## 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 ofthe 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 ofthis contract is eight hundred ninety-nine thousand eight hundred twenty dollars ($899,820.00). Ifyou 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 ofNatural 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

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# 6**~** v 2014. This CONTRACT isby 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 ofState Govemmentpursuant to the laws enacted bythe Georgia General Assembly; and
WHEREAS, the Division is responsible for programs and activities that are designed to protect and enhance air quality; and
WHEREAS, particulatematter (PM) and nitrogen oxide (NOx) emissions are key pollutants that contribute to poor air qualityin Georgia; and
WHEREAS, locomotive diesel engines are large sources ofPM and NOx emissions; and
WHEREAS, advanced technologies and techniques are not required but can be voluntarily applied to greatlyreduce locomotive emissions and reduce fuel use; and
WHEREAS, the Division received Federal funding inthe amount ofnine hundred thousand dollars ($900,000) through the Georgia Depmiment ofTransportation fi·om the

### CongestionMitigation and Air Quality ImprovementProgram (CMAQ) to reduce PM2.5 inthe Rome nonattainment area through the reduction oflocomotive emissions; and
WHEREAS, the Georgia Department ofNatural Resources Board approved eligibility and selection criteria for selecting the locomotive emissionreductionprojects, 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 ofJanumy 11, 2013; and

WHEREAS, the CONTRACTOR submitted a project application that has been selected to be funded according to terms and conditions ofthis CONTRACT; and
WHEREAS, the Division andthe CONTRACTOR desire to cooperatively enter into a contractual arrangement to reduce emissions from locomotives used for switching inRome for the purposes ofimproving air quality in Georgia; and
WHEREAS, this CONTRACTis subject to all applicable provisions ofimplementing 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 TransportationEquity 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 CONTRACTORto convert locomotives to lowemission technology for the purpose ofreducing air pollution as designated in the attached Exhibit A: Norfolk Southern Railway, Company Scope ofWork for Switch-Duty Locomotive Conversions in Rome, Georgiaproject (the "Scope ofWork") 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 ofthe mutual promises and terms and conditions set f01th herein, the Parties hereto do mutually agree as follows:1. Scope ofServices


### A. The CONTRACTOR shall do, perform, and canyout in a safe, efficient and workmanlike manner, the following services pertaining to Railroad-Related Emission Reductions in suppmt ofthe Division's cunent and future programs: The services shall include those items described belowin Section 

### l.B. and included inthe 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 bytheDivision (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 lowerrating 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 orbetter (i.e. lower emissions). C. The CONTRACTOR shall fully cooperatewith audits orinformationrequests by the Division to the extent such requests are intendedto verifythat the conditions ofCMAQ andthis CONTRACT are met, including without limitation therepmt schedule described herein. Uponrequest, the CONTRACTOR shall cooperate in anygovemmental audit to assess how grant funding was used for the Project. The CONTRACTOR shall provide copies ofprocurement contracts and subcontracts used in connection with the Project ifrequested bytheDivision. The CONTRACTOR shall provide Project-related records ifrequested bythe 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 ofthe foregoing, CONTRACTOR shall have no obligationto conduct extra-operational studies or investigations orto generate data not generated in the nmmal comse ofbusiness other than what is required for reporting inorder to provide informationrequested by the Division under this CONTRACT. Fmther, the Division aclmowledges the reporting limitations as set forth inthe ProjectProposal. The result(s) ofa govemmental audit orinvestigation shall bemade available to thepublic, but CONTRACTOR

### may seek to withhold company confidential orbusiness proprietary infonnation from public availability. D. The CONTRACTOR shall maintainthe Converted Locomotives sufficiently to
assme each Converted Locomotive remains operational for a period often years from the date after that Converted Locomotive is retrofitted (the "Operating Period") and shall operatethe Converted Locomotives at least 80% ofeach Converted Locomotive's operational homs in and around the Rome Railyard, as described inthe Scope ofWork (ExhibitA) and in accordance with the Project Proposal (Exhibit B). TheDivisionunderstands that the CONTRACTOR does notpennanentlyassign locomotives to particular yards, and actual locomotives required for switching will vary fi"om dayto day dependinguponrail traffic volume and locations, and depending on the availability oflocomotives to meet operational needs. The ten-yearperiod for each Converted Locomotive will start
onthe 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 damagedbeyondrepair orpermanentlyinoperable. 

### 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 ofthe reports inthe e-mail with one inMicrosoft Word format and the second in a PDF format. The CONTRACTOR shall submit ahard copy ofthe report upon the Division'srequest. B. 

### The CONTRACTOR shall promptlyrepmi any credible evidence that a principal, employee, agent, sub-contractor, CONTRACTOR, subcontractor or otherperson has submitted false claims under the False Claims Act orhas committed a criminal or civil violation oflaws pe1iaining to fi:aud, conflict ofinterest, bribery, gratuity, or similarmisconduct involving funds provided under this grant funding. 

### 3. Method ofPayment. A. 

### The funding provided bythe Division shall not exceed eighthundred ninetynine 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 ofthe Project. In the eventthat the total project cost is less than
onemillion two hundred eightyfive thousand five hundred thhiyfour dollars and twentynine cents ($1,285,534.29), the CONTRACTOR must onlyprovide thirty percent ofthe total project cost inmatching funds. B. The CONTRACTOR mayinvoice the Division upon completing anytask as detailed in Exhibits A and B. The CONTRACTOR shall invoiceno more than 70% ofthe total Project expenses to assure the CONTRACTOR has fulfilled the minimum in-kind match ofup to 30% at all times. Invoices mustbenumbered consecutively and submitted quarterly, containing a detailed desCiiption ofthe labor, material, and equipment costs and anyother expenses incmTed. The invoicemust explicitly state the eligiblematchpaid bythe CONTRACTOR for these expenses. C. With each invoice, the CONTRACTOR shall provide an updated list ofall Project tasks along withitemized expenses incurred, the eligible match portion paid, any portions already paidbythe grant, and the requested grant distribution. The CONTRACTOR shall prominently displaythe in-kindmatchpercentage onthe invoice that accounts for therequested 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 ifthe United States Department of Transportation or Georgia Department ofTransportation requires the Division to retmn the Project funds due to the CONTRACTOR'S failure to satisfactmily complete anypotiion ofthis CONTRACT. 

