NOV ~ 5 2014 

Mr. C. Douglas Corbin 

Georgia Department of Natural Resources 

Environmental Protection Division 

2 Martin Luther King Jr. Dr., Suite 1456, Atlanta, Georgia 30334 

Judson H. Turner, Director 

(404) 656-4713 

Norfolk Southern Railway Company 

Mechanical Dept. -Box 184 

1200 Peachtree Street, N. E. 

Atlanta, Georgia 30309 

RE: Railroad-Related Emission Reductions Grant Program 

Switch-Duty Locomotive Conversions in Rome, Georgia 

Dear Mr. Corbin: 

Attached is one fully-executed copy of the agreement between Norfolk Southern Railway 

Company and the Georgia Department of Natural Resources Environmental Protection 

Division (EPD) regarding the Railroad-Related Emission Reductions Grant Program for 

Switch-Duty Locomotive Conversions in Rome, Georgia. The amount of this contract is 

eight hundred ninety-nine thousand eight hundred twenty dollars ($899,820.00). 

If you have any questions, please call Lynne Collier at 404-363-7012. We look forward to 

working with Norfolk Southern Railway Company on this important project. 

JT:klc 

Enclosure: Executed Contract ( 1) 

c: Jimmy Johnson 

Elisabeth Munsey 
CONTRACT 

Between 

Georgia Department of Natural Resources, 

Environmental Protection Division 

And 

Norfolk Southern Railway Company 

For CMAQ Railroad-Related Emission Reductions Grant Program: 

Switch-Duty Locomotive Conversions iu Rome, Georgia 

This CONTRACT is made effective as of the~ t:jb __ day of 1/u 1/[j,M 6 ~ v 

2014. This CONTRACT is by and between the Georgia Department ofNatnral Resources, 

Environmental Protection Division, (the "Division"), and Norfolk Southern Railway Company 

(the "CONTRACTOR"). 

WITNESSETH 

WHEREAS, the Division is established as an agency of State Govemment pursuant to the 

laws enacted by the Georgia General Assembly; and 

WHEREAS, the Division is responsible for programs and activities that are designed to 

protect and enhance air quality; and 

WHEREAS, particulate matter (PM) and nitrogen oxide (NOx) emissions are key 

pollutants that contribute to poor air quality in Georgia; and 

WHEREAS, locomotive diesel engines are large sources of PM and NOx emissions; and 

WHEREAS, advanced technologies and techniques are not required but can be 

voluntarily applied to greatly reduce locomotive emissions and reduce fuel use; and 

WHEREAS, the Division received Federal funding in the amount of nine hundred 

thousand dollars ($900,000) through the Georgia Depmiment of Transportation fi·om the 
Congestion Mitigation and Air Quality Improvement Program (CMAQ) to reduce PM2.5 in the 

Rome nonattainment area through the reduction oflocomotive emissions; and 

WHEREAS, the Georgia Department of Natural Resources Board approved eligibility 

and selection criteria for selecting the locomotive emission reduction projects, and the criteria is 

included in the EPD Grants Program Chapter 391-3-21.14; and 

WHEREAS, the Division issued the Request For Applications (RFA) on November 16, 

2012 with a due date of Janumy 11, 2013; and 

WHEREAS, the CONTRACTOR submitted a project application that has been selected 

to be funded according to terms and conditions of this CONTRACT; and 

WHEREAS, the Division and the CONTRACTOR desire to cooperatively enter into a 

contractual arrangement to reduce emissions from locomotives used for switching in Rome for 

the purposes of improving air quality in Georgia; and 

WHEREAS, this CONTRACT is subject to all applicable provisions of implementing 

guidance for the Congestion Mitigation and Air Quality Improvement (CMAQ) program, which 

is provided to the state through the Federal Inte1modal Surface Transportation and Efficiency 

Act (ISTEA) and Federal Transportation Equity Act for the 21st Century (TEA-21) and 

continues to be provided under the Safe Accountable Flexible Efficiency Transportation Equity 

Act: A Legacy for Users (SAFTEA-LU) for projects that improve air quality and congestion. 

NOW, THEREFORE, the Division wishes to contract with the CONTRACTOR to 

convert locomotives to low emission technology for the purpose of reducing air pollution as 

designated in the attached Exhibit A: Norfolk Southern Railway, Company Scope of Work for 

Switch-Duty Locomotive Conversions in Rome, Georgia project (the "Scope of Work") and 

detailed in CONTRACTOR's Project Proposal and Supplemental Materials as attached Exhibit 

B (the "Project Proposal"), which was submitted in response to the RFA (Exhibit C). In 

consideration of the mutual promises and terms and conditions set f01th herein, the Parties hereto 

do mutually agree as follows: 
1. Scope of Services 

A. The CONTRACTOR shall do, perform, and cany out in a safe, efficient and 

workmanlike manner, the following services pertaining to Railroad-Related 

Emission Reductions in suppmt of the Division's cunent and future programs: 

The services shall include those items described below in Section l.B. and 

included in the attached Exhibit A. 

B. The CONTRACTOR shall perform or contract to perfonn all tasks as described in 

the Project Proposal (Exhibit B). The Project was submitted January 11,2013 in 

response to the Request for Applications released by the Division (Exhibit C) on 

November 16, 2012. Specifically, the CONTRACTOR shall conve1t 2 traditional 

3000 hp locomotives with at least 5 years expected remaining life from Tier 0 or a 

lower rating as described Exhibit B to a mother-slug unit utilizing an advance 12-

EC0710 3000 hp locomotive meeting at least the EPA Switch-Duty Tier 3 

emission standards or better (i.e. lower emissions). 

C. The CONTRACTOR shall fully cooperate with audits or information requests by 

the Division to the extent such requests are intended to verify that the conditions 

of CMAQ and this CONTRACT are met, including without limitation the repmt 

schedule described herein. Upon request, the CONTRACTOR shall cooperate in 

any govemmental audit to assess how grant funding was used for the Project. The 

CONTRACTOR shall provide copies of procurement contracts and subcontracts 

used in connection with the Project if requested by the Division. The 

CONTRACTOR shall provide Project-related records if requested by the 

Division. The CONTRACTOR and its employees shall fully cooperate with 

investigation directly related to activities and transactions regarding CMAQ grant 

project funding for tins Project. Notwithstanding any of the foregoing, 

CONTRACTOR shall have no obligation to conduct extra-operational studies or 

investigations or to generate data not generated in the nmmal comse of business other 

than what is required for reporting in order to provide information requested by the 

Division under this CONTRACT. Fmther, the Division aclmowledges the reporting 

limitations as set forth in the Project Proposal. The result(s) of a govemmental 

audit or investigation shall be made available to the public, but CONTRACTOR 
may seek to withhold company confidential or business proprietary infonnation 

from public availability. 

D. The CONTRACTOR shall maintain the Converted Locomotives sufficiently to 

assme each Converted Locomotive remains operational for a period of ten years 

from the date after that Converted Locomotive is retrofitted (the "Operating 

Period") and shall operate the Converted Locomotives at least 80% of each 

Converted Locomotive's operational homs in and around the Rome Rail yard, as 

described in the Scope of Work (Exhibit A) and in accordance with the Project 

Proposal (Exhibit B). The Division understands that the CONTRACTOR does 

not pennanently assign locomotives to particular yards, and actual locomotives 

required for switching will vary fi"om day to day depending upon rail traffic 

volume and locations, and depending on the availability oflocomotives to meet 

operational needs. The ten-year period for each Converted Locomotive will start 

on the date that the Converted Locomotive is placed into revenue service. The 

CONTRACTOR shall not sell any Converted Locomotive until the Operating 

Pe1iod has passed or the Converted Locomotive has been detennined to be 

damaged beyond repair or permanently inoperable. 

2. Reporting. 

A. The CONTRACTOR shall submit required reports to the Division, as specified in 

Exhibit A hereto, by electronic mail (e-mail) and shall provide two copies of the 

reports in the e-mail with one in Microsoft Word format and the second in a PDF 

format. The CONTRACTOR shall submit a hard copy of the report upon the 

Division's request. 

B. The CONTRACTOR shall promptly repmi any credible evidence that a principal, 

employee, agent, sub-contractor, CONTRACTOR, subcontractor or other person 

has submitted false claims under the False Claims Act or has committed a 

criminal or civil violation of laws pe1iaining to fi:aud, conflict of interest, bribery, 

gratuity, or similar misconduct involving funds provided under this grant funding. 

3. Method of Payment. 

A. The funding provided by the Division shall not exceed eight hundred ninety nine 

thousand eight hundred twenty dollars ($899,820). The CONTRACTOR shall 

provide at least the minimum 30% matching funds for the CMAQ funded portion, 
amounting to three hundred and eighty-five thousand, seven hundred and fomieen 

dollars and twenty-nine cents ($385,714.29) towards completion and 

administration of the Project. In the event that the total project cost is less than 

one million two hundred eighty five thousand five hundred thhiy four dollars and 

twenty nine cents ($1,285,534.29), the CONTRACTOR must only provide thirty 

percent of the total project cost in matching funds. 

B. The CONTRACTOR may invoice the Division upon completing any task as 

detailed in Exhibits A and B. The CONTRACTOR shall invoice no more than 

70% of the total Project expenses to assure the CONTRACTOR has fulfilled the 

minimum in-kind match of up to 30% at all times. Invoices must be numbered 

consecutively and submitted quarterly, containing a detailed desCiiption of the 

labor, material, and equipment costs and any other expenses incmTed. The 

invoice must explicitly state the eligible match paid by the CONTRACTOR for 

these expenses. 

C. With each invoice, the CONTRACTOR shall provide an updated list of all Project 

tasks along with itemized expenses incurred, the eligible match portion paid, any 

portions already paid by the grant, and the requested grant distribution. The 

CONTRACTOR shall prominently display the in-kind match percentage on the 

invoice that accounts for the requested distribution and all previous distributions 

associated with the Project. 

D. The CONTRACTOR shall return all governmental project funds paid as a part of 

this CONTRACT to the Division if the United States Department of 

Transportation or Georgia Department of Transportation requires the Division to 

retmn the Project funds due to the CONTRACTOR'S failure to satisfactmily 

complete any potiion of this CONTRACT. 

4. Term and Termination. 

A. Tetm. The "Tenn" of this CONTRACT will begin on the date noted on page one 

(hereinafter refen-ed to as "Effective Date") and continue tln·ough 11/23/2015, 

unless terminated earlier under the provisions of this CONTRACT. 

B. Termination for Cause. If, through any cause other than force majeure, the 

CONTRACTOR shall fail to fulfill in a timely and proper manner its obligations 

under this Contract, or if the CONTRACTOR shall violate any of the covenants, 
agreements, or stipulations of this Contract, the DIVISION shall thereupon have 

the right to terminate this Contract by giving written notice to the 

CONTRACTOR of such te1mination and specifying the effective date thereof, at 

·least 30 days before the effective date of such te1mination. 

C. The Division and the CONTRACTOR may renew this Contract prior to its 

expiration upon terms, conditions, and compensations agreeable to both Parties. 

5. Additional Terms and Conditions. 

Additional terms and conditions governing this CONTRACT are listed below. 

