Mr. Carl A. Gerhardstein 

Georgia Department of Natll.lrai Resolllrces 

Environmental Protection Division 

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

Judson H. Turner, Director 

(404) 656-4713 

CSX Public Safety, Health & Environment 

CSX Transportation, Inc. 

500 Water Street, 1275 

Jacksonville, Florida 32202 

RE: CMAQ Railroad-Related Emission Reductions Grant Program 

Switch-Duty Locomotive Conversions in Atlanta, Georgia 

Dear Mr. Gerhardstein: 

Attached is one executed copy of the agreement between CSX Transportation, Inc. (CSX) and the 

Georgia Department of Natural Resources, Environmental Protection Division (EPD) regarding the 

CMAQ Railroad-Related Emission Reductions Grant Program for Six Switch-Duty Locomotive 

Conversions in Atlanta, Georgia. The amount of this contract is seven million, five hundred sixty 

thousand dollars ($7,560,000). All invoices shall be due by November 5, 2015. 

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

with.CSX on this important project 

Siqcerely, ' . 

J),ldson H. Turner 

Director 

JT:klc 

Enclosure: Executed Agreement 

c: Jimmy Johnson 

Michelle Bergin 
CONTRACT 

Between 

Georgia Department of Natural Resources 

Environmental Protection Division 

And 

CSX Ti·ansportation, Inc. 

For 

CMAQ Railroad-Related Emission Reductions Grant Program: 

Switch-Duty Locomotive Conversions in Atlanta, Georgia 

ThisCONTRACTismadeeffectiveasofthe /q4h dayofJ\1-\~u.S+ ,2014. 

This agreement is by and between the Georgia Depmiment of Natural Resources, Enviro11111ental 

Protection Division, (the "Division"), and CSX Transpmiation, Inc. (the "CONTRACTOR"). 

WITNESSETH 

WHEREAS, the Division is established as an agency of State Gover11111ent pursuant to the 

laws enacted by the Georgia General Assembly; and 

W1-IEREAS, the Division is responsible for progrmns and activities that are designed to 

protect and enhance air quality; and 

WHEREAS, pmiiculate matter (PM) and nitrogen oxide (NOx) emissions m·e ke:Y 

pollutants that contribute to poor air quality in Georgia; and 

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

WHEREAS, advm1ced technologies m1d techniques are not required but can be 

voluntarily applied to greatly reduce locomotive emissions m1d reduce fuel use; and 

1 
WHEREAS, the Division received Federal funding in the amount of twenty-four million 

dollars ($24,000,000.00) through the Georgia Department ofTransp01tation fi'om the Congestion 

Mitigation and Air Quality Improvement Program (CMAQ) to reduce PM2.5 in the Atlanta 

nonattainment area through the reduction oflocomotive emissions; and 

WHEREAS, the Georgia Department of Natural Resources Board approved eligibility 

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

included in the EPD Grants Program Chapter 391-3-21-.14; and 

WHEREAS, the Division issued the request for applications (RFA) on July 13, 2012, 

with a due date of September 7, 2012; and 

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

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

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

contractual a!Tangement to reduce emissions fium locomotives used for switching in Atlanta for 

the purposes of improving air quality in Georgia; and 

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

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

is provided to the State through the Federal Intennodal Surface Transportation and Efficiency 

Act (ISTEA) and Federal Transportation Equity Act for the 21st Centu1y (TEA-21) and 

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

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

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

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

designated in their project proposal as attached hereto as Exhibit B (the "Project Proposal"). In 

consideration of the mutual promises and te1ms and conditions set forth herein, the Pmties hereto 

do mutually agree as follows: 

2 
1. Scope of Services 

A. The CONTRACTOR will perfonn the tasks described in the Scope of Work attached 

hereto as Exhibit A and by this reference made a pati hereof. 

B. The CONTRACTOR shall petform or contract to petfmm all tasks as described in the 

Exhibit B, which was submitted September 7, 2012, in response to the Request for 

Applications released by the Division (Exhibit C) on July 13, 2012. Specifically, the 

CONTRACTOR shall convert six ( 6) locomotives with at least five years expected 

remaining life fi·om Tier 0 or a lower rating as described in the Project Proposal to 

3000 horsepower locomotives meeting at least EPA Tier 3 Line-haul and Tier 2 

Switch Duty emission standards. 

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

intended to verifY that the conditions of CMAQ and this CONTRACT me met. This 

shall include, but is not limited to, requests for infmmation and fulfilling the repmt 

schedule described below. Upon request, the CONTRACTOR shall cooperate in any 

govemmental audit to assess how grant funding was used for the locomotive emission 

reduction project. The CONTRACTOR shall provide copies of procmement 

contracts and subcontmcts as requested. The CONTRACTOR shall provide projectrelated records as requested. The CONTRACTOR and their employees shall fully 

cooperate with investigation related to activities and transactions regarding CMAQ 

grant project funding. The result(s) of a govenunental audit or investigation shall be 

made available to the public. 

D. The CONTRACTOR shall maintain the locomotives sufficiently to assure the 

teclmology remains operational for at least ten years and operate the locomotives at 

least 80% of their operating time within the Atlanta PM2.5 urban core nonattaimnent 

counties, as depicted in Figure 1 on page 8 of the July 13, 2012 Request for 

Applications, unless the locomotive is damaged beyond repair or becomes 

pennanently inoperable. The locomotives will be operated in and near the railymds as 

described inExhibit B in good faith unless operating needs change significantly and 

the changes me discussed with the Division. The CONTRACTOR shall inform the 

Division of all locomotives that me removed fi-om the fleet due to damage or 

inoperability that have been convetted as part of this agreement. The ten-year period 

will stmi on the date that the converted locomotives are operational and all tasks have 

been completed as required in this section and in Exhibit A other than submission 

3 
ofthe required repotis. The CONTRACTOR shall not sell the equipment until the tenyear operational period has passed or Division deems equipment non-operational. 

2. Reporting. 

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

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

in the e-mail with one in Microsoft Word fonnat and the second in a PDF format. Tite 

CONTRACTOR shall submit a hard copy of the repott upon the Division's request. 

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

employee, agent, CONTRACTOR, subcontractor or other person has submitted false 

claims under the False Claints Act or has committed a criminal or civil violation oflaws 

pettaining to fi'aud, conflict of interest, bribety, gratuity, or similar misconduct involving 

funds provided under this grant funding. 