### 4. Term and Termination. A. Tetm. The "Tenn" ofthis CONTRACT will begin onthe date noted onpage one (hereinafter refen-ed to as "Effective Date") and continue tln·ough 11/23/2015, unless terminated earlier under the provisions ofthis CONTRACT. B. Termination for Cause. If, through any cause other than force majeure, the CONTRACTOR shall fail to fulfill in a timely and propermanner its obligations under this Contract, or ifthe CONTRACTOR shall violate any ofthe covenants,

### agreements, or stipulations ofthis Contract, the DIVISION shall thereuponhave the right to terminate this Contractbygiving writtennotice to the CONTRACTOR ofsuch te1mination and specifying the effective date thereof, at ·least 30 days before the effective date ofsuch te1mination. C. The Division and the CONTRACTORmayrenew this Contractprior to its expiration upon terms, conditions, and compensations agreeable to both Parties. 5. Additional Terms and Conditions. Additional terms and conditions governingthis CONTRACT are listed below.

A. The Pmiies will identifythe project as -Rome, GA Locomotive Conversions and send w1itten communications underthis CONTRACT to the respective liaisons at the addresses as identified below:

The Division Michelle Bergin, PhD GeorgiaEPD, Air Protection Branch Planning and RegulatoryDev. 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 beprovided for employees during the perfmmance ofthis CONTRACT; and (b) It

### will secure from any subcontractorhired to work 

### in a dmg-fi·ee workplace the following written certification: "As part ofthe subcontracting agreement with (Contractor's Name), (Subcontractor's Name) cetiifies to the CONTRACTOR that a dmg-free workplace will beprovided for the subcontractor's employees during the perfonnance ofthis CONTRACTpursuant to pm·agraph 7 ofsubsection B ofCode Section 50-24-3."

### 2) The CONTRACTOR maybe suspended, tenninated, or deban·ed ifit is determined that: (a) The CONTRACTORhas made false certificationhereinabove; or (b) The CONTRACTORhas violated such certification byfailure to carry out the requirements ofO.C.G.A. 50-24-3. C. Obligations Owed to Third Parties. The CONTRACTORrepresents and warrants that all obligations owed to thirdparties with respect to the activities contemplated to beundertaken bythe CONTRACTORpursuant to the CONTRACT are or will be fully satisfied bythe CONTRACTOR so thatthe Division will nothave any obligations withrespect thereto. D. Funding. Notwithstanding any otherprovision ofthis CONTRACT, the CONTRACTOR hereto acknowledges that the Division, as an agency ofthe State ofGeorgia, is prohibited fi'om pledging the State's credit. In the event thatthe
source ofpaymentno longer exists orisinsufficientwith respect to the Services, this CONTRACT shall terminate without further obligation ofeither Party as of that moment. TheDivision shall remain obligated to pay for Services performed and accepted bythe Divisionprior to such termination. The DIVISION shall provide notice to CONTRACTOR as soon as itbecomes aware that the source of payment no longer exists oris insufficient withrespect to the services. The detennination ofthe Division ofthe events stated above shall be conclusive. 

### E. Any suitbrought to enforce this CONTRACT orto determine any dispute under this CONTRACTmaybebrought onlyinthe Superior Court ofFulton County, Georgia. TheParties agree to submit to thepersonaljurisdiction ofthe Superior Court ofFulton 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 oftrafficking inpersons during the period oftimethat the award is in effect: procure a commercial sex act during theperiod oftime that the award is in effect; oruse forced labor inthe perfmmance ofthis CONTRACT. G. This CONTRACT constitutes the entire agreementbetweenthe Parties with respect to the subjectmatter ofthis CONTRACT andmaybe altered or amended onlyby a subsequent written agreement signed byeach ofthe Parties hereto. This CONTRACT supersedes all prior agreements, negotiations, and communications

### ofwhatever type, whether written or oral, between theparties hereto withrespect to the subjectmatter ofthis CONTRACT. No waiver ofany ofthe provisions of this CONTRACT shall bebindingunless executed in writingbythePatiymaking the waiver. No waiver ofoneprovision shall constitute a waiver ofany other provisionnor shall anybedeemed a continuing waiver. H. The headings oftheparagraphs and subparagraphs hereofare for descriptive purposes only and do not modifY or qualify any oftherights or obligations set fmih in this CONTRACT. I. 

### The CONTRACTOR will maintain an active and currentregistration in the Central Contractor Registration (www.ccr.gov) duringthis 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, ifit expends $500,000
ormore in total Federal funds in any fiscal year. Within nine months after the end ofa recipient's fiscal year orthirty days after receiving therepmifrom the auditor, the recipient shall submit the SF-SAC and a Single Audit Repmi Package to the Division. More information canbe found at http://harvester.census.gov/fac/ K. The CONTRACTOR agrees that all workperformed under this CONTRACT will complyfully with applicable administrative and otherrequirements established by applicable Federal and state laws, regulations and guidelines. The CONTRACTOR shall comply with all requirements orregulations ofthe Division that are currently applicable orbecome applicable duringthe tenn ofthis CONTRACT. 

### 6. Georgia Security and Immigration Compliance Act of2006. A. Pursuant to the Georgia Security and Immigration Compliance Act of2006, the CONTRACTORunderstands and agrees that compliance with the reqnirements of O.C.G.A. 

### § 13-10-91 and GeorgiaDepattment ofLabor Rule 300-10-1-.02 are conditions ofthis CONTRACT. The CONTRACTOR hereby warrants compliance with the ImmigrationRefonn and Control Act of 1986 (IRCA), D.L. 99-603 and the Georgia Security and Immigration ComplianceAct, O.C.G.A. 

### § 13-10-90 

### et. seq., byregistering at https://www.visdhs.com/EmployerRegistration and verifying infonnation ofall new employees; and byexecuting any affidavits required bythe rules and regulations issued bythe GeorgiaDepartment ofLabor 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 CONTRACTbyreference 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 similarprovision 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 OnLobbying 

### as setforth in Title 40 CFRPart 

### 34. Funding provided inthis CONTRACT are appropriated Federal funds inthe fonn ofa grant from the CongestionMitigation and Air Quality Improvement (CMAQ) program.
A. No appropriated funds maybe expended bythe recipient ofa Federal contract, grant, loan, or cooperative agreement to pay anyperson for influencing or attempting to influence an officer or employee ofany agency, aMember of Congress, an officer or employee ofCongress, or an employee ofa Member of Congress in 

### connectionwith any ofthe following covered Federal actions: the awarding ofanyFederal contract, the making ofanyFederal grant, the making of anyFederal loan, the entering into ofany cooperative agreement, and the extension, continuation, renewal, amendment, or modification ofany Federal contract, grant, loan, or cooperative agreement. B. Eachperson who requests orreceives from an agency a Federal contract, grant, loan, or cooperative agreement shall file with that agency a celiification, set fmth inExhibit F, that thepersonhas not made, and will not make, any payment prohibited byparagraph A ofthis section. C. Eachperson who requests orreceives 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, ifsuchperson has made or has agreed to make anypayment using nonappropriated funds (to include profits from any covered Federal action), which would beprohibited ifpaid for with appropriated funds. D. The Disclosure ofLobbying Activities and the Celiification Regarding Lobbying forms mustbe completed, signed, and returned with this CONTRACT in order for the CONTRACT to bevalid. The fmms are included in Exhibit E and F.