A. The Pmiies will identify the project as -Rome, GA Locomotive Conversions and 

send w1itten communications under this CONTRACT to the respective liaisons at 

the addresses as identified below: 

The Division 

Michelle Bergin, PhD 

Georgia EPD, Air Protection Branch 

Planning and Regulatory Dev. Unit 

4244 International Parkway Suite 136 

Atlanta, GA 30354 

michelle.bergin@dnr.state.ga.us 

404-362-4569 

B. Drug-Free Workplace 

The Contractor 

C. Douglas Corbin (contracts) 

and Mark F. Duve (technical) 

Norfolk Southern Railway Co. 

Mechanical Dept. -Box 184 

1200 Peachtree Street NE · 

Atlanta, GA 30309-3579 

Doug.Corbin@nscot:p.com 404-582-6730 

Mark.Duve@nscorp.com 404-582-6743 

1) The CONTRACTOR hereby cetiifies that: 

(a) A dmg-fi·ee workplace will be provided for employees during the 

perfmmance of this CONTRACT; and 

(b) It will secure from any subcontractor hired to work in a dmg-fi·ee 

workplace the following written certification: "As part of the 

subcontracting agreement with (Contractor's Name), 

(Subcontractor's Name) cetiifies to the CONTRACTOR that a 

dmg-free workplace will be provided for the subcontractor's 

employees during the perfonnance of this CONTRACT pursuant 

to pm·agraph 7 of subsection B of Code Section 50-24-3." 
2) The CONTRACTOR may be suspended, tenninated, or deban·ed if it is 

determined that: 

(a) The CONTRACTOR has made false certification hereinabove; or 

(b) The CONTRACTOR has violated such certification by failure to carry 

out the requirements ofO.C.G.A. 50-24-3. 

C. Obligations Owed to Third Parties. The CONTRACTOR represents and warrants 

that all obligations owed to third parties with respect to the activities 

contemplated to be undertaken by the CONTRACTOR pursuant to the 

CONTRACT are or will be fully satisfied by the CONTRACTOR so that the 

Division will not have any obligations with respect thereto. 

D. Funding. Notwithstanding any other provision of this CONTRACT, the 

CONTRACTOR hereto acknowledges that the Division, as an agency of the State 

of Georgia, is prohibited fi'om pledging the State's credit. In the event that the 

source of payment no longer exists or is insufficient with respect to the Services, 

this CONTRACT shall terminate without further obligation of either Party as of 

that moment. The Division shall remain obligated to pay for Services performed 

and accepted by the Division prior to such termination. The DIVISION shall 

provide notice to CONTRACTOR as soon as it becomes aware that the source of 

payment no longer exists or is insufficient with respect to the services. The 

detennination of the Division of the events stated above shall be conclusive. 

E. Any suit brought to enforce this CONTRACT or to determine any dispute under 

this CONTRACT may be brought only in the Superior Court of Fulton County, 

Georgia. The Parties agree to submit to the personal jurisdiction of the Superior 

Court of Fulton County. 

F. Trafficking Victims Protection Act of2000 Prohibition Statement- The 

CONTRACTOR will not engage or allow employees, subcontractors, or 

subcontractor employees to engage in sever forms of trafficking in persons during 

the period of time that the award is in effect: procure a commercial sex act during 

the period of time that the award is in effect; or use forced labor in the 

perfmmance of this CONTRACT. 

G. This CONTRACT constitutes the entire agreement between the Parties with 

respect to the subject matter of this CONTRACT and may be altered or amended 

only by a subsequent written agreement signed by each of the Parties hereto. This 

CONTRACT supersedes all prior agreements, negotiations, and communications 
of whatever type, whether written or oral, between the parties hereto with respect 

to the subject matter of this CONTRACT. No waiver of any of the provisions of 

this CONTRACT shall be binding unless executed in writing by the Patiy making 

the waiver. No waiver of one provision shall constitute a waiver of any other 

provision nor shall any be deemed a continuing waiver. 

H. The headings of the paragraphs and subparagraphs hereof are for descriptive 

purposes only and do not modifY or qualify any of the rights or obligations set 

fmih in this CONTRACT. 

I. The CONTRACTOR will maintain an active and current registration in the 

Central Contractor Registration (www.ccr.gov) during this project. 

J. Single Audit Act. In accordance with OMB Circular A-133, the recipient hereby 

agrees to obtain a single audit from an independent auditor, if it expends $500,000 

or more in total Federal funds in any fiscal year. Within nine months after the end 

of a recipient's fiscal year or thirty days after receiving the repmi from the 

auditor, the recipient shall submit the SF-SAC and a Single Audit Repmi Package 

to the Division. More information can be found at http://harvester.census.gov/fac/ 

K. The CONTRACTOR agrees that all work performed under this CONTRACT will 

comply fully with applicable administrative and other requirements established by 

applicable Federal and state laws, regulations and guidelines. The 

CONTRACTOR shall comply with all requirements or regulations of the Division 

that are currently applicable or become applicable during the tenn of this 

CONTRACT. 

6. Georgia Security and Immigration Compliance Act of 2006. 

A. Pursuant to the Georgia Security and Immigration Compliance Act of2006, the 

CONTRACTOR understands and agrees that compliance with the reqnirements of 

O.C.G.A. § 13-10-91 and GeorgiaDepattment of Labor Rule 300-10-1-.02 are 

conditions of this CONTRACT. The CONTRACTOR hereby warrants 

compliance with the Immigration Refonn and Control Act of 1986 (IRCA), D.L. 

99-603 and the Georgia Security and Immigration Compliance Act, O.C.G.A. § 

13-10-90 et. seq., by registering at https://www.visdhs.com/EmployerRegistration and verifying infonnation of all new employees; 

and by executing any affidavits required by the rules and regulations issued by the 

Georgia Department of Labor set forth at rule 300-10-1-.01 et. seq. The 
CONTRACTOR'S fully executed affidavit is attached hereto as Exhibit D and is 

incorporated into tllis CONTRACT by reference herein. 

B. The CONTRACTOR wan-ants that, in the event the CONTRACTOR employs or 

contracts with any subcontractor(s) in connection with this CONTRACT, the 

CONTRACTOR shall include a similar provision in all written agreements with 

any such subcontractor(s). The CONTRACTOR agrees to maintain records of 

any such written subcontractor agreements and submit to the Division upon 

request. 

7. New Restrictions On Lobbying as set forth in Title 40 CFR Part 34. Funding 

provided in this CONTRACT are appropriated Federal funds in the fonn of a grant from 

the Congestion Mitigation and Air Quality Improvement (CMAQ) program. 

A. No appropriated funds may be expended by the recipient of a Federal contract, 

grant, loan, or cooperative agreement to pay any person for influencing or 

attempting to influence an officer or employee of any agency, a Member of 

Congress, an officer or employee of Congress, or an employee of a Member of 

Congress in connection with any of the following covered Federal actions: the 

awarding of any Federal contract, the making of any Federal grant, the making of 

any Federal loan, the entering into of any cooperative agreement, and the 

extension, continuation, renewal, amendment, or modification of any Federal 

contract, grant, loan, or cooperative agreement. 

B. Each person who requests or receives from an agency a Federal contract, grant, 

loan, or cooperative agreement shall file with that agency a celiification, set fmth 

in Exhibit F, that the person has not made, and will not make, any payment 

prohibited by paragraph A of this section. 

C. Each person who requests or receives Ji'mn an agency a Federal contract, grant, 

loan, or a cooperative agreement shall file with that agency a disclosure fmm, set 

fmth Exhibit E, if such person has made or has agreed to make any payment using 

nonappropriated funds (to include profits from any covered Federal action), which 

would be prohibited if paid for with appropriated funds. 

D. The Disclosure of Lobbying Activities and the Celiification Regarding Lobbying 

forms must be completed, signed, and returned with this CONTRACT in order for 

the CONTRACT to be valid. The fmms are included in Exhibit E and F. 
IN WITNESS WHEREOF, the Division ail.d the CONTRACTORhave executed this 

CONTRACT to be given effect as of the date first above written. 

ATTEST: 

ATTEST: 

~?kg 

.. ..,_.. . ,_, ..... 

----------··--

Department ofNaturalResources 

Environmental Protection Division 

Norfolk Southerll Raihyay Company 

BY: 

Name: (

1 /L ctu-fes 'b. eeL~ 

Title: A VP·-I/!I(ecL:tiV\.\1 c~/ 
EXIDBITS 

Exhibit A 

Exhibit B 

Exhibit C 

ExhibitD 

ExhibitE 

Scope of Work for the Switch-Duty Locomotive Conversions in Rome, Georgia 

Project Proposal and Suppotiing Information 

Request for Applications (RF A) 

CONTRACTOR's affidavits required by the Georgia Security and Immigration 

Compliance Act of2006 rules and regulations issued by the Georgia Depmiment 

of Labor set forth at rule 300-10-1-.01 et. Seq 

The Disclosure of Lobbying Activities (Disclosure fmm of any Lobbying using 

Nonappropriated Funds) and Cetiification Regarding Lobbying 
Scope of Work 

Exhibit A 

Norfolk Southern Railway Company Scope of Work for 

Switch-Duty Locomotive Conversions 

in Rome, Georgia 

Upon the Effective Date and continuing through the term of this contract, unless terminated early 

under provisions of the CONTRACT, CONTRACTOR will perform tasks as described the 

Project Proposal to reduce emissions fi·om locomotives used for switching in Rome, GA for 

purposes of improving air quality in Georgia. These tasks include: 

A. Within 45 days of execution of CONTRACT, CONTRACTOR shall provide to the 

Division a project schedule with specific dates for completing each project related task 

that is consistent with timeline provided in the Project Proposal (Exhibit B); 

B. CONTRACTOR shall convert two 3000 hp locomotives with at least 5 years expected 

remaining life ("Original Locomotives") as described in the Project Proposal to a motherslug unit with an advanced 12-710ECO 3000 hp locomotive engine meeting EPA Tier 3 

switch-duty emission standards or better (i.e. with lower emissions) ("Converted 

Locomotives"); 

C. The CONTRACTOR shall maintain the Convetied Locomotives sufficiently to assure 

each Con vetted Locomotive remains operational for a period of ten years fi·om the date 

after each Converted Locomotive is retrofitted (the "Operating Period") and shall operate 

the Converted Locomotives at least 80% of each Converted Locomotive's operational 

hours in and around the Rome, GA Rail Yard as described in the Project Proposal. The 

Operating Period and number of operational hours may be modified if the Con vetted 

Locomotive is damaged such that CONTRACTOR and the DIVISION mutually agree 

that it can be removed from service, in which event CONTRACTOR shall be deemed to 

have satisfied its obligations under this CONTRACT with respect to such Converted 

Locomotive(s). The Division aclmowledges that the Convetied Locomotives may leave 

the Rome Yard for 92-day Federal Railroad Administration inspections and other 

maintenance, for Positive Train Control installation, or for other logistical contingencies. 