3. Method of Payment. 

A The funding provided by the Division shall not exceed seven million, five 

hundred sixty thousand dollars ($7,560,000.00). The CONTRACTOR shall provide three 

million, two hundred fotiy thousand dollars ($3,240,000.00) in matching funds towards 

completion and administration of this project. In the event that the total project cost is 

less than ten million, eight hundred thousand dollars ($1 0,800,000.00), the Contractor 

must only provide 30% of the total project cost in matching funds 

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

detailed in Exhibit A and B. The CONTRACTOR shall invoice no more than 70% of 

the total project expenses to assure the CONTRACTOR has fulfilled the minimum inldnd match of up to 30% at all times. Invoices must be numbered consecutively and 

submitted qumterly, containing a detailed description of the labor, material, and 

equipment costs and any other expenses incmTed. The invoice must explicitly state the 

eligible match paid by the CONTRACTOR for these expenses. 

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

tasks along with itemized expenses incuned, the eligible match pottion paid, any pmtions 

already paid by the grat'lt, and the requested grant distribution. The CONTRACTOR 

4 
shall prominently display the in-ldnd match percentage on the invoice that accounts for 

the requested distJibution and all previous distiibutions associated with this project. 

D. Provided that CONTRACTOR has received wtitten notice from the Division of 

any deficiency and has been provided with a reasonable opportunity to cure, if the United 

States Department of Transportation or Georgia Department of Transportation requires 

the Division to rellun any project funds due to the CONTRACTOR'S failure to 

satisfactmily complete ar1y pmtion of this CONTRACT, the CONTRACTOR shall 

return to the Division that pmtion of the governmental project funds paid as a part of 

this CONTRACT affected by that failure. 

4. Term and Termination. 

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

(hereinafter referred to as "Effective Date") and continue through November 5, 2015, 

unless terminated ear·lier under the provisions of tins Agreement. 

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

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

this Contract, or if the CONTRACTOR shall violate any of the covenants, agreements, or 

stipulations of this Contract, the DIVISION shall thereupon have the right to tetmioate 

this Contract by giving written notice to the CONTRACTOR of such termination and 

specifYing the effective date thereof, at least 30 days before the effective date of such 

termination. 

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

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

D. CONTRACTOR shall provide the Division thilty (30) days Wiitten notice of its 

intent to order the conversion tmits. Provided CONTRACTOR has not yet ordered the 

conversion UPits, either Patty may terminate this agreement for convenience in whole or 

in pmt upon thirty (30) days written notice to the other party. 

5. Additional Terms and Conditions. Additional terms and conditions governing this 

CONTRACT are listed below. 

A. The Parties will identifY the project as - CSX Atlanta, GA Locomotive Conversions 

and send Wtitten commtmications under this CONTRACT to the respective liaisons at 

the addresses as identified below: 

5 
The Division 

Michelle Bergin, PhD 

Planning and Regulatory Dev. Unit 

Georgia EPD, Air Protection Branch 

4 244 Intemational Parkway Suite 13 6 

Atlanta, GA 30354 

michelle.bergin@dnr.state.ga.us 

(404) 362-4569 

B. Drug-Free Workplace 

The Contractor 

Carl A Gerhardstein, PE 

CSX Transpmtation, Inc. 

500 Water Street, J275 

Jacksonville, FL 32202 

Carl_ Gerhardstein@CSX.com 

(904) 366-4303 

1) The CONTRACTOR hereby certifies that: 

(a) A drug-fi·ee workplace will be provided for employees dming the 

performance of this CONTRACT; and 

(b) It will secme from any subcontractor hired to work in a drug-free 

workplace the following written certification: "As pmt of the 

subcontracting agreement with (Contractor's Nmne ), 

(Subcontractor's Nmne) cettifies to the CONTRACTOR that a 

drug-fi'ee workplace will be provided for the subcontractor's 

employees dming the petfmmance of this CONTRACT pursuant 

to pmagraph 7 of subsection B of Code Section 50-24-3." 

2) The CONTRACTOR may be suspended, tetminated, or debmred if it is 

determined that: 

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

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

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

C. Obligations Owed to Third Pmties. The CONTRACTOR represents and 

wmmnts that all obligations owed to third patties with respect to the activities 

contemplated to be Ulldettaken by the CONTRACTOR pmsum1t to the CONTRACT are 

or will be fully satisfied by the CONTRACTOR so that the Division will not have any 

obligations with respect thereto. 

6 
D. Funding. Notwithstanding any other provision of this CONTRACT, the 

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

Georgia, is prohibited :fiom pledging the State's credit. In the event that the source of 

payment no longer exists or is insufficient with respect to the Services, this CONTRACT 

shall terminate without further obligation of the Division as of that moment. The 

Division shall remain obligated to pay for Services petformed and accepted by the 

Division prior to such termination. The DIVISION shall provide notice to 

CONTRACTOR as soon as it becomes aware that the source of payment no longer exists 

or is insufficient with respect to the services. The detetmination of the Division of the 

events stated above shall be conclusive. 

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

this CONTRACT may be brought only in the Superior Comt of Fulton County, Georgia. 

The Parties agree to submit to the personal jurisdiction of the Superior Court of Fulton 

County. 

F. Trafficking Victims Protection Act of 2000 Prohibition Statement - The 

CONTRACTOR will not engage or allow employees, subcontractors, or subcontractor 

employees to engage in severe forms of trafficking in persons during the period of time 

that the award is in effect: procme a connnercial sex act dming the period of time that the 

award is in effect; or use forced labor in the performance of tins contract. 

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

respect to the subject matter of this CONTRACT and may be altered or mnended only by 

a subsequent written agreement signed by each ofthe Pmties hereto. This CONTRACT 

supersedes all prior agreements, negotiations, and commmrications of whatever type, 

whether written or oral, between the pmties hereto with respect to the subject matter of 

this CONTRACT. No waiver of any of the provisions of this CONTRACT shall be 

binding unless executed in writing by the Party making the waiver. No waiver of one 

provision shall constitute a waiver of any other provision nor shall any be deemed a 

continuing waiver. 

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

pmposes only and do not modify or qualify any of the rights or obligations set fmth in this 

CONTRACT. 

7 
I. The CONTRACTOR will maintain an active and cunent registration in the 

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

J. Time is of the essence in this contract. 

K. Single Audit Act. In accordance with OMB Circular A-133, the recipients hereby 

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

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

recipient's fiscal year or thitty days after receiving the repmt fi·om the auditor, the 

recipient shall submit the SF-SAC and a Single Audit Repmt Package to the Division. 