### INWITNESS WHEREOF, theDivisionail.dthe 

### CONTRACTORhaveexecuted this CONTRACT

### to be given effect as 

### ofthe 

### date first above written.
ATTEST:

ATTEST:

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## .....

----------··-- Department 

### ofNaturalResources Environmental Protection Division



### NorfolkSoutherll Raihyay Company

BY:



### Name: ( 

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# 'b.**eeL~** Title: 

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### EXIDBITS



### Exhibit A Exhibit B Exhibit C ExhibitD

ExhibitE Scope ofWork for the Switch-Duty Locomotive Conversions in Rome, Georgia Project Proposal and Suppotiing Information Request for Applications (RFA) CONTRACTOR's affidavits required by the Georgia Security and Immigration Compliance Act of2006 rules and regulations issued by the GeorgiaDepmiment ofLabor set forth atrule 300-10-1-.01 et. Seq 

### The Disclosure ofLobbying Activities (Disclosure fmm ofany Lobbying using NonappropriatedFunds) and Cetiification Regarding Lobbying

### Scope ofWork 

### Exhibit A Norfolk Southern Railway Company Scope ofWork for Switch-Duty Locomotive Conversions inRome, Georgia

Upon the Effective Date and continuing through the term ofthis contract, unless terminated early under provisions ofthe CONTRACT, CONTRACTOR will performtasks as described the Project Proposal to reduce emissions fi·om locomotives used for switching in Rome, GA for purposes ofimproving air quality in Georgia. These tasks include:
A. 

### Within 45 days ofexecution ofCONTRACT, CONTRACTOR shall provide to the Division a project schedule with specific dates for completing each projectrelated task thatis consistent withtimeline provided in the Project Proposal (Exhibit B);
B. CONTRACTOR shall converttwo 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 maintainthe Convetied Locomotives sufficiently to assure each Con vetted Locomotive remains operational for a period often years fi·om the date after each Converted Locomotive is retrofitted (the "Operating Period") and shall operate the Converted Locomotives at least 80% ofeach Converted Locomotive's operational hours in and around the Rome, GA Rail Yard as described in the Project Proposal. The Operating Period and number ofoperational hours may be modified ifthe Con vetted Locomotive is damaged such that CONTRACTOR and the DIVISION mutually agree that it can be removed from service, inwhich event CONTRACTOR shall be deemed to have satisfied its obligations under this CONTRACT withrespectto 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 Divisionunderstands 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 onthe availability oflocomotives to meet operational needs. The CONTRACTOR shall inform the Division ofall Conve1ted Locomotives that are removed from the fleet due to datnage or inoperability. The ten-yearperiod for each Convetted Locomotive will stationthe date thatthe 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 inthe Project Proposal. (2) Estimated emissions reductions. This estimate may use data as provided inthe Project Proposal ifthere have been no changes in emission levels ofthe 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 inthe Rome Yard. The repmt shall containthe following: (1) 

### Estimated emissions levels, which may include regulatorytier requirements. (2) Locomotive numbers for the Original Locomotives and the Converted Locomotives. (3) Pictures showing major components installed during the conversion. ( 4) Pictures ofthe completed Convetted Locomotives and their emissions labels. (5) Certification/assurancethat emissions critical components were properly installed onthe Converted Locomotives and are in working condition. (6) Iftheproposedtime 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 ofthe post conversion repmt) and armually for eight years thereafter. These repmts maybe 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 datafrom the Project Proposal. · (2) Description or confirmation ofgeneral operating patterns ofthe Converted Locomotives. (3) Certification or assurance ofproper operation and maintenance ofthe Converted Locomotives, inparticular the emissions critical components. G. The CONTRACTOR shall submit anyreports to the Division by electronic mail (e-mail) and shall provide two copies ofthe reports inthe e-mail with one in Microsoft Word format and the second in a PDF format. The CONTRACTOR shall submit a har·d copy ofthe repo1t upon the Division's request. H. Notwithstanding anything to the contraryherein, 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 inthe normal course of business in order to compile the reports above or any other informationrequested bythe Division under this CONTRACT. Further, the Division aclmowledges the repmting limitations as set forth inthe ProjectProposal, and CONTRACTORshall not be required

2

### to prepare or submit any data orinformation thatis contrary to those limitations. Specifically, butnot by way oflimitation, CONTRACTOR does not determine actual fuel usage bylocomotive and as such cannot determine actual fuel used by each Converted Locomotive, and CONTRACTOR cannot determine ortrack actual duty cycle overthe 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 onknowledge and experience ofsuch operations.



### I. Contract funds will cover up to 70% ofthe total costs ofthe Project and will be distributed to the CONTRACTOR incrementally (notmore than once per annual quarter) following completion ofconversion 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 ofthe invoice, the CONTRACTOR shall certify each task that has been completed. Upon completion ofthe Project, the CONTRACTOR shall submit a final invoice requesting up to the remaining funds for unpaid task expenses providedthat the total grant distribution for this project does not exceed $899,820.00. The final invoice shall provide all the information as requested inMethod ofPayment section ofthe CONTRACT.

K. The CONTRACTOR shall only invoice the Division for eligible expense resulting fi·om the Converted Locomotive conversions as patt ofcompleting tasks as described by the CONTRACTOR'S Project schedule (Exhibit B).

L. 

### The CONTRACTORmay not seek reimbursement orcost 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 InformationCorrections to the application to Switch-Duty Locomotive Conversions in Rome, Georgia from the Norfolk Southern Railway Company. Documentation ofthese and for other questions are included as Supplemental Information.
1. Cover page: Total match proposed= $1,452,000 ratherthan $1,459,000 2. There are errors in thefirst table on page 5 in section 2, ii, n (annual and 10 yeartons ofNOx). The correct values are shown in the second table (8.42 tons NOx annual emissions savings, 84.24 tons NOx 10yeartotal 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 ofthe first paragraph on page 6 is for 5 years of3 gensets and 10years of 1 mother-slug.