The Division understands that the CONTRACTOR does not permanently assign 

locomotives to patiicular yards, atld actual locomotives required for switching will vmy 

from day to day depending upon rail traffic volume and locations, and depending on the 

availability of locomotives to meet operational needs. The CONTRACTOR shall inform 

the Division of all Conve1ted Locomotives that are removed from the fleet due to datnage 

or inoperability. The ten-year period for each Convetted Locomotive will station the 

date that the Convetted Locomotive is placed into revenue service. The CONTRACTOR 

shall not sell any Convetted Locomotive until the Operating Period has passed or the 

1 
Convetted Locomotive has been determined to be damaged beyond repair or permanently 

inoperable. 

D. Initial Report: Before converting the locomotives, the CONTRACTOR shall submit an 

initial repmt containing the following information: 

(1) Work scope as provided in the Project Proposal. 

(2) Estimated emissions reductions. This estimate may use data as provided in the 

Project Proposal if there have been no changes in emission levels of the original 

and conve1ted locomotives from the Proposal. 

E. Post Conversion Report: The CONTRACTOR shall submit a post conversion repmt 

within one month (30 days) after each locomotive mother/slug unit is placed into service 

in the Rome Yard. The repmt shall contain the following: 

(1) Estimated emissions levels, which may include regulatory tier requirements. 

(2) Locomotive numbers for the Original Locomotives and the Converted 

Locomotives. 

(3) Pictures showing major components installed during the conversion. 

( 4) Pictures of the completed Convetted Locomotives and their emissions labels. 

(5) Certification/assurance that emissions critical components were properly installed 

on the Converted Locomotives and are in working condition. 

( 6) If the proposed time for completing the conversion is exceeded, an explanation of 

the delay. 

F. Rmming reports will be submitted every 6 months for the first two years (commencing' 

within 6 months after submission of the post conversion repmt) and armually for eight 

years thereafter. These repmts may be combined for the locomotives converted under 

this CONTRACT. The running repmts will contain the following information: 

(1) Estimated emissions and fuel consumption, which may include estimates or 

calculations based on !mown information including data from the Project 

Proposal. · 

(2) Description or confirmation of general operating patterns of the Converted 

Locomotives. 

(3) Certification or assurance of proper operation and maintenance of the Converted 

Locomotives, in particular the emissions critical components. 

G. The CONTRACTOR shall submit any reports to the Division by electronic mail (e-mail) 

and shall provide two copies of the reports in the e-mail with one in Microsoft Word 

format and the second in a PDF format. The CONTRACTOR shall submit a har·d copy 

of the repo1t upon the Division's request. 

H. Notwithstanding anything to the contrary herein, in the Project Proposal or in the Request 

for Applications, CONTRACTOR shall have no obligation to conduct extra-operational 

studies or investigations or to generate data not generated in the normal course of 

business in order to compile the reports above or any other information requested by the 

Division under this CONTRACT. Further, the Division aclmowledges the repmting 

limitations as set forth in the Project Proposal, and CONTRACTOR shall not be required 

2 
to prepare or submit any data or information that is contrary to those limitations. 

Specifically, but not by way of limitation, CONTRACTOR does not determine actual 

fuel usage by locomotive and as such cannot determine actual fuel used by each 

Converted Locomotive, and CONTRACTOR cannot determine or track actual duty cycle 

over the Operating Period for each Converted Locomotive. The CONTRACTOR will 

use estimates for such determinations and may use best available information, which may 

include engineering estimates based on knowledge and experience of such operations. 

I. Contract funds will cover up to 70% of the total costs of the Project and will be 

distributed to the CONTRACTOR incrementally (not more than once per annual quarter) 

following completion of conversion task(s), provided the match has been satisfied for the 

incremental distribution. 

J. The CONTRACTOR shall only invoice the Division for expenses eligible for awmd 

funding. As pa:tt of the invoice, the CONTRACTOR shall certify each task that has been 

completed. Upon completion of the Project, the CONTRACTOR shall submit a final 

invoice requesting up to the remaining funds for unpaid task expenses provided that the 

total grant distribution for this project does not exceed $899,820.00. The final invoice 

shall provide all the information as requested in Method of Payment section of the 

CONTRACT. 

K. The CONTRACTOR shall only invoice the Division for eligible expense resulting fi·om 

the Converted Locomotive conversions as patt of completing tasks as described by the 

CONTRACTOR'S Project schedule (Exhibit B). 

L. The CONTRACTOR may not seek reimbursement or cost share consideration for ce1tain 

ineligible cost, which would include management or similar fees used to accumulate and 

reserve funds for ongoing business expenses, unforeseen liabilities, or for other similar 

costs. The CONTRACTOR may not seek fees for consultants in excess of $587.20 per 

day nor $73.40 per hour 

3 
ExhibitB 

Project Proposal and Supporting Information 
Corrections to the application to Switch-Duty Locomotive Conversions in Rome, Georgia from the 

Norfolk Southern Railway Company. Documentation of these and for other questions are included as 

Supplemental Information. 

1. Cover page: Total match proposed= $1,452,000 rather than $1,459,000 

2. There are errors in the first table on page 5 in section 2, ii, n (annual and 10 year tons of NOx). 

The correct values are shown in the second table (8.42 tons NOx annual emissions savings, 84.24 

tons NOx 10 year total savings.) 

3. Page 6, section 2, iii, line 5. Two switcher locomotives will be retrofitted, not eight. 

4. Also, as clarification, the emission comparison summary starting on page 5 (section 2, ii, o) and 

concluding at the end of the first paragraph on page 6 is for 5 years of 3 gensets and 10 years of 

1 mother-slug. 
Application Cover Page 

Company Name I Norfolk Southern Railway Company 

Contact Information - Technical 

Name 

Mailing Address 

Phone Number 

E-mail 

Mark F. Duve. 

Mechanical Department -·Jiliox 184 

1200 Peachtree Street NE 

Atlanta, GA 30309-3579 

404-582-6743 

Mark.Dnve(lanscorp.coni 

Contact Information- Contracts 

Name 

Mailing Address 

C. Douglas Corbin 

Mechanical Department- Jlliox 184 

1200 Peachtree Street NE 

Atlanta, GA 30309-3579 

404-582-6730 

Doui!.Corbin(ianscorp,com 

Phone Number 

E-mail 

Contact In 

Name 

Mailing Address 

formation- Additional Contact (optional) 

Phone Number 

E-mail 

Total number of conversions 

Total funding requested 

Total match proposed 

Total project cost 

Application Summary 

Two 

$900,000 

$1,459,000 

$2,352,000 

Authorized Official 

Name and Title I Donald D. Graab, Vice President -Mechanical 

I certifY to the best of my knowledge that the infotmation provided in this application is accurate. I agree 

that all of the minimum requirements have been or will be met to the extent feasible. Additionally, I 

understand the obligations and constraints associated with this proposal. I understand that completing this" 

form simply enters me into the Locomotive Conversion funding competition and my final decision to 

accept the grant funding, ifl were to be selected, would occur later. 

Signature: Date: ________ _ 

NS GA EPD Emissions Locomotive Conversion Application 2013 Rome GA Page 1 
2) Locomotive Rail yard/Location and Operation, 

i. Rail Yard Location and Area of Operation 

Norfolk Southem Railway Company ("Norfolk Southem") proposes to convert 

two (2) traditional yard and local switcher locomotives to one (1) mother/slug set using 

an advanced 12-71 OECO engine manufactured by Electro Motive Diesel ("EMD"), with 

emissions achieving the Environmental Protection Agency's ("EPA") Tier 3 standards. 

The mother/slug configuration consists of a single engine with four traction motors on 

one locomotive platfonn (the "mother") and a second platfonn with four additional 

traction motors but without an engine (the "slug"). The single engine therefore powers 

eight traction motors on two platforms, thus providing high initial tractive effort to move 

the train. The mother/slug combination that will be placed into operation in the Rome, 

Georgia area under this funding anangement will effectively perfonn the work of two 

earlier locomotives, given horsepower and tractive effotis of various locomotive models. 

The mother/slug set funded by this project will be operated on Norfolk Southern's rail 

lines and yards that are located between Rome and Krannert, which are entirely within 

Floyd County that the GA Environmental Protection Division ("GA EPD") has 

categorized as the Rome PM 2.s State Implementation Plan ("SIP"). See attached maps in . 

Appendix A 

ii. Converted Locomotives 

(a)-(f) For required operating flexibility, specific locomotives do not typically 

stay for more than a month within the Rome area. Typically, the 

locomotives that service the yards and local industry are dropped off by an 

inbound freight train and stay within the Rome area for two to four weeks 

until they need servicing or are needed elsewhere on the system. At that 

time, a freight train will drop off two more locomotives and take those 

locomotives that were in the Rome area. It is for this reason that Norfolk 

Southern cannot provide specific identification of!ocomotives that are 

operating within the Rome area. 

Cunently two 3,000 hp four-axle locomotives are servicing the Rome to 

Krannert area yards and local industries. One of the locomotives is a high 

adhesion GEB32-8 and the other is a low adhesion GP40-2. Both units 

are ce1iified to the EPA Tier 0 regulations as defined in 40 CFR Part 92. 

However, the GE B32-8 is cetiified by the manufacturer with emissions 

credits, and the GP40-2 is certified by use of an an anti-idling device. 

There are cmTently no plans to overhaul these locomotives in the next five 

years. As stated above, the locomotives in the Rome area change out quite 

frequently, and the majority of the NS 3,000 hp four-axle switcher fleet 

that operates in the Rome SIP is also certified to Tier 0. 

NS GA EPD Emissions Locomotive Conversion Application 2013 Rome GA Page2 
If awarded the funding requested in this application, Norfolk Southern will 

conunit to put a policy in place such that the converted mother/slug set 

will remain within the Rome SIP except for time away for servicing. 

g. Locations of Locomotive Operation 

These switcher locomotives operate in yard and local service to transfer 

rail cars or cuts of cars between the rail yard in Rome and the two yards in 

Kranne1i, as well as to and from lei cal industries. These yards and 

industries are within the Floyd County SIP. 

h. Duty Cycle Information 

Currently, the locomotives are on call by local industries to switch the cars 

that are needed by the industries and sort the cars that are received 

inbound in the Rome yards. Given the demand for rail cars required by 

the large industries served in this area, it is not uncommon for these 

switcher locomotives to be operated 24 hours a day, seven days a week. 

Since the locomotives are cycled through Rome quite frequently, it is not 

possible to obtain event recoi·der data to determine sample duty cycles. 

For this reason, the emissions calculations in this application use the EPA 

switcher duty cycle. 

i. Kit Procedure for Conversion 

The installation of the kit entails stripping the mother locomotive to its 

under frame, modifying the under frame to accept the new engine, 

installing the new engine, modifying the alternator to accept the new 

engine, modifying the locomotive body to accept.the new engine and 

cooling system, replacing the electrical control cabinet and rewiring the 

locomotive. Norfolk Southern plans to apply the EMD 710ECO kit at its 

Juniata Locomotive Shop located in Altoona, PA. Norfolk Southern has 

experience in applying mother/slug kits on other locomotives that were 

funded under American RecoVery mid Reinvestment Act Funding for the 

National Clean Diesel Funding Assistance Program (EPA-ARRA·OAROTAQ-09-06). 