More iufotmation can be found at http://harvester.census.gov/fuc/ 

L. The CONTRACTOR agrees that all work performed tmder this CONTRACT will 

comply fully with applicable administrative and other requirements established by 

applicable Federal and state laws, regulations and guidelines. The CONTRACTOR shall 

comply with all requirements or regulations of the Division that are cmTently applicable 

or become applicable during the term of this CONTRACT. 

6. Georgia Secmity and Immigration Compliance Act of 2006. 

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

CONTRACTOR understands and agrees that compliance with the requirements of 

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

of this CONTRACT. The CONTRACTOR hereby watTants compliance with the 

Immigration Reform and Control Act of 1986 (IRCA), D.L. 99-603 and the Georgia 

Secm'ity and Immigration Compliance Act, O.C.G.A. § 13-10-90 et. seq., byregistedng 

at https://www.vis-dhs.com/EmpioyerRegistration and verifYing iufmmation of all new 

employees; and by executing any affidavits required by the mles and regulations issued 

by the Georgia Depmtment of Labor set fmth at mle 300-10-1-.01 ~f seq. The 

CONTRACTOR'S fully executed affidavit is attached hereto as Exhibit D and is 

incorporated into this CONTRACT by reference herein. 

B. The CONTRACTOR watTants that, in the event the CONTRACTOR employs or 

contracts with any subcontractors in connection with this CONTRACT, the 

CONTRACTOR shall include a similm· provision in all wt'itten 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. 

8 
7. New Restrictions On Lobbying As Set Forth in Title 40 CFR Patt 34. Funding 

provided in this CONTRACT is appropriated Federal funding in the form of a grant fi'om 

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

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

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

influence an officer or employee of any agency, a Member of Congress, an officer or 

employee of Congress, or an employee of a Member of Congress in cmmection with any 

of the following covered Federal actions: the awarding of any Federal contract, the 

maldng of any Federal grant, the making of any Federal loan, the entering into of any 

cooperative agreement, and the extension, continuation, renewal, amendment, or 

modification of any Federal contract, grant, loan, or cooperative agreement. 

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

loan, or cooperative agreement shall file with that agency a ce1tification, set fmth in 

Exhibit F, that the person has not made, atld will not make, any payment prohibited by 

paragraph A of this section. 

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

loan, or a cooperative agreement shall file with that agency a disclosure form if such 

person has made or has agreed to make any payment using nonappropriated funds (to 

include profits from any covered Federal action), which would be prohibited under 

paragraph A of this section if paid for with appropriated funds. 

D. The Disclosure of Lobbying Activities and the Ce1tification Regarding Lobbying 

fmms must be completed, signed, and retumed with this CONTRACT in order for the 

CONTRACT to be valid. These forms are included in Exhibits E and F. 

9 
IN WITNESS WHEREOF, the Division and the CONTRACTOR have executed this 

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

ATTEST: 

ATTEST: 

ClAJ\.L\ 0. (L);i~b<Li·CJC .. 

10 

Department of Natural Resources 

Environmental Protection Division 

/) 

' f I I ' 

BY: ),', /: i 

/ { 

Juds~Ji'H. Turner, Director 

(Contractor representative) 

BY: ~ ~uG=zSYI1"' 
Exhibit A 

CSX Transportation, Inc. Scope of Work for 

Switch-Duty Locomotive Conversions 

in Atlanta, Georgia 

Scope of Work 

Upon execution of the contract and continuing through 24 months, unless tenninated early under 

provisions of agreement, Contractor will pmfmm tasks as described in Exhibit B to reduce 

emissions fi·om locomotives used for switching in Atlanta for purposes of improving air quality 

in Georgia. These tasks include: 

A. Within45 days of execution of agreement, Contractor shall provide to the Division a 

project schedule with specific dates for completing each project related task that is 

consistent with timeline provided in Contractor's project application; 

B. Contractor shall conve1t, as described more fillly in Section 2 Locomotive Rail Yard 

Location and Operation and the "Locomotive Conversion" paragraph therein of Exhibit B, 

6locomotives fi·om Tier 0 or a lower rating as described in the Project Proposal (Exhibit 

B) to 3000 

horsepower locomotives meeting EPA Tier 3 Line-haul and Tier 2 Switch emission 

standards or better (i.e. with lower emissions); 

C. The contractor shall maintain the locomotives sufficiently to assure the teclmology 

remains operational for at least ten years and operate the locomotives at least 80% of their 

operating time in the Atlanta PM2.5 urban core nonattainment counties, as depicted in 

Figure I on page 8 of the July 13, 2012 Request for Applications unless the locomotive is 

damaged beyond repair or 

becomes permanently inoperable. The 

contractor shall infmm the Division of all locomotives that are conve1ted as pmt of this 

agreement that m·e removed from the fleet due to damage or inoperability. The ten-year 

period will stmt on the date that the convetted locomotives m·e operational in their 

assigned ym·ds and all tasks in this Scope of Work have been completed other than 

submission of the required repmts. The contractor shall not sell the equipment tmtil the 

ten-year operational period has passed or Division deems equipment non-operational. 

D. Reporting requirements for each con vetted locomotive will include: 

(1) 

(2) 

(3) 

(4) 

An initial report before the locomotive is con vetted, 

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

A report each 6 months for the first two years of operation of the convetted 

locomotive (within one month of completing the six-month period) and· 

A repmt once per yem· for the remaining period of commitment (within one 

month of completing the year period). 

The Contractor shall sub1nit repmts to the Division by electronic mail (e-mail) and shall 

provide two copies of the repmts in the e-mail with one in Microsoft Word format and 

A-1 of3 

11 
the second in a PDF format. The Contractor shall submit a hard copy of the repmt upon 

the Division's request. 

E. The repmts will include the following components: 

(1) Initial report: 

a The initial report will contain manufacturer's data regarding the activity, 

emissions, and fuel use for the locomotive to be con vetted/replaced. 

(2) Post conversion report: 

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

installed. 

b. Certification/assurance that the equipment was properly installed and is in 

working condition and confitmation of proper maintenance of locomotives 

and conversion equipment. 

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

against vendors if problems arise. 

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

description and explanation of the delay. 