### Application Cover Page Company Name 

# INorfolk SouthernRailway Company ContactInformation Technical



## - Name Mailing Address

PhoneNumber E-mail 

### MarkF. Duve. Mechanical Department -·Jiliox 184 1200 Peachtree StreetNE Atlanta, GA 30309-3579 404-582-6743 Mark.Dnve(lanscorp.coni ContactInformation- Contracts Name Mailing Address 

### C. Douglas Corbin Mechanical Department- Jlliox 184 1200 Peachtree StreetNE Atlanta, GA 30309-3579 404-582-6730 Doui!.Corbin(ianscorp,com Phone Number E-mail ContactIn Name Mailing Address formation- Additional Contact (optional)

Phone Number E-mail
Total number ofconversions Total funding requested

Total matchproposed Totalproject cost Application Summary 

### Two $900,000 $1,459,000 $2,352,000
Authorized Official Name and Title 

## IDonald D. Graab, Vice President -Mechanical
I certifY to the best ofmy knowledge that the infotmationprovided in this application is accurate. I agree that all ofthe minimum requirements have been or will be metto the extent feasible. Additionally, I understand the obligations and constraints associated withthis proposal. I understand that completingthis" form simply enters me into the Locomotive Conversionfunding competition and my final decision to acceptthe grant funding, iflwere 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 ofOperation 

### Norfolk SouthemRailway Company ("Norfolk Southem") proposes to convert two (2) traditional yard and local switcher locomotives to one (1) 

### mother/slug setusing an advanced 12-71OECO engine manufactured byElectro Motive Diesel ("EMD"), with emissions achieving the Environmental Protection Agency's ("EPA") Tier 3 standards. The mother/slug configuration consists ofa single engine with four traction motors on one locomotive platfonn (the "mother") and a secondplatfonn with four additional traction motors but without an engine (the "slug"). The single engine therefore powers eighttraction motors on two platforms, thus providing high initial tractive effortto move the train. The mother/slug combination that will be placed into operation inthe Rome, Georgia area under this funding anangementwill effectively perfonn the work oftwo earlier locomotives, given horsepower andtractive effotis ofvarious locomotive models. The mother/slug setfunded by thisproject will be operated onNorfolk Southern's rail lines and yards that are located between Rome and Krannert, which are entirely within Floyd County that the GAEnvironmental ProtectionDivision ("GA EPD") has categorized as the Rome PM 2

### .s State Implementation Plan ("SIP"). See attachedmaps in

. Appendix A ii. 

### Converted Locomotives (a)-(f) 

### Forrequired operating flexibility, specific locomotives do nottypically stay for more than amonth within the Rome area. Typically, the locomotives that service the yards and local industry are dropped offby 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, afreight train will drop offtwo more locomotives and take those locomotives that were in the Rome area. It is for this reason thatNorfolk Southern cannotprovide 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 ofthe locomotives is a high adhesion GEB32-8 and the other is a low adhesion GP40-2. Both units are ce1iified to the EPA Tier 0regulations 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 ofan an anti-idling device. There are cmTently no plans to overhaul these locomotives inthe next five years. As stated above, the locomotives in the Rome area change out quite frequently, andthe majority ofthe 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

### Ifawardedthe funding requested in this application, Norfolk Southern will conunitto put apolicy inplace such thatthe converted mother/slug set will remain within the Rome SIP exceptfor time away for servicing.
g. Locations ofLocomotive Operation These switcherlocomotives operate in yard and local service to transfer rail cars or cuts ofcars betweenthe rail yard in Rome and the two yards in Kranne1i, as well as to and from leical industries. These yards and industries are withinthe Floyd County SIP. h. Duty Cycle Information Currently, the locomotives are on call by local industries to switch the cars that are neededby the industries and sortthe cars that are received inbound in the Rome yards. Giventhe demand for rail cars required by the large industries served in this area, itis not uncommon for these switcherlocomotives to be operated 24 hours a day, seven days aweek. Since the locomotives are cycled through Rome quite frequently, it is not possible to obtain eventrecoi·der datato determine sample duty cycles. Forthis reason, the emissions calculations in this application use the EPA switcherduty cycle. i. 

### KitProcedure for Conversion The installation ofthe 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 ActFunding for the National CleanDiesel Funding AssistanceProgram (EPA-ARRA·OAROTAQ-09-06). The manufacturing ofthe slug is similarto the repower ofan existing locomotive with the exception ofinstead ofreplacing the engine, a concrete block is installed where the engine would be and the fuel, oil a11d cooling systems are pennanently removed.

NS GA EPD Emissions Locomotive Conversion Application 2013 Rome GA Page 3

### j. 

### Total Cost perMother/Slug The approximate estimated costfor each ofthe 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 ofProposed Commitment to the Rome area. Norfolk Southernproposes 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 PercentofAnnual Operating Time Commitment to the Rome Areaincluding Floyd County. Norfolk Southern anticipates operating the mother/slug setfunded by this project in and aroundRome, Georgia, as discussed in (2)(g), at least 80% ofeach locomotive's operational hours. Norfolk Southernrecommends 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 otherlogistical contingencies.

m. Estimate ofAnnual 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. Forthis reason, this application relies on expert opinionto estimate approximate fuel use for a typical locomotive in switcher service in tl1e Rome aTea. The Manager of Fueling Operations atNorfolk Southem has provided an estimate, based on his lmowledge ofand experience with locomotives and fueling operations. Based on this opinion, for purposes ofthis application and any subsequentreporting required by a grant offunds for this project, Norfolk Southern will use an average ofapproximately one thousand gallons of fuel per traditional switcher locomotive per week. Norfolk Southern will use a manufacturer's estimate offuel usage for the conve1ted mother/slug set in any rep01ting required by afunding arrangement for this project. In addition to the fuel savings.generated from shutdown ofthe 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 Page4n. Calculated ProjectEmissions
The estimated annualproject emissions reductions are as follows:

Total EstimatedProjectEmissions Reductions (tons) NOx· PM Total Annual Emissions Reductions 1.23 0.68 Total!0 Year Project Reduction 8.42 6.77
These total projected emissionsreductionrepresents the sumofthe locomotive replacementcalculationsprovidedbelow:

Emissions Comparison Summary- Existing 3000 HPTier 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 PMPreconversion 3000 HP

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

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 YearTotal 84.24 6.77 Savings