The manufacturing of the slug is similar to the repower of an existing 

locomotive with the exception of instead of replacing the engine, a 

concrete block is installed where the engine would be and the fuel, oil a11d 

coo ling systems are pennanently removed. 

NS GA EPD Emissions Locomotive Conversion Application 2013 Rome GA Page 3 
j. Total Cost per Mother/Slug 

The approximate estimated cost for each of the mother/slug conversion is 

as follows: 

3000 HP Mother/Slug 

$1,389,000 Mother/Slug Kit 

$ 963,000 Norfolk Southern Provided Materiai and Labor 

$2,352,000 

k. Years of Proposed Commitment to the Rome area. 

Norfolk Southern proposes to operate the mother/slug set funded by this 

project in and around the Rome area, as discussed in (2)(g) above, for a 

period of 10 years after the locomotive is retrofitted. 

I. Proposed Percent of Annual Operating Time Commitment to the 

Rome Area including Floyd County. 

Norfolk Southern anticipates operating the mother/slug set funded by this 

project in and around Rome, Georgia, as discussed in (2)(g), at least 80% 

of each locomotive's operational hours. Norfolk Southern recommends 

this 80% regional operation due to the likelihood that the units will leave 

the Floyd Connty SIP for 92-day Federal Railroad Administration 

inspections and other maintenance or for other logistical contingencies. 

m. Estimate of Annual Fuel Use Before and After Conversion. 

Norfolk Southem does not have the ability to measure the fuel used in any 

one particular locomotive. Nor can it create that ability for this project. 

Rather, it measures fuel use on a system-wide basis. For this reason, this 

application relies on expert opinion to estimate approximate fuel use for a 

typical locomotive in switcher service in tl1e Rome aTea. The Manager of 

Fueling Operations at Norfolk South em has provided an estimate, based 

on his lmowledge of and experience with locomotives and fueling 

operations. Based on this opinion, for purposes of this application and any 

subsequent reporting required by a grant of funds for this project, Norfolk 

Southern will use an average of approximately one thousand gallons of 

fuel per traditional switcher locomotive per week. Norfolk Southern will 

use a manufacturer's estimate of fuel usage for the conve1ted mother/slug 

set in any rep01ting required by a funding arrangement for this project. 

In addition to the fuel savings. generated from shutdown of the mother 

locomotive engines due to the automatic start/stop feature, the mother 

locomotives reduce emissions by reducing idle time per engine as well as 

emissions in idle, and by using Tier 3 engines. 

NS GA EPD Emissions Locomotive Conversion Application 2013 Rome GA Page4 
n. Calculated Project Emissions 

The estimated annual project emissions reductions are as follows: 

Total Estimated Project Emissions Reductions (tons) 

NOx· PM 

Total Annual Emissions Reductions 1.23 0.68 

Total! 0 Year Project Reduction 8.42 6.77 

These total projected emissions reduction represents the sum of the 

locomotive replacement calculations provided below: 

Emissions Comparison Summary- Existing 3000 HP Tier 0 vs. 12-710ECO Repower 

Emission Single Unit 

Factors Emissions Total Emissions 

BSFC (g/bhp-br) _itons/y_r}_ (tons/year) 

Activity NOx PM 

#of (bhp- Factor per per 

Locos br/gal) (gal/yr) Loco Loco NOx PM NOx PM 

Preconversion 

3000 HP 

Tier 0 2 15.19 52,000 8.26 0.42 7.20 0.36 14.40 0.73 

Postconversion 

710ECO 1 17.19 45,000 7.00 0.06 5.97 0.05 5.97 0.05 

Annual 

Emissions 1.23 0.31 8.42 0.68 

Emission Reductions Savings 

10 Year Total 84.24 6.77 Savings .. •Most NS 3000 HP locomottve are overhauled to Tter 0 40 CPR Part 92 Emtsstons Regulattons 

Notes: 

1. 

2. 

3. 

The calculations and emissions factors are found in Appendix B. 

The DCBSFC is based upon the sample EPA switcher duty cycle. 

The activity factor is based upon the estimated fuel consumption 

described in section 2(ii)(m), and is adjusted for the difference in 

fuel consumption between the mother/slug and the locomotive that 

is being compared. 

o. Emissions Compared to Gensets 

NS GA EPD Emissions Locomotive Conversion Application 2013 Rome GA PageS 
Norfolk Southern has dete1mined that the minimum requirements for · 

trains between Rome and Krannert are 3000 hp with high adhesion 

capabilities, which the 3000 hp mother/slug satisfies. Currently, there is 

no 3000 hp genset on the market. In addition, the grade between Rome 

and Krannert requires heavy locomotives in order to prevent train stalls 

during inclement weather. Therefore, it would take three 2000 hp 

gensets to be able to perform the same work as one 3000 hp high 

adhesion mother/slug set. In addition, the genset life expectancy is 

sho1ter and Norfolk Southern will not commit to maintain a genset for 

more than five years. PM emissions savings for the genset over a fiveyear project life are estimated at 2.27 tons, as compared to 6.77 tons for 

the 710ECO mother/slug. Therefore, the 710ECO mother/slug solution 

results in better PM emissions reductions than the gensets. · 

Emission Comparison Summary- Existing 3000 HP Locomotive vs. 2000 HP NREC 3GS21B 

Genset 

Emission 

Factors Siogle Unit Total Emissions 

BSFC (g/bhp-hr) Emissions (tons/yr) (tons/ ear) 

Activity NOx PM 

#of (bhp- Factor per (per 

Locos In·/ gal) (gaVyr) Loco Loco) NOx PM NOx PM 

Existing 

3000HP 

Tier 0* 2 15.19 52,000 8.3 0.42 7.20 0.36 14.40 0.73 

3GS21B 3 18.52 45,000 2.50 0.10 2.30 0.09 6.90 0.28 

Annual 

Emissions 4.90 0.27 7.50 0.45 

Emission Reductions Savings 

5 Year 

Emissions 37.49 2.27 

Savings 

***SD40-2s overhauled to Tier 0 40CFRPart 92 Emissions Regulations 

iii. Timeline 

The proposed schedule to implement the mother/slug program is provided in the 

table below. Once CMAQ funding is approved, Norfolk Southern will order the 

required equipment. Each retrofit will take approximately 7 months from the date 

of commencement of that installation. As such, provided the GA EPD approves 

the project as proposed, the eight switcher locomotives will be retrofitted and 

emissions reductions will be achieved by approximately December 31, 2014. If 

the project approval or execution of a funding contract are delayed beyond the 

schedule contemplated by the GA EPD Request for Applications as shown in the 

NS GA EPD Emissions Locomotive Conversion Application 2013 Rome GA Page 6 
timeline below, the dates for completion ofthe mother/slug conversions 

necessarily will be delayed commensurately. 

Date 

April2013 

May2013 

March2014 

May2014 

December 2014 

Activity 

Finalize funding contract 

Order conversion equipment from OEM 

Begin strip and prepare first unit 

Receive first two conversion kits 

Complete mother/slug set 

The above schedule is based upon a one year lead time for the first 3000 hp 

mother/slug conversion kit. The mother/slug set is anticipated to be placed in 

service Rome area within approximately two weeks of completion. 

3) Other Information and Comments 

N01folk Southern will use the fuel estimates provided herein for the baseline case, and 

will use a manufacturer's estimate of fuel usage for the conve1ted locomotives in any 

reporting required by a funding arrangement for this project. Again, Norfolk Southern 

does not have the means to measure actual fuel use per locomotive- even for the 

converted locomotives - and cannot justify the capital cost associated with the necessary 

infrastructure that would be required to gain this ability. Further, iil the event less 

funding is awarded than what is requested in this proposal, Norfolk Southern reserves the 

right to select the mix of locomotives that will be replaced or converted with such 

funding, and Tier 0 or pre-1973 may be replaced in the Rome area. 

NS GA EPD Emissions Locomotive Conversion Application 2013 Rome GA Page? 
Appendix A 

1 % ......... 1<1 • 

Romi3"·Krannert Rail Map -All Rail lines shown In gre·en f 

' 

NS GA EPD Emissions Locomotive Conversion Application 2013 Rome GA Page 8 
AppendixB 

Baseline 16-645E3 Engine Data from 

www .epa.gov f certdata.htmltlocomotive 

Fue.l Cor EPA 

Rate Nox PM sw w-Fuel w-NOJ< w-PM 

w- w- wT/N BHP lb/hr g/hr g/hr DC w-BHP (lb/hr) (lb/hr) (lb/hr) 

8 3157 1185 24688 1484 0.80% 25.26 9.48 197.50 11.87 

7 2648 994 22451 1218 0.20% 5.30 1.99 44.90 2.44 

6 1976 745 15865 731 1.50% 29.64 11.17 237.98 10.97 

5 1469 559 10957 587 3.60% . 52.87 20.13 394.44 21.15 

4 1015 395 6843 416 3.60% 36.55 14.23 246.34 14.99 

3 666 269 4114 220 5.80% 38.61 15.58 238.63 12.74 

2. 376 163 2068 154 12.30% 46.25 20.04 254.38 18.96 

1 120 61 1176 30 12.40% 14.88 7.50 145.82 3.72 

idle 21 36 673 21 59.80% 12.56 21.29 402.61 12.81 

DB-2 56 102 1818 4t 0.00% 0.00 0.00 0.00 0.00 

0.00% 261.91 121.42 2162.61 109.64 

100% DCBSFC w-NOx w-PM 

0.46 8.26 0.42 

DCBSFC* 15.19 

NS GA EPD Emissions Locomotive Conversion Application 2013 Rome GA Page9 
Appendix B (Continued) 

3000 Hp Test Data as provided by EMD 

Fuel Cor EPA 

Rate Nox PM sw w-Fuel w-Nox w-PM 

w- w- wT/N BHP lb/hr g/hr g/hr De w-BHP (lb/hr) (lb/hr) (lb/hr) 

8 3200 1110 14144 192 0.80% 25.60 8.88 113.15 1.54 

7 2750 993 10148 154 0.20% 5.50 1.99 20.30 0.31 

6 2000 742 9160 80 1.50% 30.00 11.13 137.40 ·1.20 

5 1500 566 7755 68 3.60% 54.00 20.36 279.18 2.43 

4 1125 432 6233 48 3.60% 40.50 15.56 224.37 1.74 

3 750 285 5175 39 5.80% 43.50 16.54 300.15 2.26 

2 400 151 3032 24 12.30% 49.20 18.52 372.94 3.00 

1 225 91 2142 17 12.40% 27.90 11.25 265.61 2.09 

idle 38 46 878 11.2 19.90% 7.56 9.15 174.74 2.23 

Lildle 25 25 665 6.2 19.90% 4.98 4.93 132.24 1.23 

Electric Layover System 20.00% 

DB 30 42 1,113 14 0% 0.00 0.00 0.00 0.00 

100% 288.74 118.30 2020.07 18.03 

DCBSFC w-NOx w-PM 

0.41 7.00 0.06 

*DCBSFC is based upon 7.043 lbs/gallon of 

fuel 

DCBSFC* 17.19 

NS GA EPD Emissions Locomotive Conversion Application 2013 Rome GA Page 10 
Bergin, Michelle 

From: 

Sent: 

To: 

Subject: 

Attachments: 

Hi Michelle, 

Duve, Mark F. <mark.duve@nscorp.com> 

Friday, March 22, 2013 10:53 PM 

Michelle Bergin 

Requsted Information for Macon and Rome Applications 

MaconJpg; Train G02 RouteJpg; Trains G59 and G61 RouteJpg, Trains G36 and G4E 

Route MapJ~ 

The attached files contain the requested additional information for the Macon and Rome NS CMAQ Applications. 