(3) Six months descriptive operation reports (four repmts; one each six months for 

the first two years of operation). 

a. Contractor will make reasonable, good faith effmts to track and compile, 

to the extent available, the following: 

i. Activity, emissions, and estimated fuel use information for the 

converted/replaced locomotive. 

ii. Description or confirmation of operating patterns, including 

confinnation of the use of the convetted locomotives in the 

designated areas during the reporting period. 

iii. Cettificationlassurance of proper operation and maintenance of the 

locomotive and emissions control equipment. 

b. In the event of tracking system failure, Contractor will provide the 

infmmation gathered, averaged over the length of the repmting peliod. 

( 4) Annual normal operation reports (beginaing in year three): 

a. Activity, emissions, and estinmted fuel use infmmation. 

b. Description or confitmation of operating patterns, including confitmation 

of the use of the converted locomotives in the designated areas during the 

reporting period. 

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

locomotive and emissions control equipment. 

Contractor must repmt ifthere have been any changes in operating pattems that would 

cause significant differences in activity data, deviance fi-om the contrachml agreements, or 

need for unexpected maintenance or repair beyond normal expectations that would cause 

the locomotive to be removed from setvice for extended periods of time and must detail 

the cause. If the locomotive became inoperable and was unable to be repaired, it must be 

repmted within sixty ( 60) business days after the final determination by the locomotive 

owner (Grantee). To the extent the reporting requirements set fotth above differ from the 

repmting elements as described in the July 13, 2012 Request for Applications, the 

provisions in this Scope of Work control. 

A-2of3 

12 
F. Contractor will take reasonable measures to protect its rights under m1y applicable vendor 

wmrm1ties in accordance with contractual rights and federal regulations. Funds must be 

retumed to the Division if Contractor fails to complete the conversion of the 

locomotive(s). 

G. Within 30 days after completing all project tasks as described in the Contractor's project 

schedule m1d after stmtup of the six convetted locomotives, but no later thm1 twenty-fom 

(24) months after the effective date of this contract, the Contractor shall submit a Post 

Conversion SUlllUlmy repmt that includes the overall project description, final pictures of 

the locomotives, verification that the provisions of tins CONTRACT have been met, 

success stories related to this project, shmtcomings or obstacles that had to be overcome 

to make this project successful, m1d lessons leamed while completing this project. The 

Contractor shall sub:nllt this report to the Division by electronic mail (e-mail) m1d shall 

provide two copies of the repmts in the e-mail with one in Microsoft Word format m1d 

the second in a PDF format. The Contractor shall submit a hard copy of the repmt upon 

the Division's request. 

H. Contract funds will cover up to 70% of the total locomotive conversion cost and will be 

distributed to the Contractor incrementally (not more than once per annual qumte1~ 

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

incremental distTibution. 

l The Contractor shall only invoice the Division for expenses eligible for award funding. 

As pmt of the invoice, the Contractor shall cettify each task that has been completed m1d 

provide picture updates of m1y significm1t visible progress. Upon completion of the 

project, the Contractor shall submit a final invoice requesting up to the remaining funds 

for m1y unpaid task expenses for work completed during the project period, provided that 

the total grant distribution for this project does not exceed $7,560,000. The final invoice 

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

J. The Contractor shall only invoice the Division for eligible expense resulting fi·om the 

locomotive conversions as pmt of completing tasks as described by the Contractor's 

project schedule (Exhibit B). 

K. The Contractor may not seek reimbursement or cost share consideration for certain 

ineligible cost, which would include mm1agement or similar fees used to accumulate and 

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

costs. The Contractor may not seek fees for consultm1ts in excess of five hundred eightyseven dollars ffild twenty cents ($587.20) per day nor seventy-tlnee dollars m1d forty cents 

($73 .40) per hom 

A-3of3 

13 
ExhibitB 

CON1RACTOR'S Project Proposal and Supplemental Material 

CSX application and additional supplied information 

a. Proposal 

b. Requested supplemental information 

c. Emission factor clarification 

d. Comparison of the proposed technology with Gensel locomotives 
.. ' I. 

Locomotive Conversions in Atlanta, Georgia 

GA Environmental Protection Division · 

Air Protection Branch 

CSX TRANSPORTATION, JfNC. 

CMAQ LOW EMISSION LOCOMOTIVE 

REPOWER PROPOSAL 

SUBMITTED: SEPTEMBER 7, 2012 

.• , .. ,,, . .,.. . 

'''· -'-:·' 

----·---··----- ---·-- -------· 
.. ~ 

,_ 

-CSXT Locomotive Rep ower Conversions in Atlanta, Georgia 

Section 1 Application Cover Page 

Company Name j CSX Transportation, Inc. 

Contact Information- Technical 

Name 

Mailing' Address 

Cad A. Ger!Jardstein, PE 

500 Water Street, 1275 

Phone Number 

E~mail 

Name 

Mailing Address 

Phone Number 

E-mail 

Jacksonville, FL 32202 

(904) 366-4303 

carl gerhardstei n(illcsx. com 

Contact Information- Contracts 

Carl A. Gerhardstein, PE 

500 Water Street, 1275 

.Jacksonville, FL 32202 

(904) 366-4303 

carl gerhardstein@csx.com 

Contact Information- Additional Contact (optional) 

Name 

Mailing Address 

Phone Number 

E-mail 

Kathryn R. Barney 

500 Water Street, 1275 

Jacksonville, FL 32202 

(904) 359-4870 

kathryn_ barney@csx.com 

Application Summary 

Total number of conversions 6 

. 

r-~----------------------------------~ Total funding requested $ 7.56 million r-------------------------------------~ Total match proposed $ 3.24 million r-~----------------------------------~ Total project cost $ 10.80 million 

AutiiOrized Official 

Name and Title Carl A. Gerhardstein, Assistant VP Environmental Systems & 

Sustainability 

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

that all of the minimum requirements have been or will be met. Additionally, I understand the obligations 

constraints associated with this proposal. I understand that completing this form simply enters me into 

the Genset Locomotive Conversion funding competition and my flnal decision to accept the grant 

funding, if! were to b~.selected, wou!d occur later. 

Signature: ,!~Jf£.-<4~~ Date Sept. 7, 2012 

2 

~---~----------- ----------~----- -~-~--------------~-
CS,XT Locomotive Re.power Conversions in Atlanta, Georgia 

Railvard Information 

Tilfim/ Yard 

The Tilford Yard is one ofCSXT's 

major hump terminals, handling 

approximately 40 trains per day. 

As shown in Figure 1, the Tilford 

yard is in close proximity 

(approximately 1,000 feet) fi·om 

Marietta Blvd Fire Station #8. 