### .. •MostNS 3000 HP locomottve are overhauled to Tter 040 CPR Part 92 Emtsstons Regulattons
Notes: 

### 1. 

### 2. 3. The calculations and emissions factors are found in Appendix B. The DCBSFC is baseduponthe sampleEPA switcher duty cycle. The activity factor is based uponthe estimated fuel consumption described in section 2(ii)(m), and is adjusted for the difference in fuel consumption betweenthe mother/slug and the locomotive that is being compared.

o. Emissions Compared to Gensets

NS GA EPD Emissions Locomotive ConversionApplication 2013 Rome GA PageS

### Norfolk Southern has dete1mined that the minimum requirements for · trains betweenRome 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 orderto prevent train stalls during inclementweather. Therefore, it would take three 2000 hp gensets to be able to performthe same work as one 3000 hp high adhesion mother/slug set. In addition, the genset life expectancy is sho1ter andNorfolk Southern will not committo maintain a gensetfor more than five years. PM emissions savings for the genset over a fiveyearproject 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 betterPM emissions reductions thanthe 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 overhauledto Tier 040CFRPart92 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 ofcommencement ofthat 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 ofafunding contract are delayed beyond the schedule contemplatedby 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 equipmentfrom OEM Begin strip andprepare first unit Receive first two conversionkits Complete mother/slug set

The above schedule is based upon a oneyear lead time for the first 3000 hp mother/slug conversion kit. The mother/slug set is anticipated to beplaced in service Rome area within approximately two weeks ofcompletion. 3) Other Information and Comments 

### N01folk Southern will use the fuel estimatesprovided herein for the baseline case, and will use amanufacturer's estimate offuel usage for the conve1ted locomotives in any reporting required by a funding arrangement for this project. Again, Norfolk Southern does nothave the means to measure actual fuel use per locomotive- even for the converted locomotives

- and cannotjustifythe capital cost associated with the necessary infrastructure that would be required to gain this ability. Further, iil the event less funding is awardedthan what is requested in this proposal, Norfolk Southern reserves the right to 

### select the mix oflocomotives that will be replaced or convertedwith such funding, and Tier 0 orpre-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 

## fcertdata.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

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# fj**~·** Requested Additional Information onApplicationstothe 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 3000hp 710 ECO mother-slugs and 3 3000 hp 710ECO repowers 1. Please provide more detailed maps ofthe railyard and surrounding area, indicating areas of usual locomotive activity and areas planned for operation ofthe 2 mother·slug sets and for the 3 repowers. Norfolk Southern has three hump yard trains that assemble cuts ofcars and push them
overthe hump, pull the cars from the bowl tracks ofthe humps and assemble trains. These three hump sets operatewithin the boundaries of Brosnan yard which are shown in the attached file: Brosnan Yard Macon.jpg.
Local trains G59 and G61 operatefive days per week from Brosnan yard tojust south of Unadilla, GA and return to Brosnan Yard. Each train can work up to 12 hours perday. The route for trains G59 and G61 is shown on the attached file: Trains G59 and G61 Route.jpg.
Local train G02 operatesfive 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 ofat least 5 years as this funding is not aIIowedto 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 ofthe same or lower tier. All ofthe locomotives to be converted will be owned by Norfolk Southern. We also note that not all ofthese 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 projectwill 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 notfully funded which leaves these units as candidates. It is anticipated withoutthis repower program, these locomotives will run for another five to ten years. 3. How long a period did the sampled event recorder ofthe 3 Brosnan Yard mother locomotives cover? What time ofyear 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 overthe 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 ofthe data in this study was taken iri the OctobertoJanuary time frame, with one settaken in April. As these units operate the hump, and the hump is operated 24 hours per day, it is not expected thatthere will be drastic deviations from the data. As these hump units provide powerto 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** higherthan the cost proposed in the Atlanta CMAQ application? EMD originally gave a verbal quote overthe 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 honorthe 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 seemto add together correctly. Iget a total of$8,328,000 ratherthan $8,331,000. The error here is in the addition ofthe Mother Repowers the sum ofthe kit, material should be $1,208,000, which leads to a total of8,328,000 for thetotal project cost. 5. Ithink the paragraph at bottom ofpage 6 (section 2) m.) should referto the Brosnan area and duty cycle. Correct, it should read Brosnan Yard duty cycle.

6. Section 2) n., first table on page 7: Ithinkthe bottom row should betheTotal10 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 convertingthe 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 lowerthan 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. Ifthe 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.Withoutthis feature, when the air reservoir pressure falls the engine restarts in orderto maintain the air reservoir pressurefor 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 commitmentfor the ECO is 10years and for the genset would be 5, therefore the comparison is betweenthose two periods and not in equivalentyears. Correct, Norfolk Southern will committo 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 10years. 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 ifboth applications arefully funded?
The schedule was originally drawn up to continuerepowering locomotives once the Atlanta CMAQfunded locomotives werefinished. However, now thatthe 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 atthe end ofthe 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 turnoverto cleaner new engines.)·
All locomotivesthat are candidates to be converted can at least expectto seefive to ten more years ofservice.
Rome Application: 2 mother-slugs and 3 repowers J 

### ....----------**-~~:.--::-;--:~** 1. Please provide more detailed maps ofthe railyard and surrounding area, indicating areas of usual locomotive activity.
Norfolk Southern currently uses a set of3000 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 asthis funding is not allowed to increase fleet size.ID NS 7078 NS 7079 Norfolk Southern anticipates convertingthe 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 ofthe same or lower tier. All ofthe locomotives to be converted will be owned by Norfolk Southern. We also note that not all ofthese 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 offcars at the local yard in Rome, GA and the trains G36 and G4E take the cars to eitherthe paper mill orthe power plant in Krannert, GA. Theses Rome to Krannert trains are differentthan the operations in the Atlanta Terminal and the Brosnan Yard hump set locomotives in that the Rome to Krannert trains are true local trains bymoving the cars a short distance, spotting the cars at the industries and then delivering cars from the industries backto the Rome yard. The switch jobs within Inman and Brosnan Yards just assemble trains from trackto 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 ofMacon, 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 overthe phonefor the Atlanta CMAQ application, and then followed up with a written quote which was onlyvalid 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 onthe Atlanta CMAQ program, but stated they would honor the quote for Atlanta only.5. Why is the 710ECO fuel estimate lowerthan 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. Ifthe 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 orderto maintain the air reservoir pressure for the air brakes.