Regards, 

Mark Duve 

Mechanical Engineer- Locomotive Design 

Norfolk Southern Corporation 

Mechanical Department- Box 184 

1200 Peachtree Street, NE 

Atlanta, GA 30309-3579 

Phone 404-582-6743 

Mobile 404-989-6192 

1 
a.-\t"J.-""ent -h., tph.,;l &w"' 

Nr (lvl~.-~:: D ..,1 I . <-.vt_' J 'Zz 2o 11) Ro'M..L &.t/CM.Iriav, d.. tt . Jj'oV "" f j ~· 

Requested Additional Information on Applications to the GA EPD Railroad·Related Emission 

Reductio·ns Grant Program for Switch-Duty Locomotive Conversions 

The answers for the additional information are as follows: 

Macon/Middle Georgia: 2 3000 hp 710 ECO mother-slugs and 3 3000 hp 710ECO repowers 

1. Please provide more detailed maps of the railyard and surrounding area, indicating areas of 

usual locomotive activity and areas planned for operation of the 2 mother·slug sets and for the 

3 repowers. 

Norfolk Southern has three hump yard trains that assemble cuts of cars and push them 

over the hump, pull the cars from the bowl tracks of the humps and assemble trains. 

These three hump sets operate within the boundaries of Brosnan yard which are shown 

in the attached file: Brosnan Yard Macon.jpg. 

Local trains G59 and G61 operate five days per week from Brosnan yard to just south of 

Unadilla, GA and return to Brosnan Yard. Each train can work up to 12 hours per day. 

The route for trains G59 and G61 is shown on the attached file: Trains G59 and G61 

Route.jpg. 

Local train G02 operates five days a week from the Brosnan Yard in Macon to Barnesville 

and returns to the Brosnan Yard. The train can operate up to 12 hours on a typical 

workday. The route for G02 is shown on the attached file: Train G02 Route. jpg. 

2. Please provide locomotive IDs for potential conversion. Locomotives with similar emission 

characteristics (equivalent or higher emissions) may be substituted. Locomotives converted 

must have an expected remaining time in service of at least 5 years as this funding is not 

a II owed to increase fleet size. 

Norfolk Southern anticipates converting the locomotives listed below, although, we 

reserve the right to change this list to accommodate operational needs. In the event 

Norfolk Southern changes one or more locomotives specified below, Norfolk Southern 

will replace the listed locomotive(s) with locomotive(s) that are of the same or lower 

tier. All of the locomotives to be converted will be owned by Norfolk Southern. We also 

note that not all of these locomotives that are anticipated to be converted with this 

funding are currently operating in the Macon area. However, after conversion, the 

locomotives funded by this project will reside in the Macon region and will replace Tier 

0 or pre-1973 locomotives that currently normally operate within the Macon area. 
ID 

NS 7065 

NS 7066 

NS 7068 

NS 7069 

NS 7073 

NS 7074 

NS 7077 

Model Built Date Serial# HP 

GP50 11/22/1980 807008-2 3500 

GP50 12/12/1980 807008-3 3500 

GP50 12/15/1980 807008-5 3500 

GP50 12/21/1980 807008-6 3500 

GP50 5/15/1981 807054-16 3500 

GP50 5/15/1981 807054-17 3500 

GP50 6/15/1981 807054-20 3500 

Some ofthese units have been listed on the Atlanta CMAQ application. However, the 

Atlanta application was not fully funded which leaves these units as candidates. It is 

anticipated without this repower program, these locomotives will run for another five to 

ten years. 

3. How long a period did the sampled event recorder of the 3 Brosnan Yard mother locomotives 

cover? What time of year did it occur and do you expect that would have any impact on the 

results? The comparison with the EPA cycle is very interesting. 

'The sampled event recorder data was taken from three locomotives that have operated 

in the Brosnan Yard hump service over the last year. An event recorder will only store 

48 hours of data before it starts rewriting over previously recorded data. Norfolk 

Southern will typically take a download every so often when the unit is shopped to 

verify that the event recorder is functioning. Most of the data in this study was taken iri 

the October to January time frame, with one set taken in April. As these units operate 

the hump, and the hump is operated 24 hours per day, it is not expected that there will 

be drastic deviations from the data. As these hump units provide power to two slugs, 

and these units push trains up a hill most often, it is not surprising that the duty cycle is. 

more demanding than the EPA switch duty cycle. 

4. In Section 2) j.: 

o Why is the Mother/Slug I< it $13~,000 higher than the cost proposed in the Atlanta 

CMAQ application? 

EMD originally gave a verbal quote over the phone for the Atlanta CMAQ 

application, and then followed up with a written quote which was only valid for 

the Atlanta application quantities. For the Macon and Rome applications, EMD 

requoted at a higher price. When questioned, EMD stated that they quoted too 

low on the Atlanta CMAQ program, but stated they would honor the quote for 

Atlanta only. 
• The decimal in $963.000 should be a comma. 

Yes, the figure shold be $963,000. 

• Does that cost ($963k) include Norfolk Southern labor? 

Yes, it includes the labor cost. 

• The section title should Include the repowers 

Yes, it includes the repowers. 

• The costs do not seem to add together correctly. I get a total of $8,328,000 rather than 

$8,331,000. 

The error here is in the addition of the Mother Repowers the sum of the kit, 

material should be $1,208,000, which leads to a total of 8,328,000 for the total 

project cost. 

5. I think the paragraph at bottom of page 6 (section 2) m.) should refer to the Brosnan area and 

duty cycle. 

Correct, it should read Brosnan Yard duty cycle. 

6. Section 2) n., first table on page 7: I think the bottom row should be the Total10 Year Project 

Reduction (and the NOx number is off.) 

The table should read as follows: 

Total Estimated Project Emissions Reductions (tons) using EPA 

Switcher Duty Cycle for converting the GP38 Series to 710ECO 

Mother/Slug Sets 

NOx PM 

Total Annual Emissions Reductions 32.55 1.21 

Total10 Year Reduction 320.5 12.12 

7. Why is the 710ECO fuel estimate lower than in the Atlanta application? (45,000 gal/year rather 

than 45,727 galjyear.) 

This is actually a conservative estimate. There could be more even more fuel savings. 

The newer locomotives are equipped with electric assist parking brakes. If the parking 

brake is set, it will send an electrical signal to the control computer which will cause the 

auto start system to ignore the air reservoir pressure as a criterion for engine start up. 
Without this feature, when the air reservoir pressure falls the engine restarts in order to 

maintain the air reservoir pressure for the air brakes. 

8. The discussion ofthe emissions comparison with gensets (section 2) o.) should clarify that the 

ECO emission reduction is given for a 10-year project life, not 5 (particularly in the last line). 

Can explicitly state that, for the same level offunding, the proposed commitment for the ECO is 

10 years and for the genset would be 5, therefore the comparison is between those two 

periods and not in equivalent years. 

Correct, Norfolk Southern will commit to keeping the ECO engine in service for 10 years. 

However, Norfolk Southern's experience has shown that it iS not economically feasible 

to keep the genset in the proposed service for 10 years. Therefore, the emissions 

savings period between the ECO and gensets are not equivalent. 

9. Section 2) iii., please verify the timeline. The period is same as Rome (with the repowers 

included.) Will the schedule need to be extended if both applications are fully funded? 

The schedule was originally drawn up to continue repowering locomotives once the 

Atlanta CMAQ funded locomotives were finished. However, now that the Atlanta 

Repowers are delayed until the "Buy America" issue is resolved the Macon and Rome 

schedule may be delayed a couple months. 

10. Section 3) on page 12 at the end of the paragraph, please add that the locomotives that will be 

converted will have at least 5 years of additional service reasonably expected (the funding 

cannot be used to increase fleet size or slow down the nature fleet turnover to cleaner new 

engines.)· 

All locomotives that are candidates to be converted can at least expect to see five to ten 

more years of service. 

Rome Application: 2 mother-slugs and 3 repowers J ....---------- -~~:.--::-;--:~ 

1. Please provide more detailed maps of the railyard and surrounding area, indicating areas of 

usual locomotive activity. 

Norfolk Southern currently uses a set of 3000 horsepower locomotives on trains G36 

and G4E. These trains together operate 24 hours per day, seven days a week on the 

Norfolk Southern's rail lines between Rome and Krannert, GA. These lines are shown on 

the attached file Trains G36 and G4E Route Map.jpg. 

2. Please provide locomotive IDs for potential conversion. Locomotives with similar emission 

characteristics (equivalent or higher emissions) may be substituted. Locomotives converted 

must have an expected remaining time in service of at least 5 years as this funding is not 

allowed to increase fleet size. 
ID 

NS 7078 

NS 7079 

Norfolk Southern anticipates converting the locomotives listed below, although, we 

reserve the right to change this Jist to accommodate operational needs. In the event 

Norfolk Southern changes one or more locomotives specified below, Norfolk Southern 

will replace the listed Jocomotive(s) with Jocomotive(s) that are of the same or lower 

tier. All of the locomotives to be converted will be owned by Norfolk Southern. We also 

note that not all of these locomotives that are anticipated to be converted with this 

funding are currently operating in the Rome area. Howe\(er, after conversion, the 

locomotives funded by this project will reside in the Rome area and will replace Tier 0 or 

pre-1973 locomotives that currently normally operate within the Rome area. 

Model Built Date Serial# HP 

GP50 5/7/1981 807054-1 3500 

GP50 5/7/1981 807054-2 3500 

3. How well do you think the EPA duty cycle represents switching activity in and around the Rome 

and Krannert area yards (time in notch)? How do you think it may differ? Any explanation of 

how switcher activity at/near Inman Yard, Brosnan Yard, and the Rome and Krannert area yards 

differ would be greatly appreciated. 

The local trains drop off cars at the local yard in Rome, GA and the trains G36 and G4E 

take the cars to either the paper mill or the power plant in Krannert, GA. Theses Rome 

to Krannert trains are different than the operations in the Atlanta Terminal and the 

Brosnan Yard hump set locomotives in that the Rome to Krannert trains are true local 

trains by moving the cars a short distance, spotting the cars at the industries and then 

delivering cars from the industries back to the Rome yard. The switch jobs within Inman 

and Brosnan Yards just assemble trains from track to track and push cars over the hump. 

However, trains G36 and G4E might have a duty cycle such as the local trains that run 

out of Macon, trains G02, G59 and G61. 

4. In Section 2) j. why is the Mother/Slug Kit $139,000 higher than the cost proposed in the Atlanta 

CMAQ, application? 

EMD originally gave a verbal quote over the phone for the Atlanta CMAQ 

application, and then followed up with a written quote which was only valid for 

the Atlanta application quantities. Forthe Macon and Rome applications, EMD 

requoted at a higher price. When questioned, EMD stated that they quoted too 

low on the Atlanta CMAQ program, but stated they would honor the quote for 

Atlanta only. 
5. Why is the 710ECO fuel estimate lower than in the Atlanta application? (45,000 gal/year rather 

than 45,727 gal/year.) 