There are four switcher 

locomotives at Tilford Yard 

available to be repowered to a 

single engit{~ configuration within 

Table 1: Tilford Yard Switclt Locomotives Identified· 

for Conversion 

Yard and 

6032* industry EIYJ.D 16-645E3 71K21 108 

switching 

2436* Hump EMD 16-645E3C 85C37502 S\.VitcJling 

EMD B.owl 8220* 74Jlll45 s\vitching 16-645E3C 

EMD 16-645E3M 77A21048 Bowl 8255* slvitching 

the next twci years. Switch locomotives at the Tilford Yard provide multiple services for 

,. incoming/outgoing trains including various types of operation such as hump switching, bowl 

building, yard, and local switcl1ing. Table llists the locomotives located at Tilford Yard for 

wl1ich funding is being requested. 

Figure 1: Proximity of CSXT Tilford Rail yard to Fire Station #8 

4 

--- - ·--.---
CSXT Locomotive Rep ower Conversions in Atlanta, Georgia 

Locomotive Information 

The locomotives targeted for conversion are shown in Table 3 below. These locomotives were 

chosen because most have not updergone rebuild to Tier 0 or Tier o+ standards and, therefore, 

offer the greatest emission reductions when converted. CSXT proposes to t-epower the existing 

1ocomotive(s) to one with a cleaner and more efficient configuration. Each replacement 

locomotive will be equipped with a single-engine rated at approximately 3,000 hp. The 

repowered locomotive engine configuration will meet EPA Tier 3" Line-Haul and EPA Tier 2 

Switch Locomotive engine emission standards. · 

Tilford 6032 Yar~ 

; 

EMD/ 

16-645E3 1971 Pre 1973 617/2012 10 80% 60,000 

Til!brd 2436 EMD/ 

16-645E3C 1985 Unregulated 5/8/97 10 80% 60,000 

Tilford 

Tilford 

Union 

City 

Union 

City 

8220 Bowl 

8255 Bowl 

6092 Local 

6963 Local 

EMD/ 

16-645B3C 

EMD/ 

16-645E3M 

EMD/ 

16-645E3B. 

EMD/ 

16-645E3 

1974 

1977 

1979 

1971 

Um·egulated 2/5/99 80% 60,000 

Unregulated 12/19/95 10 80% 60,000 

Unregulated 7/22/08 10 80% 60,000 

Tier 0 10/10/05 10 80% 60,000 

[1]- Each locomotive is used either in hump, bowl, yard, or local """'"""r service. lYP'"""Y, CSXT varies the use 

of locomotives as necessary and individual locomotives are not assigned to one specific duty cycle within the yard. 

[2]- This estimate of operation is within the physical boundaries of Tilford and Union City yards. Approximately 

20% ofthe locomotive operation has been assigned to areas external to the yard to account for movements related to 

locomotive maintenance. 

The information presented with respect to estimates oflocomotive operation within the Atlanta PM2:5 urban core 

nonattainment counties represents.current business use. CSXT anticipates future operations to be consistent with 

these estimates, although. cannot predict future business requirements and may need to vary assigflment to meet 

business needs. 

[3J - CSXT does not track filelllse according to individual locomotives and the estimated fuel use presented is 

calculated using historical average fuel consumption specific to CSXT's overall switch locomotive fleet and. 

locomotive-specific annual hams of operation. Actual fuel use may be higher or lower. 

[4) ~The replacement locomotive will be equippl{d wit~ a low emission Single-engine having a horsepower rating o{ 

3,000 llp. 

6 

Tier 3 

Tier 3 

Tier 3 

Tier3: 

Tier3 

Tier3 

-·---··-- ·~--·----·-·--··--·-----------·---··--
CSXT Locomotive Rep ower Conversions in Atlanta, Georgia 

Emission Reduction· Benefit 

.Repowering switcher locomotives with advanced electronic configurations has been shown to 

provide significant emission reduction benefits for both diesel PM and NOx. This project is 

estimated to reduce annual PM and NOx emissions tl·om each locomotive by a minimum of 0.42 

tons and 5.9 tons, respectively as shown in Tab.les 5 and 6. The repowered Jocon,wtive engines 

have a useful life of 10 years or more; however, in order to calculate lifetime emissions a cap of 

10 years is used. Life-time (10 yem) emissions reductions fi·om all six locomotives in aggregate 

are projected to be approximately21.2 tons PM and 332.5 tons NO~. 

Table 5: Estimated Emissions Reductions for Pre-1973 and Unregulated Locomotives 

:Baseline (before) 20.7 60,000 

Post-Repower (after)· 22.2 55,917 

. ·.:.: 

Estimated Emissions Reductions (tons) 

0.44 12.4 

0.13 8.1 

Reductions per Locomotive 

(tons/y1) [3] 

5 Locomotives (per year) 

[3] 

I 0 years (5 locomotives) [4] 

Percent Reduction [4] 

0.60 17.0 

0.18 Il.l 

0.42 5.9 

2.1 · Z9.5 

16.3 Z77.8 

DPM NOx 

70% 35% 

[1]- CSXT does not track fuel use according to individual locomotives and the estimated fuel use presented is 

calculated usihg historical average fuel consumption specit1c tO CSXT's overall switch locomotive fleet and 

locomotive-specific amiual hours of operation. Actual fuel use may be higher or lower. 

[2]-Baseline emissions are calculated using emission factors representative of unregulated switch locomotive 

engines. However~ the PM emission factor has been conservatively estimated at 0.44 g/bhp-hr based on EPA data 

for unregulated locomotives 1

• For fuhu·e years, baseline emissions are estimated using the EPA Tier 0+ emission 

standards. Emission factors for the post-repower locomotives are based upon EPA Tier 2 Locomotive Switch 

engine standards. 

[3] ~Values presented are b8sed on the first year of operation (Le., going fi:om a Pre~l9(3/Unregulated to Tier 3 

locomOtive). . 

[4] 4 For these locomotives it is assumed that the current engines will be rebuilt in approximately five years to a 

Tier o+ confignration. Por baseline calculations) years 6~ 10 have been reduced to account for Tier 0+ conversions. 

The. estimate of lO~year emissions reflects this change in baseline emissions. 