6. The discussion ofthe emissions comparison with gensets (section 2) o.) should clarify thatthe ECO emission reduction is given for a 10-yearproject life, not 5 (particularly in the last line). Can explicitly statethat, for the same level offunding, the proposed commitmentfor the ECO is 10 years and for the genset would be 5, thereforethe comparison is betweenthose two periods and not in equivalentyears. Correct, Norfolk Southern will commit to keeping the ECO engine in service for 10years. However, Norfolk Southern's experience has shown that it is not economicallyfeasible 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 ifboth applications are fully funded?
The schedule was originally drawn up to continue repowering locomotives once the Atlanta CMAQ funded locomotives werefinished. However, now thatthe 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 ofthe paragraph, please add that the locomotives that will be converted will have at least 5 years ofadditional service reasonably expected (the funding cannot be used to increase fleet size orslowdown the nature fleet turnoverto cleaner new engines.)
All locomotives that are candidates to be converted can at least expectto see five to ten more years ofservice.-,: 

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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

Ihave worked through ourTransportation Department and they have gone overtrain 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 timesthe potential repowers will spend outside ofthe GA Middle Counties.
Norfolk Southern operatestrains G59, G61 and G02 as local trains. Alocal train operates on a designated route out of a terminal. Local trains travel a short distance and have a number ofcars such that the crew can switch out the cars and return to the terminal in the same day before the crew'sfederally 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 oftrains G59 and G61 in which they have the same route out ofthe Brosnan Yard Terminal. Each day, a local train is assigned a crew and eithera locomotive or a locomotive consist. The crews and locomotive consists can vary from day to day depending upon the availability ofcrews and locomotives. Train crews must be qualified for each route. They must know the sidings, speed limits, clearance, issues etc. Because ofthe 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 ifthere is a minorderailment, the road crew could clear part of a train away that is not derailed. There are also special train moves for maintenance ofway equipment etc. In the case oftrain G61, the route is set up such thatthe end ofthe 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 ofthe ordinarythattrain G61 operates out ofthe Bibb and Houston Counties. In fact, NS's records has shown that since January of2012 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 of2012. Train G02 operates five days per week. BetweenJanuary 2012 and now, G02 has operated over 375 times which means only 13% ofthe trains G02 has been outside ofthe GA Middle Counties. However, a majority ofthe 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.

Ifthere 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,
Ihave 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. Idon'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 Ican tell, your operation figures show some G02 operation in Lamar, and some G59 and G61 operation in Dooly. We need a way to estimate% ofoperation 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 Ithink 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 thatthe project meets the individual requirements of each funding source. Besides counties ofoperation, 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 contractfor 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 ifyou all are making any progress on that. Thank yo·u, please let me know ifyou 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 1Exhibit C Request for Applications (RFA)

## Requestfor Applications Railroad-RelatedEmission Reductions Grant Program 

### Switch-Duty Locomotive Conversions in Rome, Georgia Released November 16, 2012 Application due byJanuary 11, 2012 (within 8 weeks afterrelease) GA Environmental Protection Division AirProtection Branch Planning and SupportProgram

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 orbetter 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, primarilywithinrailyard limits. $900 thousand in funding from the U.S. Department ofTransportation's Congestion Mitigation and Air Quality (CMAQ) Program has been awarded for these conversions to the EPD bythe Georgia Department ofTransportation. These funds will cover up to 70% ofthe cost of converting older, more emissivelocomotives to lower emitting locomotives, requiring a minimum 30% match. Conversions must be completed within 24 months ofthe execution of funding contracts.



### Project Goals The major goals ofthis project are (1) to protecthuman health in the Rome area by reducing exposure to diesel combustion emissions and subsequent secondary airpollutants, especially PM2

### .s (particulate matter of2.5 microns in diameter and smaller), and (2) to facilitate attainment and maintenance ofthe 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 ofthe emissionreductions resulting from this projectto the Rome PM2
.5 State Implementation Plan (SIP). The SIP is submitted to the US EPA by the State ofGeorgia 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 oftraditional diesel switch-dutylocomotives operating inFloyd 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 haveremained in service in the proposedrailyard for at leastfive years from the application date. IfEPD and the Grantee mntually agree that a switchlocomotive operating outside ofthe proposed railyard 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 switchernmmally operating inFloyd County, provided the locomotive conversion will result in the same or greater PM2.s and NO, emission reductions as ifthe switcher to bereplaced were converted. In addition, ifEPD and the Grantee mutually agree, the Grantee will be allowed to convert orreplace ·a different locomotive from that identifiedin the application subjectto, at a minimum, achieving the emission reductions presentedin the application. Emissions benefits mustbe calculated as the emission difference between the new converted locomotive(s) and the replaced or convertedlocomotive(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 theremaining useful life ofthe converted orreplaced equipment (e.g., the project cannot be applied to increase a fleet size and emission reductions mustbe greater than what wonld have occurred due to fleet tumover and phased inregulatory emission limits in the railyard.) The original locomotive engine (before conversion) must be permanentlyretired or retrofitted to at least current emission standards that would be required for new engines. This subsequentretrofit cannot nse funding from this project and is not eligible as part ofthe required match. Proposals must commit the converted locomotive to atleast &0% oftheir operating time within a designated distance ofthe proposed railyard(s) for a minimum of 10 years (or a similar commitment schedule) unless the locomotive becomes inoperable and is unable to berepaired or replaced with comparable equipment.
Grant fnnds will cover up to 70% ofthe total locomotive conversion cost and will be distributed to the grantee incrementally (not more than onceper annual quatter) following completion of conversion task(s), provided the match has been satisfied for theincremental disttibution. Payments shall be made after invoices are approved by the EPD. 

### Selection Criteria Priority will be given to the projects with thehighest cost effectiveness calculated as dollars per ton ofPM2
. 5 reduced. This value is based on (a) the emission levels ofthe engines to be converted/replaced (Tier level or direct measurements), (b) the operating cycle ofthe locomotive to be converted/replaced, (c) the estimated length ofremaining service ofthe locomotive to be