This is actually a conservative estimate. There could be more even more fuel savings. 

The newer locomotives are equipped with electric assist parking brakes. If the parking 

brake is set, it will send an electrical signal to the control computer which will cause the 

auto start system to ignore the air reservoir pressure as a criterion for engine start up. 

Without this feature, when the air reservoir pressure falls the engine restarts in order to 

maintain the air reservoir pressure for the air brakes. 

6. The discussion of the emissions comparison with gensets (section 2) o.) should clarify that the 

ECO emission reduction is given for a 10-year project life, not 5 (particularly in the last line). Can 

explicitly state that, for the same level of funding, the proposed commitment for the ECO is 10 

years and for the genset would be 5, therefore the comparison is between those two periods 

and not in equivalent years. 

Correct, Norfolk Southern will commit to keeping the ECO engine in service for 10 years. 

However, Norfolk Southern's experience has shown that it is not economically feasible 

to keep the genset in the proposed service for 10 years. Therefore, the emissions 

savings period between the ECO and gensets are not equivalent. 

7. Section 2) iii., please verify the timeline. The period is same as Rome (with the repowers 

included.) Will the schedule need to be extended if both applications are fully funded? 

The schedule was originally drawn up to continue repowering locomotives once the 

Atlanta CMAQ funded locomotives were finished. However, now that the Atlanta 

Repowers are delayed until the "Buy America" issue is resolved the Macon and Rome 

. schedule may be delayed a couple months. 

8. Section 3) on page 12 at the end of the paragraph, please add that the locomotives that will be 

converted will have at least 5 years of additional service reasonably expected (the funding 

cannot be used to increase fleet size or slow down the nature fleet turnover to cleaner new 

engines.) 

All locomotives that are candidates to be converted can at least expect to see five to ten 

more years of service. 
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Bergin, Michelle 

From: 

Sent: 

To: 

Cc: 

Subject: 

Hi Michelle, 

Duve, Mark F. <mark.duve@nscorp.com>. 

Thursday, May 16, 2013 9:18 PM 

Michelle Bergin 

James Kelly 

RE: aditional questions RE: Requsted Information for Macon and Rome Applications 

I have worked through our Transportation Department and they have gone over train data from train G59, G60 and G02 

since 2012. Based upon the data we have come up with the following answers for your question regarding the train 

routes and times the potential repowers will spend outside of the GA Middle Counties. 

Norfolk Southern operates trains G59, G61 and G02 as local trains. A local train operates on a designated route out of a 

terminal. Local trains travel a short distance and have a number of cars such that the crew can switch out the cars and 

return to the terminal in the same day before the crew's federally mandated 12 hour service day is over. lf.there are 

more cars or customers than a crew can handle in a day, then another local train is assigned. This is the case of trains 

G59 and G61 in which they have the same route out of the Brosnan Yard Terminal. Each day, a local train is assigned a 

crew and either a locomotive or a locomotive consist. The crews and locomotive consists can vary from day to day 

depending upon the availability of crews and locomotives. Train crews must be qualified for each route. They must 

know the sidings, speed limits, clearance, issues etc. Because of the route qualification 'policy, it is Norfolk Southern's 

practice to set ~p local train farther than there actual routes such than when emergencies occur the local crew can assist 

the road crew. For instance, if a road freight has a locomotive that breaks down the local crew could continue farther 

and pull the road train back to the terminal, or if there is a minor derailment, the road crew could clear part of a train 

away that is not derailed. There are also special train moves for maintenance of way equipment etc. In the case of train 

G61, the route is set up such that the end of the route is in Pinehurst which is in Dooly County. Yet, there are no 

customers on the line between Clinchfield and Pinehurst; therefore, it is usually out of the ordinary that train G61 

operates out of the Bibb and Houston Counties. In fact, NS's records has shown that since January of 2012 G61 has not 

operated past Clinchfield. The same is true fortrain G59, except G59's stated route ends at Clinchfield, which is in 

Houston County. 

Train G02 route states that it operates to Barnesville. However, the customers in Barnesville are generally served by 

locals G09, GOS and G03 coming south from Griffin. In reviewing the records G02 has assisted the Griffin locals on 

several occasions. Norfolk Southern's records indicate that since G02 had operated to Barnseville only 50 times since 

January of 2012. Train G02 operates five days per week. Between January 2012 and now, G02 has operated over 375 

times which means only 13% of the trains G02 has been outside of the GA Middle Counties. However, a majority of the 

switching performed by G02 is done in Smarr and Forsyth, which means more time is allocated in Monroe County than 

in Lamar County. 

(Rome Application Answeb 

1) The Rome application has a typo on the first page the match will be $1,452,000. 

2) Trains G36 and G4E do operate entirely in Floyd County. The only time the repowered loco and slug will leave 

Floyd County is for maintenance. 

If there are any other questions, please do not hesitate to contact me. 

Regards, 

1 
MarkDuve 

Mechanical Engineer -locomotive Design 

Norfolk Southern Corporation 

Mechanical Department- Box 184 

1200 Peachtree Street, NE 

Atlanta, GA 30309-3579 

Phone 404-582-6743 

Mobile 404-989-6192 

From: Michelle Bergin [mailto:Michelle.Bergin@dnr.state.ga.us] 

Sent: Thursday, April 18, 2013 1:14PM 

To: Duve, Mark F. 

Cc: James Kelly 

Subject: additional questions RE: Requsted Information for Macon and Rome Applications 

Hi Mark, 

I have a few other (hopefully easy) questions on the Macon and Rome applications. On Rome, on the cover page, the 

requested funds plus match do not equal the total project cost. Can you let me know the correct numbers? Also, it 

appears from the map provided for trains G36 and G4E that the operation polygon is entirely within Floyd County. Is that 

correct? 

My main Macon question also relates to the operation polygons and counties. I don't have a good way to compare% of 

operation time by county. The Macon funding is from 2 programs, one for Bibb County and the other for the 7 Middle 

GA counties. As best I can tell, your operation figures show some G02 operation in Lamar, and some G59 and G61 

operation in Dooly. We need a way to estimate% of operation time per county, maybe by combining track length ratios 

with operation (for example, you listed G59 and G61 as operating 5 days/week in Brosnan (Bibb), so 2 days/week (2/7) 

as divided I think between Bibb, Peach, Houston, and Dooly which can be parceled by track length ratios or some similar 

metric). It would be most useful to see Bibb individually, the other Middle GA counties combined, and then the external 

counties. 

We need to first be sure the% oftime in operation in the counties meets the funding requirements (I believe it's 80% of 

operating time), and then see which locomotives may be funded from each source (CMAQ and HPP.) We can possibly 

combine the sources (I'll look into it) but will still need to show that the project meets the individual requirements of 

each funding source. Besides counties of operation, the sources also have different match requirements so we will need 

to be very clear about how that is fulfilled. 

Also, we expect to have a draft contract for your review for the Atlanta projects soon. We are still looking into Buy 

America requirements/waivers with GDOTand FHWA, I'd be glad to hear if you all are making any progress on that. 

Thank yo·u, please let me know if you have any questions. 

Best Regards, 

Michelle 

From: Duve, Mark F. [mailto:mark.duve@nscorp.com] 

Sent:· Friday, March 22, 2013 10:53 PM 

2 
From: Michelle Bergin 

Rome applciation 

Sent: Friday, May 31, 2013 4:01 PM 

To: Mark F. ouve 

subject: Rome applciation 

Mark, 

For clarification on the Rome CMAQ locomotive conversion application (1/11/12), I 

believe the Nox 

values on the first table on page 5, section 2) ii. n. are_ incorrect, and that the 

correct values are in the 

table below: 8.42 tons annual emissions savings and 84.24 tons 10 year total 

savings. Is that right? 

Thank you, Michelle 

Michelle s. Bergin, PhD 

sr. Environmental Engineer GA Environmental Protection Division 

Air Branch, Planning & support 

4244 International Pkwy Suite 136 (1927) Atlanta, GA 30354 

Phone: 404-362-4569 

Page 1 
RE correction on NS GA EPD 2013 Rome Application From: Michelle Bergin 

sent: Tuesday, June 04, 2013 2:43 PM 

To: ouve, Mark F. 

subject: RE: Correction on NS GA EPD 2013 Rome Application 

Thank you Mark! 

From: ouve, Mark F. [mark.duve@nscorp.com] 

sent: Tuesday, June 04, 2013 2:26 PM 

To: Michelle Bergin subject: correction on NS GA EPD 2013 Rome Application 

Michelle, 

There is a typographical error on page 5 of Norfolk Southern's 2013 Rome Application for locomotive 

emissions retrofits. The Total Annual Emissions Reduction s for NOX should be 8.42 

tons.per year, and 

the Total 10 Year Reduction should be 84.2 tons. The 1.23 tons Annual Emissions 

Reduction and 10 year Project Reduction of 8.42 as listed on the table are in error. 

Thanks, 

Mark Duve 

Mechanical Engineer - Locomotive Design Norfolk southern corporation Mechanical Department - Box 184 

1200 Peachtree Street, NE 

Atlanta, GA 30309-3579 

Phone 404-582-6743 

Mobile 404-989-6192 

Page 1 
Exhibit C 

Request for Applications (RF A) 
Request for Applications 

Railroad-Related Emission Reductions Grant Program 

Switch-Duty Locomotive Conversions in Rome, Georgia 

Released November 16, 2012 

Application due by January 11, 2012 (within 8 weeks after release) 

GA Environmental Protection Division 

Air Protection Branch 

Planning and Support Program 

The Georgia Environmental Protection Division (EPD) is requesting proposals to convert 

traditional locomotives perf01ming switch duties in Floyd County, Georgia to 'Genset' 

locomotives or to an alternative switcher locomotive technology with equivalent or better 

emissions reduction to be used for switching. 'Genset' is a term used in the marketplace to 

describe a modem locomotive that meets EPA's stringent emission standards and can employ 

one or more engines. 'Switch-duties' include moving railcars around to assemble and 

disassemble trains, primarily within rail yard limits. 

$900 thousand in funding from the U.S. Department of Transportation's Congestion Mitigation 

and Air Quality (CMAQ) Program has been awarded for these conversions to the EPD by the 

Georgia Department of Transportation. These funds will cover up to 70% of the cost of 

converting older, more emissive locomotives to lower emitting locomotives, requiring a 

minimum 30% match. Conversions must be completed within 24 months of the execution of 

funding contracts. 

Project Goals 

The major goals of this project are (1) to protect human health in the Rome area by reducing 

exposure to diesel combustion emissions and subsequent secondary air pollutants, especially 

PM2.s (particulate matter of 2.5 microns in diameter and smaller), and (2) to facilitate attainment 

and maintenance of the National Ambient Air Quality Standards (NAAQS). The development of 

agreements associated with this project will incorporate any guidance received from the US EPA 

regarding necessary actions to ensure the applicability of the emission reductions resulting from 

this project to the Rome PM2.