1 EPA Regulatory Impact Analysis: Control ofEmissions of Air Pol! uti on rrom Locomotive Engines and Marine Compr,;ssion Ignition Engines 

Less than 30 Liters Per Cylinder (EPA420-R--OS-001 a) May 2008, 

8 

---· ···-·-···----··-~--. --~· ··--···~---·---··-~~····· 
CSXT Locomotive Rep ower Conversions in Atlanta, Georgia 

locomotive engine standards because the locomotive will be required by CSXT to meet these 

standards. Brake Specific Fuel Consumption (BSFC) of20.7 bhp-hr/gal is typical for Tier 0 

engines based upon EPA studies and the post-repower BSFC is based on information available 

fi·omlocomotive providers. 

This project will result in very cost-effective reductions in. both diesel PM and NOx. See Table 7 

for a calculation of the total cost effectiveness of PM and NOx reductions froni this project, 

based on both fill! project co~ts and requested grant funding. 

::to NOx and other pollutants. This weighting reflects the h1creased cost effecti,•em>Ss 

.• Additional Emission Reductions or Other Benefits 

''·In addition to 70-82% reductions of PM and 30% reductions ofNOx, implementing low 

emission locomotive repowers is also estimated to reduce annual greenhouse gas, specifically 

carbon dioxide (C02) emissions by approximately 270 tons annually. 

Project Commitment 

In accordance with GA EPD requirements, CSXT will commit to operating the respective 

locomotives in the Tilford and Union City yards for a minimum often (10) years from the date 

of application. As part of this commitinent, CSXT will only operate the locomotives outside the 

Atlanta PM2.5 nonattainment area for required maintenance and service activities- currently 

estimated at 20% of total annual operation. CSXT needs to maintain a level of flexibility to 

continue to provide their customers with the level of service to which they are accustomed. This 

includes the flexibility to move the repowered locomotives in-between different Atlanta yards 

and /or reassign the repowered locomotives to another CSXT location within the Atlanta PM2.5 

nonattaimnerit area, as business and operational needs may require. 

The information presented in this application with respect to estimates of locomotive operation 

within the Atlanta PM2.5 urban core nonattainment counties represents current business use. 

CSXT anticipates future operations to be consistent with these estimates, although cannot predict 

filture (lllsiness requirements. 

!0 

-~~---~-- --··--·----------------------------
CSXT Locomotive Repower Conversions in Atlanta, Georgia 

Additional Useful Information 

At the time of application, CSXT does not have any additional information to provide. CSXT is prepared 

to provide additional clarification, as necessary, to facilitate GA EPD review. 

!2 
[ cs:x· .]·· Hp~;.tam;rro'l'< :.~ve!' _ . 

®.® ®®'" 

Carl A. Gerhardstein, PE 

AVP Environmental Systems and Sustainabi/ity 

October 5, 2012 

Ms. Michelle s. Bergin, PhD 

GA Environmental Protection Division 

Air Protection Branch, Planning and Support 

4244/nternational Parkway 

Suite 136 (1927) 

Atlanta, GA 30354 

RE: Request for Additional Information 

500 Water Street- J275 

Jacksonville, Florida 32202 

(904) 366-4303 

Fax (904) 245-2828 

car/_gerhardstein@csx.com 

GA EPD's Request for Application (RFA) for the Railroad-Related Emission Reductions Grant 

Program for Switch-Duty locomotive Conversions in Atlanta, GA 

Dear Ms. Bergin, 

CSX Transportation, Inc. (CSXT) is in receipt of your email request to provide clarification; if any, 

regarding the maximum potential emission benefits for the six (6) locomotives for which CSXT 

requested grant funding .. In the application, CSXT proposed to implement a single-engine low 

emission locomotive conversion on the six (6) locomotives. 

The existing locomotives are all currently 3,000 hp units, which by EPA definition are line-haul 

locomotives; EPA defines a switch locomotive as having a power rating at' or below 2,300 hp. The 

type of services that the CSXT locomotives provide requires the adqitional power available only from 

line-haul locomotives, although they are used in the typical switcher duty cycle. We are not aware of 

any single engine genset locomotive manufacturers providing locomotives certified by EPA to the 

Tier 3 Switch locomotive standard. 

As a result, CSXT proposed state-of-the-art 3,000 horsepower Tier 3 line-haul certified locomotive 

conversions for this program. For emission reduction calculations, we used the EPA Tier 2 Switch 

values (8.1 g/bhp-hr·NOx, and 0.13 g/bhp-hr PM) for the post-repower locomotives, which all Tier 3 

line-haul locomotives are required to meet. Because the locomotives will be used in switch service, 

these are the appropriate values. 

An additional contributing factor to usin·g single-engine genset locomotives is that CSXT has 

undertaken several multi-e,ngine repowers, and has experienced operational issues with service 

availability and performance in several locations as well as increased maintenance requirements of 

the multi-engine technology. As an example, CSXT mechanics are highly trained with respect to 

_, ___________ ---------- ··-~--------- ------~-~~----~--~--------~---~-------- -------
If you have any additional questions or comments, please don't hesitate to contact me. J appreciate 

your consideration for our project. 

Sincerely, 

Carl Gerhardstein, PE 

Assistant VP, Environmental Systems and Sustainability 

3 

~~-- -------~---~--------- -------------- -----~~-------- ' ···- -------
Page 1 of2 

Michelle Bergin - RE: emission factor check 

From: 

To: 

Date: 

Subject: 

CC: 

Hi Michelle, 

"Barney, Katluyn" <Kathryn__Barney@csx.com> 

Michelle Bergin <Michelle.Bergin@dnr.state.ga.us> 

10/23/2012 5:35PM 

RE: emission factor check 

"pmoynihan@mjbradley.com" <pmoynihan@mjbrad1ey.com>, 

"Gerhardstein, Carl" <Carl_ Gerhardstein@csx.com>, "McElhim1y, Dory" 

<Dory_ Mcelhinny@CSX.com>, "dseamonds@mjbradley.com" 

<dseamonds@mjbradley.com> 

With respect to choosing the Tier 0 baseline emission factors for PM10 & NOx that were included in the CSXT 

grant application, the following emission sources were considered: 

1) Manufacturer provided emission data 

2) EPA emission standard for a switch locomotive 

3) Estimated emission factors based on emission studies 

The following is a brief description regarding how each source was considered in our grant application. 

1) CSXT has data from the engine manufacturer that indicates the baseline Tier 0 engine has lower 

NOx emission performance (12.4 g/bhp-hr) than allowable by the emission standard (14.0 g/bhphr). To provide a conservative estimate of baseline emissions, and therefore emission reductions, 

C~XT chose to use the lower NOx emission factor for the baseline. The engine manufacturer has 

not published PM emission factors. for the baseline Tier 0 engine. 