### 2Switch-DutyLocomotive Conversions in Rome, Georgia GA Environmental Protection Division Air Protection Branch

con vetted/replaced, (d) the emission levels ofthe converted locomotive, (e) the proposed amount oftime ofoperation and average dutycycle ofthe converted locomotive (possibly the same as (b)), and (f) the number ofyears (minimum 10) that the convertedlocomotive will remain in the Rome area. When calculating cost effectiveness, onlyfunds to be awarded under this grant will beincluded. · EPD mayfund individual projects for less than the requested amounts ifthe total amount ofthe proposals exceeds available funds. Ifthe amount offunding provided to individual projects is less than that project's respective proposal, EPD may specify which switcher engines may be converted based on the costeffectiveness ofthe emissions reductions for each switcher converted as described above. Penalties and/or contingencies for notmeeting the terms ofthe contract will be specified in the funding contract in accordance with applicablerequirements.
In the eventthat the applicant is offered funding less than the applicant proposed, and the applicant determines in its sole discretion that such allocation offnnding is inadequatefor its budgeting and finance pmposes, then the applicant may withdraw its application in whole and reject any offer offunds 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 withoutrecourse 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 ofthe conversion(s), (3) a report each 6 months for the first two years ofoperation ofthe convetted locomotive, and ( 4) a report onceper year for the remaining period ofcommitment. The reports will include the following components (details are givenbelow): (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 ifit meets all reporting criteria and ifthe replaced locomotive is the one converted. ii. Ifa different locomotive will be converted than the locomotive specified in the application, a comparison ofthe two locomotives must be submitted for approval by the EPD at least 30 days prior to initiation ofthe conversion. The comparison mustinclude information sufficient to



### 3Switch-Duty Locomotive Conversions in Rome, Georgia GA Environmental Protection Division AirProtection Branch determine that resulting emissionreductions will be at least equivalentto what was included in the application. (2) Post conversion report: a. A description ofexpected emission levels based on the equipmentinstalled. b. Ce1tification/assurance that the equipment was properlyinstalled aud is in working condition. c. A description ofthe provisions that ensure enforcement ofwananty claims against vendors ifproblems arise. d. Iftheproposed time for completing the conversion is exceeded, provide a description and explanation ofthe delay. (3) 6 months descriptive operation reports (4 reports; one each 6 months for the first 2 years ofoperation): a. Activity, emissions, and fuel nseinformationfor the converted/replaced locomotive. b. Description or confirmation ofoperating patterns. c. Ce1tification/assurance ofproper operation and maintenance ofthe locomotive and emissions control equipment. (4) Annual normal operationreports: a. Activity, emissions, and fuel use information. b. Description or confirmation ofoperating pattems. c. Certification/assurance ofproper operation and maintenance ofthe locomotive and emissions control equipment.
Activity, emissions, and fuel use infmmation Activity and emissions data must be collected through the use ofan eventrecorder or similar technology to calculate the average percentage ofoperating time in idle and each notch during normal operations for average ortypical weekday and weekend day activity (e.g. 24 hour 'duty cycle' descriptions). Please state ifactivity is indistinguishablebetween weekdays and weekend days. Information on monthly or seasonal differences in activity betweenreporting periods can be reported either through activity data or fuel use based on overall railyard activity level measured byindicators such as carloads handled orfreight throughput and expert opinion. Ifthe estimates ofnormal duty cycles and temporal patterns (e.g. weekly, seasonal) ofthe converted locomotive are unchanged after the first year ofoperation, activity, emissions and fuel use data from previous repmts maybereused 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.



### 4Switch-DutyLocomotive Conversionsin Rome, Georgia GA Environmental Protection Division Air Protection Branch Itis understood that there is a widerange ofvadabilityin switching activity, and that some informationis very difficult to measure. Expert opinion (e.g. from the leadrailyard engineers and switch locomotive operators or maintenance engineers) mayneed to be utilized for some estimates. Ifthe cycles are considered too erratic to estimate, please describe the range of · possible cycles for the specific railyard 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 improvementprogram are met. Because the cunent default duty cycle and fuel use estimates available for switchlocomotives are outdated and designed to represent a very large, nationwide distribution ofrailyards and locomotives rather than specific in-use engines and conditions, a tailored estimate to location and locomotive, even ifapproximate, will be a much betterindicator ofhistoric emission levels and achieved improvementfrom this program. In addition, this information will aid in supporting the use ofequipment and technologies that result in actual in-use emission reductions with reliable service ratherthan only supporting the use ofequipment that will onlyreduce emissions under default duty-cycle use patterns, and will help preventfunding equipment that does not meetreal-world operational requirements.
Description or Confitmation ofOperating Pattems
All reports beginning with the first 6-monthreport ofthe first year ofthe converted locomotives operation, mustconfitm the use ofthe convertedlocomotives in the designated areas during the reporting periodunless the locomotive became inoperable and was unable to berepaired, which mustbereported within 60business days after the final determination by the locomotive owner (Grantee). Thereport must explain ifthere have been significantpetfonnance orunanticipated 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 includepre-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 ofarea' operation time, they do not need to be detailed in reports. Please list the proposed designated activities/locations in the grant application, specifyingboth in and out ofarea operations as expected to reduce repmting needs (see Application Components section 2. ii(g) below).
The reports must detail any changes in operatingpatterns that wonld cause significant differences in activity data since any previous reports.

Certification/ Assurance ofProperEquipmentOperation and Maintenance
All reports must include verification/assurancethat the locomotives.arebeing properly maintained in accordance with the manufacturer's specifications and are being operated in accordance with the terms ofthe funding contract. This verification/assurance maybein the


### 5Switch-Duty Locomotive Conversions inRome, Georgia GA Environmental Protection Division Air Protection Branch form ofa representation by grantee. Thereport must detail ifunexpected maintenance or repair beyond normal operation expectations was required that caused the locomotive to beremoved 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 mustbe addressed before the projectprogresses. Any deviation from contractual agreements must be reported. Vel"ification 

### and Enforcement Verification and enforcement clauses will beincluded in any contracts as required for compliance with State and Federalprocurement and subgrantprocedures and for the Rome PM2

### .s SIP. Grantee shall notbe obligated to provide such verification/assurance during the years it provides the annual reports containing the same verification/assurance. Ifnecessary, Grantee will take reasonable measures to protect its rights under any applicable vendor warranties in accordance withcontractualrights and federal regulations. Any funding contract will ensure that funds will bereturned for failure to complete the conversion ofthe locomotive(s).

6Switch-DutyLocomotive Conversions inRome, Georgia GA Environmental Protection Division AirProtection Branch Application Components The application should address each ofthe following items. Please contact the EPD at the address below for clarification ifneeded. 

### 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 ofconversions proposed. vi) Totalfunding requested. vii) Totalmatchproposed. viii) Totalproject cost. ix) Signature ofauthorized official and date ofsubmittal. 2. Locomotive, Railyard/location, and Operation: i) Railyard location and area ofoperation. Include map. Describe ifmore than one railyard or area will be assigned. ii) Please give the following information for each locomotive to be converted, as applicable. Ifinformationpertains to more than one proposed conversion, provide the information for eachlocomotive to be converted.