5 State Implementation Plan (SIP). The SIP is submitted to the US 

EPA by the State of Georgia to demonstrate its air quality management plan to attain .or maintain 

theNAAQS. 

----·---------
Eligibility and Project Requirements 

Switch-Duty Locomotive Conversions in Rome, Georgia 

GA Environmental Protection Division 

Air Protection Branch 

Project Overview 

Owners of traditional diesel switch-duty locomotives operating in Floyd County are eligible for 

this funding assistance. Locomotives eligible for conversion include umegulated (pre-1973) or 

Tier 0 (1973-2001) diesel switchers that are currently in service and would have remained in 

service in the proposed railyard for at least five years from the application date. IfEPD and the 

Grantee mntually agree that a switch locomotive operating outside of the proposed rail yard is a 

more beneficial candidate for conversion than any locomotive operating as a switcher in the 

railyard, the alternative locomotive may be converted and nsed to replace a switcher nmmally 

operating in Floyd County, provided the locomotive conversion will result in the same or greater 

PM2.s and NO, emission reductions as if the switcher to be replaced were converted. In addition, 

if EPD and the Grantee mutually agree, the Grantee will be allowed to convert or replace ·a 

different locomotive from that identified in the application subject to, at a minimum, achieving 

the emission reductions presented in the application. 

Emissions benefits must be calculated as the emission difference between the new converted 

locomotive(s) and the replaced or converted locomotive(s) previously operating in the designated 

railyard(s). This project must resnlt in emission reductions that would otherwise not occur in the 

Rome area for the remaining useful life of the converted or replaced equipment (e.g., the project 

cannot be applied to increase a fleet size and emission reductions must be greater than what 

wonld have occurred due to fleet tum over and phased in regulatory emission limits in the 

railyard.) The original locomotive engine (before conversion) must be permanently retired or 

retrofitted to at least current emission standards that would be required for new engines. This 

subsequent retrofit cannot nse funding from this project and is not eligible as part of the required 

match. 

Proposals must commit the converted locomotive to at least &0% of their operating time within a 

designated distance of the proposed railyard(s) for a minimum of 10 years (or a similar 

commitment schedule) unless the locomotive becomes inoperable and is unable to be repaired or 

replaced with comparable equipment. 

Grant fnnds will cover up to 70% of the total locomotive conversion cost and will be distributed 

to the grantee incrementally (not more than once per annual quatter) following completion of 

conversion task(s), provided the match has been satisfied for the incremental disttibution. 

Payments shall be made after invoices are approved by the EPD. 

Selection Criteria 

Priority will be given to the projects with the highest cost effectiveness calculated as dollars per 

ton of PM2.

5 reduced. This value is based on (a) the emission levels of the engines to be 

converted/replaced (Tier level or direct measurements), (b) the operating cycle of the locomotive 

to be converted/replaced, (c) the estimated length ofremaining service of the locomotive to be 

2 
Switch-Duty Locomotive Conversions in Rome, Georgia 

GA Environmental Protection Division 

Air Protection Branch 

con vetted /replaced, (d) the emission levels of the converted locomotive, (e) the proposed 

amount of time of operation and average duty cycle of the converted locomotive (possibly the 

same as (b)), and (f) the number of years (minimum 10) that the converted locomotive will 

remain in the Rome area. When calculating cost effectiveness, only funds to be awarded under 

this grant will be included. · 

EPD may fund individual projects for less than the requested amounts if the total amount of the 

proposals exceeds available funds. If the amount of funding provided to individual projects is 

less than that project's respective proposal, EPD may specify which switcher engines may be 

converted based on the cost effectiveness of the emissions reductions for each switcher 

converted as described above. 

Penalties and/or contingencies for not meeting the terms of the contract will be specified in the 

funding contract in accordance with applicable requirements. 

In the event that the applicant is offered funding less than the applicant proposed, and the 

applicant determines in its sole discretion that such allocation of fnnding is inadequate for its 

budgeting and finance pmposes, then the applicant may withdraw its application in whole and 

reject any offer of funds without recourse from EPD. In addition, in the event the funding 

contract offered to the applicant includes provisions or incorporates documents that contain 

provisions with which the grantee does not agree, then grantee may withdraw its application in 

whole and reject any offered funds without recourse from EPD. 

Reporting Requirements 

Reporting requirements for each converted locomotive will include: 

(1) an initial report before the locomotive is converted, 

(2) a report within one month after completion of the conversion(s), 

(3) a report each 6 months for the first two years of operation of the con vetted locomotive, 

and 

( 4) a report once per year for the remaining period of commitment. 

The reports will include the following components (details are given below): 

(1) Initial report: 

a. Activity, emissions, and fuel use infmmation for the locomotive to be converted 

and for the locomotive to be replaced. 

i. The initial report may use data from the application if it meets all 

reporting criteria and if the replaced locomotive is the one converted. 

ii. If a different locomotive will be converted than the locomotive specified 

in the application, a comparison of the two locomotives must be submitted 

for approval by the EPD at least 30 days prior to initiation of the 

conversion. The comparison must include information sufficient to 

3 
Switch-Duty Locomotive Conversions in Rome, Georgia 

GA Environmental Protection Division 

Air Protection Branch 

determine that resulting emission reductions will be at least equivalent to 

what was included in the application. 

(2) Post conversion report: 

a. A description of expected emission levels based on the equipment installed. 

b. Ce1tification/assurance that the equipment was properly installed aud is in 

working condition. 

c. A description of the provisions that ensure enforcement of wananty claims 

against vendors if problems arise. 

d. If the proposed time for completing the conversion is exceeded, provide a 

description and explanation of the delay. 

(3) 6 months descriptive operation reports (4 reports; one each 6 months for the first 2 years 

of operation): 

a. Activity, emissions, and fuel nse information for the converted/replaced 

locomotive. 

b. Description or confirmation of operating patterns. 

c. Ce1tification/assurance of proper operation and maintenance of the locomotive 

and emissions control equipment. 

(4) Annual normal operation reports: 

a. Activity, emissions, and fuel use information. 

b. Description or confirmation of operating pattems. 

c. Certification/assurance of proper operation and maintenance of the locomotive 

and emissions control equipment. 

Activity, emissions, and fuel use infmmation 

Activity and emissions data must be collected through the use of an event recorder or similar 

technology to calculate the average percentage of operating time in idle and each notch during 

normal operations for average or typical weekday and weekend day activity (e.g. 24 hour 'duty 

cycle' descriptions). Please state if activity is indistinguishable between weekdays and weekend 

days. 

Information on monthly or seasonal differences in activity between reporting periods can be 

reported either through activity data or fuel use based on overall railyard activity level measured 

by indicators such as carloads handled or freight throughput and expert opinion. If the estimates 

of normal duty cycles and temporal patterns (e.g. weekly, seasonal) of the converted locomotive 

are unchanged after the first year of operation, activity, emissions and fuel use data from 

previous repmts may be reused for up to 5 years. 

EPA notch-specific emission factors may be used in conjunction with measured duty cycle 

activity to estimate emissions. Fuel use can be measured (logged) or calculated using location 

and locomotive-specific information. The emissions calculation method will be determined in 

cooperation between the EPD and the locomotive owner. 

4 
Switch-Duty Locomotive Conversions in Rome, Georgia 

GA Environmental Protection Division 

Air Protection Branch 

It is understood that there is a wide range of vadability in switching activity, and that some 

information is very difficult to measure. Expert opinion (e.g. from the lead rail yard engineers 

and switch locomotive operators or maintenance engineers) may need to be utilized for some 

estimates. If the cycles are considered too erratic to estimate, please describe the range of · 

possible cycles for the specific rail yard with data supporting this assertion in the grant 

application (see Application Components section 2. ii(h) below). 

This activity and fuel use information is important for determining if and how the main goals of 

this air quality improvement program are met. Because the cunent default duty cycle and fuel 

use estimates available for switch locomotives are outdated and designed to represent a very 

large, nationwide distribution of rail yards and locomotives rather than specific in-use engines 

and conditions, a tailored estimate to location and locomotive, even if approximate, will be a 

much better indicator of historic emission levels and achieved improvement from this program. 

In addition, this information will aid in supporting the use of equipment and technologies that 

result in actual in-use emission reductions with reliable service rather than only supporting the 

use of equipment that will only reduce emissions under default duty-cycle use patterns, and will 

help prevent funding equipment that does not meet real-world operational requirements. 

Description or Confitmation of Operating Pattems 

All reports beginning with the first 6-month report of the first year of the converted locomotives 

operation, must confitm the use of the converted locomotives in the designated areas during the 

reporting period unless the locomotive became inoperable and was unable to be repaired, which 

must be reported within 60 business days after the final determination by the locomotive owner 

(Grantee). The report must explain if there have been significant petfonnance or unanticipated 

maintenance difficulties. 

"Designated areas" can include both the 80% operating time within a designated distance of 

assigned railyard(s) anq up to 20% time that can include pre-determined standard maintenance or 

suppott locations outside the designated distance as well as outside operations. While the predetermined standard maintenance or support locations are allocated to the 20% 'out of area' 

operation time, they do not need to be detailed in reports. Please list the proposed designated 

activities/locations in the grant application, specifying both in and out of area operations as 

expected to reduce repmting needs (see Application Components section 2. ii(g) below). 

The reports must detail any changes in operating patterns that wonld cause significant 

differences in activity data since any previous reports. 

Certification/ Assurance of Proper Equipment Operation and Maintenance 

All reports must include verification/assurance that the locomotives.are being properly 

maintained in accordance with the manufacturer's specifications and are being operated in 

accordance with the terms of the funding contract. This verification/assurance may be in the 

5 
Switch-Duty Locomotive Conversions in Rome, Georgia 

GA Environmental Protection Division 

Air Protection Branch 

form of a representation by grantee. The report must detail if unexpected maintenance or repair 

beyond normal operation expectations was required that caused the locomotive to be removed 

from service beyond normal maintenance requirements (excluding travel time to and from repair 

shops). 

All reports will be subject to review by the EPD, and any questions, reasonable requests for data, 

or concerns must be addressed before the project progresses. Any deviation from contractual 

agreements must be reported. 

Vel"ification and Enforcement 

Verification and enforcement clauses will be included in any contracts as required for 

compliance with State and Federal procurement and sub grant procedures and for the Rome PM2.s 

SIP. Grantee shall not be obligated to provide such verification/assurance during the years it 

provides the annual reports containing the same verification/assurance. If necessary, Grantee 

will take reasonable measures to protect its rights under any applicable vendor warranties in 

accordance with contractual rights and federal regulations. Any funding contract will ensure that 

funds will be returned for failure to complete the conversion of the locomotive(s). 

6 
Switch-Duty Locomotive Conversions in Rome, Georgia 

GA Environmental Protection Division 

Air Protection Branch 

Application Components 

The application should address each of the following items. Please contact the EPD at the 

address below for clarification if needed. 

1. Applicant and Project Overview, to be submitted on the Application Cover Page. Includes: 

i) Company name. 

ii) Primary technical contact. 

iii) Prima1y contractual contact. 

iv) Additional contact. 

v) Total number of conversions proposed. 

vi) Total funding requested. 

vii) Total match proposed. 

viii) Total project cost. 

ix) Signature of authorized official and date of submittal. 