2) The EPA emission standard for a TierO switch locomotive is 0.72 g/bhp-hr and was used forthe 

analysis. As reference, this value is included in Table 1-28 of the "Regulatory Impact Analysis: 

Control of Emissions of Air Pollution from locorrwtive Engines and Marine Compression Ignition 

Engines Less than 30 Liters Per Cylinder", EPA420-R-08-001a. 

3) Regarding available data from emission studies, the best available information also comes from 

the RIA referenced above (EPA420-R-08-001a). The documentation as to what led to this value 

(0.44 g/bhp-hr PM) references emission factor development conducted prior to EPA's 1997 

locomotive ruling. In reviewing the appendices of the 1997 Regulatory Support Document from 

EPA, it appears that only 3 switch locomotives were tested in developing the emission factor data. 

Because of the small sample size and lack of information on the test configurations (e.g., rebuilt vs. 

-------·~~~ 

1 n .. • . ' 
IVIJ B I I "',Y ... ,", li A ' I )~ V' . - f if'{!f. ! . 

l i '",d<. ! \ 

i I 

CONCORD, JY/il - JvfANCHli8TER, NJI- WiJSJJlNOWN, DC 

1000 ELM b'THEE'"1'12N'UFWOR 

Iv1ANCHES1'EHJ NH 0~1101 

603-647-5746 

Yl"'i·'l\.V,mjbradlev.com 

TO: 

CC: 

:fROM: 

DATE: 

RE: 

MEMO 

Ms. Michelle Bergin, PhD 

Jimmy Johnston, Carl Gerhardstein, Kathryn Barney, 

Dave Seamonds 

Paul Moynihan 

November 1, 2012 

Request for Comparison- Single- v. Multi-Engine Locomotives 

GAEPD's Request for Applications (RFA) for the RailroadRelated Emission Reductions Grant Program for Switch-Duty 

Locomotive Conversions in Atlanta, GA 

This memo was prepared based on your request to review a comparison of a single 

engine locomotive versus multi engine locomotive offerings as it relates to reducing 

diesel particulate matter (DPM). CSXT recently submitted an application toGA EPD's 

RFA for conversion of six (6) switch-duty locomotives in the Atlanta area, utilizing a 

single-engine low emission locomotive configuration. The existing and proposed 

locomotives are all3,000 horsepower, based on the switch-duty needs of CSliT's yard 

and the newly converted locomotives will utilize current state-of-the-art technology 

offered by locomotive manufacturers. 

Since receiving the. application, GA EPD has requested a comparison of CSXT's singleengine request versus the latest multi-engine genset locomotive offerings. Currently 

there are no multi-engine genset locomotives rated at 3,00 o horsepower. Thus, the 

following analysis assumes that CSXT would utilize two (2) multi-engine locomotives 

(one 3-engiue and one 2-engine) in order to provide equivalent tractive force currently 

achieved by a single-engine 3,000 horsepower locomotive. This comparison is only 

being provided at the request of GA EPD, as a hypothetical exercise as CSXT's operation 

requirements do· not support the use of two multi-enginelocomotives in tandem (i.e., 

physicallyTequiring two locomotives.to perform the work of one). Because ofthis, 

MJB&A, on behalf of CSXTwould like to clarify that CSXT is not willing to consider such 

a scenario even if funding were made available by EPD. as tl1e multi-engine genset 

locomotives are _not a functionally viable alternative for CSXT operations in Atlanta. 

As presented in the application submitted by CSXT in early September, Table.1 shows an 

estimate of emission reductions from converting an unregulated 3,000 hp locomotive to 

a 3,000 hp single-engine locomotive certified to the current EPA engine emission 

standards. 

M.J. Bradley &Associates LLC I Strategic Environmellt[tfConsu1ting Page /1 
As shown, the utilization of two (2) multi-engine locomotives is estimated to provide 

4.2 tons of PM reductions over a 10 year anticipated useful life. Of significance, however, 

is that the combined multi-engine locomotives are expected to burn approximately 

20,000 gallons more fuel than an existing unregulated locomotive and more than 

24,000 gallons when compared to a newly converted single-engine genset locomotive. 

Comparing the benefits of converting an existing pre-1973 or unregulated locomotive to 

those achieved by deploying two multi-engine genset locomotives shows that the 

estimated annual emission reductions ofDPM are equivalent at 0.42 tons per year. 

On a cost-effectiveness basis, the single-engine genset locomotive will provide much 

better dollar per ton figures. Table4 shows a comparison of cost-effectiveness for the 

single engine and for multi-engine offerings on a PM basis. 

T a bl e4'· C OS-- t E:ffi ec ti veness c omparison-s· IllgJe I VS. M u lti 

Locomotive Lifetime PM Total CostType Reductions (tons) Total Cost [1] Effectiveness 

PM 

Single-Engine 4·2 $1,850,000 $440,416 

Multi-E¥.gine 4·2 $ 2,981,792 $709,950 

[1] Total cost for Multi-Engme assumes the purchase of two (2) genset locomotwes 

and is based on the best available pricing information available to CSXTji·om recent 

(2010-2011) conversion projects. 

Because the DPM emission reductions of both options are estimated to be equivalent and 

the single-engine unit is more cost-effective, CSXTbelieves that funding a single-engine 

locomotive conversion is just as beneficial to EPD. 

-~----·------ ··--·---M·.Jc-Bradley-&:A-ssociates-blCEf-/-Strategic-Environmentai-eorrsulting·-----·- ·Page-!-3··---~- ------------
Exhibit C 

Request for Applications (RF A) 
Reque§1t for Appllii~~:2!HoiDW 

Railroad-Related Emission Reductions Grant Program 

Switd1-Duty Locomotive C01mven1ions lillll AHantm, Georgia 

Released July 13, 2012 

Application due by September 7, 2012 (within 8 weeks after release) 

GA Environmental Protection ][Jiivishm 

Air Protection Jlllram:h 

Planning and Support Program 

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

locomotives performing switch duties in the Atlanta PM2.5 'urban core' nonattainment counties, 

including Clayton, Cobb, DeKalb, Fulton, and Gwinnett Counties, to 'Genset' locomotives or other 

altemative low-emission locomotives to be used for switching. 'Genset' is a te1m used in the 

marketplace to describe a modem locomotive that meets EPA's stringent standaTds and can employ 

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

trains, primarily within railyard limits. Priority will be given to switch-duty locomotives operating 

closest to the EPD Fire Station #8 air quality monitor located at 1711 Marietta Blvd in Fulton County 

(Figures 1 and 2). 

