable has been accepted.

8.1 The COR will have the right to reject or require correction of any deficiencies found in the deliverables that are contrary to the information contained in the Contractor’s accepted proposal. In the event of a rejected deliverable, the Contractor will be notified in writing by the COR of the specific reasons for rejection. The Contractor shall have an opportunity to correct the rejected deliverable and return it per delivery instructions.

8.2 The COR will have 22 business days after receipt to review deliverables and make comments. Items delivered to the USCG after 1630 Eastern Time will be considered delivered the following business day. If there is a good reason to amend this reply date, it may be changed by written mutual consent of the Contractor and the COR.

8.3 All other review times and schedules for deliverables shall be agreed upon by the parties based on the final approved Project Plan. The Contractor shall be responsible for timely delivery to Government personnel in the agreed upon review chain, at each stage of the review. The Contractor shall work with personnel reviewing the deliverables to assure that the established schedule is maintained.

Note: SOW 9.0 begins on the next page.

9.0 DELIVERABLES. The Contractor shall consider items in BOLD as having mandatory due dates.

Final: no later than five (5) business days after kick-off meeting or receipt of Government comments

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