2. Locomotive, Rail yard/location, and Operation: 

i) Rail yard location and area of operation. Include map. Describe if more than one 

railyard or area will be assigned. 

ii) Please give the following information for each locomotive to be converted, as 

applicable. If information pertains to more than one proposed conversion, provide 

the information for each locomotive to be converted. 

(a) Locomotive identifier, including both the manufacturer's serial number and 

the owner assigned identifier 

(b) Model/type 

(c) Year of engine manufacture 

(d) Tier certification 

(e) Last date of rebuild 

(f) Expected remaining years of service 

(g) Estimates of location(s) of operation and percent of time at each location. 

Include daily, weekly, and seasonal schedules if applicable, or other expected 

use both inside (at least 80%) and outside (up to 20%) of the designated 

operating distances (such as scheduled maintenance in outside locations). 

Describe if locomotive will be used in specific areas of yard(s). 

(h) Description of nmmal and occasional operation cycles/duties, with a 

description of how the dnty cycle (weekday/weekend, seasonal) and actual 

fuel use will be measured or calculated and reported. Compare with the EPA 

default switch locomotive duty cycle. If more than one 

measurement/calculation option is available, describe options with the 

benefits and detTiments of using each method. 

(i) Kit or procedure for conversion (description of equipment and process, 

particularly as related to emissions reduction such as use of Tier 4 nonroad 

engines or diesel pmticulate filters.) 

(j) Cost of conversion, including labor and materials 

(k) Years of proposed commitment to specified railyard(s) or areas 

7 
Switch-Duty Locomotive Conversions in Rome, Georgia 

GA Environmental Protection Division 

Air Protection Branch 

(I) Proposed percent of annual operating time commitment to specified 

railyard(s) or areas 

(m)Estimate of annual fuel use before and after conversion (may be in terms of 

percentage of expected reduction or direct measurement). If funded, more 

specific fuel use measurements may be required. Please give an explanation 

of how the current estimate is made and what can be done in the future. 

(n) Calculated estimate of annual NOx and PM25 emissions before and after 

conversion 

( o) Description of any additional emission reductions or other benefits. If a 

technology other than multi-engine gensets is proposed, include a comparison 

showing that the alternative teclmology will achieve equivalent or better 

emission reductions (particularly for PM) than the use of Gensets under actual 

operating conditions. 

iii) Timeline detailing the schedule aud maximum time period needed for conve1ting the 

locomotive(s), including when locomotive(s) will be removed, when aud if 

replacements are brought in and removed, and when the locomotive will be 

completed and in use. If the timelirie is dependent on number of conversions 

awarded, provide other potential timelines. 

3. Please list auy other comments, information, or descriptions that may be useful in analysis of 

this proposal, including a description of the activity aud fuel use data you can provide in the 

required reports. 

Please submit the application electronically in either MS Word or as an Adobe pdf, and send a 

signed hardcopy through certified or tracked mail. Any expense incurred to prepare the 

application is not reimbursable and is the responsibility of the applicant. In addition, operating 

expenses, fuel costs, projects required by any law or other agreements, administrative costs, or 

work done or purchases prior to execution of a contract between EPD and the applicant are not 

reimbursable and are the responsibility of the applicant. 

For more information and/or to submit proposals, please contact:. 

Michelle Bergin, PhD 

GA Environmental Protection Division 

Air Protection Brauch, Planning and Support 

4244 International Parkway 

Atlanta, GA 30354 

404-362-4569 

michelle. bergin @dnr.state. ga.us 

8 

------- -~----------------
Application Cover Page 

Company Name 

CoLn~ta-c~t~I~n~fo-r-·m_a_t~io-n---~T~e-c~hn-I~.c-a~l--------------------~ 

Name r-------------------------------------~ Mailing Address r-------------------------------------~ 

Phone Number 

E-mail r------------------------------------------4 

Contact Information - Contracts 

Name 

Mailing Address ~------------------------------~ 

r-------------------------------------~ 

Phone Number 

E-mail r------------------------------------------4 

Contact In!' ormatiOnName 

Mailing Address 

Phone Number 

E-mail 

Add'. rhona IC ontact ( optwna 

Application Summary 

I) 

Total number of conversions 

Total funding requested 

Total match proposed 

Total project cost ---·--· 

Authorized Official 

Name and Title 

I certify to the best of my knowledge that the information provided in this application is accurate. I agree 

that all of the minimum requirements have been or will be met. Additionally, I understand the obligations 

constraints associated with this proposal. I understand that completing this form simply enters me into 

the Genset Locomotive Conversion funding competition and my final decision to accept the grant 

funding, if I were to be selected, would occur later. 

Signature: Date: _______________ _ 
Exhibit D 

CONTRACTOR's afi!davits required by the Georgia Security and Immigration Compliance Act 

of2006rules and regulations issued by the Georgia Department of Labor set f01th at rule 300-

10-1-.Dl et. Seq 

See Attached (For Electronic Copy, Double Click Below) 

!Wf.;;l\1 

Microsoft ~ Word 

Document 

A-3 of3 
Cont!'llctor Affidavit Ull!hll' o.c.G.A. § 13-10-9l(b)(1) 

By executing this affidavit, the undersigned COl/tractor verifies its compliance 

with O.C.G.A. § 13-10-91, stating affiimatively that the h1divldlial, firm or corporption 

which is engaged in the physical performai1ce of services on behalf of (name of public 

employer) has registered with, is authorized to use and uses the federal work 

authorization program commonly !mown as E-Verify, or any subsequent replacement 

program, in accordance with the applicable provisions and deadlines established in 

O.C.G.A. § 13-10-91. Furthermore, the undersigned contractor will continue to use the 

federal work authorization progtam t]n•oughout the contract period and the undersigned 

· contractor will contract for the physical performance of services in satisfaction of such 

contract only with subcontractors who present an affidavit to the contractor with the 

infOJmationrequired by O.C.G.A. § 13-l 0-91(b). Contractor hereby attests that its 

federal work authorization user identification number and date of authorization are as 

follows: 

~----,-,.<.1.4""'11 g (l! . . Federal or Authorization Userldentificatlon Number 

(. 

Date ot{l.utqorJ~ation - 1 , 

/l!oc-\-01 h< . St?oL"-\i<ec..-, ~~on , , NameofCo tract r J . , 1 1 (' .IJ \, t l {0 v«oiCV\ AJJ4TL C \1 · · , ;} , eJ,re ( (~tn~<I8Jt2o (;.!Y4,-,.,'t, c)wd'.., l)ev Y · o.o:o A · 

~~~~~-------------- Name of Public Employet· 

I hereby declare under penalty of perjury that the foregoing is true and correct. 

Executed on '()1, 0 , , :.JL 201!/_ lnNor&JJ(oity), _VA (state). 

My Commission Expires: 

~.LJ-----~ 
ExhibitE 

The Disclosure of Lobbying Activities 

(Disclosure form of any Lobbying using N onappropriated Funds) 

See Attached (For Electronic Copy, Double Click Below) 

m 

Adobe Acrobat 

Document 

A-4of3 
DISCLL AJRE OF LOBBYING ACTIVITIES 

Complete this form to disclose lobbying activities pursuant to 31 U.S. C. 1352 

(See reverse for public burden disclosure ) 

1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type: 

~a. contract 

b. grant 

~a. bid/offer/appiicaiion 

b. initial award 

~ a. initial filing 

b. material change 

c. cooperative agreement c. post-award For Material Change Only: 

d. loan year quarter 

e. loan guarantee date of last report 

f. loan insurance 

Approved by OMS 

0348-0046 

4. Name and Address of Reporting Entity: 5. If Reporting Entity in No.4 is a Subawardee, Enter Name 

0Prlme 0 Subawardee and Address of Prime: 

Tier ' if known: 

Norfolk Southern Railway 

3 Commerce Place 

Norfolk, VA23510 

Congressional District, if known: Congressional District, if known: 

6. Federal Department/Agency: 7. Federal Program Name/Description: 

US DOT- FHWA (CMAQ Funds to Georgia Congestion Mitigation and Air Quality Improvement Program 

Department of Natural Resources, CFDA Number, if applicable: Environmental Protection Division) 

8. Federal Action Number, if known: 9. Award Amount, if known: 

$ 16,438,000.00 

10. a. Name and Address of Lobbying Registrant b. Individuals Performing Services (including address if 

(ifindividual, last name, first name, Ml): different from No. 1 Oa) 

None (last name, first name, Ml): 

None 

/) /}' '~ .a; / /) 

11 alion requested through this form is authorized by ~He 31 U.S,C. sectlon Signature: {){ t ~ /--- • 1352. This disclosure t~f lt~bbylng actMUes is a material representation of fact 

{ " n~ upon which reliance was placed by the tier above When this transactlon was made Print Name: Rick-t'(awford v or entered into, This disclosure is required pursuant !o 31 U.S.C. 1352. This 

information will be reported to the Congress semi-annually and wi!l be available ftlr 

Title: Director- Public Projects, Government Relations Norfolk Southern public lnspecthm. Any person who falls to file the required disclosure shall be 

subject to a civil penalty of not less that $10,000 and not more than $100,000 for 

each such failure. Telephone No.: 202·675-8221 Date: ?f-/7-ILf 

Federal Use Only: I Authorized for Local Reproduction 

Standard Fonn LLL (Rev. 4/2012 
Exhibit F 

Certification Regarding Lobbying 

See Attached (For Electronic Copy, Double Click Below) 

Adobe Acrobat 

DocuJTent 
49 CFR Part 20 - Appendix A 

CERTIFICATION REGARDING LOBBYING 

Certification For Contracts, Grants, Loans, And Cooperative Agreements 

The undersigned certifies, to the best of his or her knowledge and belief, that: 

(I) No Federal appropriated funds have been paid or will be paid, by or on behalf of the 

undersigned, to any person for influencing or attempting to influence an officer or employee 

of an agency, a Member of Congress, an officer or employee of Congress, or an employee of 

a Member of Congress in connection with the awarding of any Federal contract, the making 

of any Federal grant, the making of any Federal loan, the entering into of any cooperative 

agreement, and the extension, continuation, renewal, amendment, or modification of any 

Federal contract, grant, loan, or cooperative agreement. 

(2) If any funds other than Federal appropriated funds have been paid or will be paid to any 

person for influencing or attempting to influence an officer or employee of any agency, a 

Member of Congress, an officer or employee of Congress, or an employee of a Member of 

Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the 

undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report 

Lobbying," in accordance with its instructions. 

(3) The undersigned shall require that the language of this certification be included in the award 

documents for all subawards at all tiers (including subcontracts, subgrants, and contracts 

under grants, loans, and cooperative agreements) and that all subrecipients shall certify and 

disclose accordingly. 

This certification is a material representation of fact upon which reliance was placed when this 

transaction was made or entered into. Submission of this certification is a prerequisite for making or 

entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to 

file the required cetiification shall be subject to a civil penalty of not less than $10,000 and not more 

than $100,000 for each such failure. 

Typed Name and Title 

/0</.,/;f J:./;&,/i /:4., 7 

Applicant/Organization / Date Signed