(a) Locomotive identifier, including both the manufacturer's serial number and the owner assigned identifier (b) Model/type (c) Year ofengine manufacture (d) Tier certification (e) Last date ofrebuild (f) Expectedremaining years of service (g) Estimates oflocation(s) ofoperation and percent oftime at each location. Include daily, weekly, and seasonal schedules ifapplicable, orotherexpected use both inside (at least 80%) and outside (up to 20%) ofthe designated operating distances (such as scheduled maintenance in outside locations). Describe iflocomotive will be used in specific areas ofyard(s). (h) Description ofnmmal and occasional operation cycles/duties, with a description ofhow 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. Ifmore than one measurement/calculation option is available, describe options with the benefits and detTiments ofusing each method. (i) Kit or procedure for conversion (description ofequipment and process, particularly as related to emissions reduction such as use ofTier 4 nonroad engines or diesel pmticulate filters.) (j) Cost ofconversion, including labor and materials (k) Years ofproposed commitmentto specified railyard(s) or areas


### 7Switch-Duty Locomotive Conversionsin Rome, Georgia GA Environmental Protection Division Air Protection Branch (I) Proposedpercent ofannual operating time commitment to specified railyard(s) or areas (m)Estimate ofannual fuel use before and after conversion (maybein terms of percentage ofexpected reduction or direct measurement). Iffunded, more specific fuel use measurements mayberequired. Please give an explanation ofhow the current estimateis made and what can be donein the future. (n) Calculated estimate ofannual NOx and 

### PM 25 emissions before and after conversion (o) Description ofany additional emissionreductions or otherbenefits. Ifa technology other than multi-engine gensets is proposed, include a comparison showing that the alternative teclmology will achieve equivalent orbetter emission reductions (particularly for PM) than the use ofGensets under actual operating conditions. iii) Timeline detailing the schedule aud maximum time period needed for conve1ting the locomotive(s), including when locomotive(s) will beremoved, when aud if replacements are broughtin and removed, and when the locomotive will be completed and in use. Ifthetimelirie is dependent onnumber ofconversions awarded, provide otherpotential timelines.
3. Please list auy other comments, information, or descriptions thatmay be useful in analysis of this proposal, including a description ofthe activity aud fuel use data you can provide in the required reports. Please submit the application electronically in either MS Word or as an Adobepdf, and send a signed hardcopy through certified or tracked mail. Any expense incurred to prepare the application is not reimbursable and is the responsibility ofthe applicant. In addition, operating expenses, fuel costs, projects required by any law or other agreements, administrative costs, or work done orpurchases prior to execution ofa contract between EPD and the applicant are not reimbursable and are the responsibility ofthe applicant.
For more information and/or to submitproposals, please contact:. MichelleBergin, PhD GAEnvironmental Protection Division AirProtection 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 ContactInformation - Contracts Name Mailing Address**~------------------------------~ r-------------------------------------~** 

Phone Number E-mail 

### r------------------------------------------4ormatiOnContact In!' Name Mailing Address

Phone Number E-mail Add'. rhona

### IC ( ontact optwna

Application Summary I)

Total number ofconversions Total funding requested

Total match proposed Total project cost

---·--· Authorized Official Name and Title

I certify to the best ofmy knowledge that the information provided inthis application is accurate. I agree that all ofthe minimum requirements have been or will bemet. 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, ifI 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 GeorgiaDepartment ofLabor 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!'llctorAffidavit Ull!hll'

## o.c.G.A. § 13-10-9l(b)(1) By executingthis affidavit, theundersigned COl/tractorverifies 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 ofservices on behalfof(name ofpublic employer) has registered with, is authorized to use and uses the federal work authorization program commonly !mown as E-Verify, or any subsequentreplacement program, in accordance with the applicable provisions and deadlines established in O.C.G.A. § 

### 13-10-91. Furthermore, the undersigned contractorwill continue to use the federal work authorization progtam t]n•oughout the contract period and the undersigned

· contractorwill contractfor the physical performance ofservices in satisfaction ofsuch

contract only with subcontractors who present an affidavit to the contractorwith the infOJmationrequired by O.C.G.A. § 

### 13-l0-91(b). Contractorhereby attests that its federal work authorization user identification number and date ofauthorization are as follows:

## ~----,-,.<.1.4""'11

# g (l!

. . Federal or Authorization Userldentificatlon Number (. 

### Date

### ot{l.utqorJ~ation - 

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## lnNor&JJ(oity),

# _VA (state).

My Commission Expires:

## ~.LJ-----~

### ExhibitE The Disclosure ofLobbying Activities (Disclosure form ofanyLobbyingusingNonappropriatedFunds) See Attached (ForElectronic 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 oflast 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 ' ifknown: Norfolk Southern Railway 3 Commerce Place Norfolk, VA23510

Congressional District, ifknown: Congressional District, ifknown: 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, ifapplicable: Environmental Protection Division) 8. Federal Action Number, ifknown: 9. Award Amount, ifknown: $ 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. 1Oa) None (last name, first name, Ml): None 

## /) /}'

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11 alion requested through this form is authorized by**~He** 31 U.S,C. sectlon Signature: {){ t

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### n~ • 1352. This disclosure**t~f lt~bbylng**  actMUes is a material representation of fact

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 Telephone No.: 202·675-8221 each such failure. Date: 

## ?f-/7-ILf
Federal Use Only: 

# I Authorized for Local Reproduction Standard Fonn LLL (Rev. 4/2012

### Exhibit F

CertificationRegarding Lobbying

See Attached (For Electronic Copy, Double Click Below)

Adobe Acrobat

DocuJTent49 CFRPart 20

- Appendix A
CERTIFICATIONREGARDING LOBBYING Certification For Contracts, Grants, Loans, And Cooperative Agreements
The undersigned certifies, to the best ofhis 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 oremployee ofan agency, a Member ofCongress, an officer or employee ofCongress, or an employee of a Member ofCongress in connection with the awarding ofany Federal contract, the making ofany Federal grant, the making ofany Federal loan, the entering into ofany cooperative agreement, and the extension, continuation, renewal, amendment, or modification ofany Federal contract, grant, loan, or cooperative agreement. (2) Ifany 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 ofany agency, a Member ofCongress, an officer or employee ofCongress, or an employee ofa Member of Congress in connection with thisFederal contract, grant, loan, orcooperative 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 ofthis 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 ofthis certification is aprerequisite 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 subjectto a civil penalty ofnot 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