Up to $36 million in funding has been awarded for these conversions by the Georgia Department of 

Transpmiation to the GA EPD through the U.S. Department ofTranspmiation's Congestion Mitigation 

and Air Quality (CMAQ) Program. This Request for Applications pertains to $12 million available 

fi·om fiscal year 2010 funds and $12 million available from fiscal year 2011 funds, for a total of $24 

million. These funds will cover up to 70% of the cost of conve1iing older, more emissive locomotives 

cunently performing switch duties to lower emitting locomotives, requiring a minimum 3 0% match. 

Conversions must be completed within24 months of the execution of funding contracts, which may be 

written for incremental funding and time periods and can combine fimds fi·om the two fiscal years. 

ll'li·oject Goals 

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

to diesel combustion emissions and subsequent secondary air pollutants, especially PM2.s (pmiiculate 

matter of 2.5 microns in diameter and smallel), and (2) to facilitate attainment and maintenance of the 

National Ambient Air Quality StandaTds (NAAQS). The development of agreements associated with 

this ptoject will incorporate any guidance received from the US EPA regarding necessary actions to 

ensure the applicability of the emission reductions resulting from this project to the Atlanta PM2.s State 

Implementation Plan (SIP). The SIP is submitted to the US EPA by the State of Georgia to 

demonstrate its air quality management plan to attain and maintain the NAAQS. 

-···---------·--·--- -~-··~--- ·------.. ~~ -----~----------r-------. 
llocomotive to be converted/replaced, (c) the estimated length of remaining service of the 

locomotive to be converted /replaced, (d) the emission levels of the con vetted locomotive, 

(e) the proposed amount of time of operation and average duty cycle of the converted 

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

converted locomotive will remain in the Atlanta Urban Core area. When calculating cost 

effectiveness, only funds to be awarded under this grant will be included.- 50 points 

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

exceeds available funds as follows: If one proposal is received that meets all project criteria, that 

proposal wiii be funded at 100% of the available funds. If two eligible proposals are received, the 2nd 

highest scoring proposal will be funded at the lower of a) the amount of the proposal or b) a percentage 

of the available funds determined as follows: percent of available funds awarded= 20% +(total 

score/4)% with tl1e remainder awarded to the highest scoring proposal. If three or more eligible 

proposals are received, the 3rd highest scoring proposal will be funded at the lower of a) the amount of 

the proposal or b) 10% of available funds, the 2nd highest scoring proposal will be funded at a lower of 

a) the amount of the proposal or b) a percentage of the available :fhnds determined as follows: percent 

of available funds awarded= 15% +(total score/4)%, and the remainder awarded to the highest scoring 

proposal. 

If the amount of funding provided to individual projects is less than that project's respective proposal, 

EPD may specify which switcher engines are to be convetied based on criteria 2 listed above for each 

switcher convetted. If two or more proposals are received, EPD may adjust the amount of funding 

awarded to the 2nd and, if applicable, 3rd highest scoring proposal so that the amount of funding 

awarded plus the amount of match money provided by the grant recipient is sufficient for the complete 

conversion of the number of locomotives included in the award. -

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

contract in accordance with applicable requirements. 

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

determines in its sole discretion that such allocation of funding is inadequate for its budgeting and 

fimince purposes, then the applicant may withdraw its application in whole and reject any offer of 

funds without recourse fi:om EPD. In addition, in the event the fimding contract offered to the . 

applicant includes provisions or inco!Jlorates documents that contain provisions with which the grantee 

does not agree, then grantee may withdraw its application in whole and reject any offered funds 

without recourse from EPD. 

Reporting Requirements 

Reporting requirements for each converted locomotive will include: 

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

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

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

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

T------- .. -----
cycles are considered too enatic to estimate, please describe the rarige 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 infmmation is important for determining if and how the main goals of this air 

quality improvement program are met Because the current default duty cycle and fuel use estimates 

available for switch locomotives 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 if approximate, will be a much better indicator of historic 

emission levels and achieved impmvement fi'om this program. In addition, this information will aid in 

supporting the use of equipment and technologies that result in actuai in,use emission reductions with 

reliable service rather than only suppo1ting the use of equipment that will only reduce emissions under 

default duty,cycle use pattems, and will help prevent funding equipment that does not meet real-world 

operational requirements. 

Description or Continuation of Operating Pattems 

All repmts beginning with the first 6"month report of the first year of the con vetted locomotives 

operation, must confinn the use of the conve1ted locomotives in the designated areas dming the 

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

be reported within 60 business days after the final determination by the locomotive owner (Grantee). 

The repmt must explain if there have been sigxrificant perfotmance or unanticipated maintenance 

difficulties. · 

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

railyard(s) and up to 20% time that can include pre,detennined standard maintenance or support 

locations outside the designated distance as well as outside operations. While the pre,detmmined 

standard maintenance or suppmt locations are allocated to the 20% 'out of area' operation time, they 

do not need to be detailed in reports. Please list the proposed designated activities/locations in the 

grant application, specifying both in and out of area operations as expected to reduce reporting needs 

(see Application Components section 2. ii(g) below). 

The reports must detail any changes in operating pattems that would cause significant differences in 

activity data since any previous reports. 

Ce1tificationl Assurance of Proper Equipment Operation and Maintenance 

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

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

of the funding contract. This verification/assurance may be in the fonn of a representation by grantee. 

The report must detail if tmexpected maintenance or repair beyond nmmal operation expectations was 

required that caused the locomotive to be removed from service beyond normal maintenance 

requirements (excluding travel time to and from repair shops). 

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

concems must be addressed before the project progresses. Any deviation from contractual agreements 

must be repmted. 

--- -~- -------~--- ·---- ------ --·----s--· -·--·-
(h) Description of nonnal and occasional operation cycles/duties, with a description of 

how the duty cycle (weekday/weekend, seasonal) and actual fuel use will be 

measured or calculated and reported. Do not use the EPA default switch locomotive 

duty cycle and ammal switch fuel use estimates. If more than one 

measurement/calculation option is available, describe options with the benefits and 

detriments of using each method. 

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

as related to emissions reduction such as use of Tier 4 nonroad engines or diesel 

patticulate filters.) · 

0) Cost of conversion, including labor and materials 

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

(I) Proposed percent of annual operating time cornn1itment to specified railyard(s) or 

areas 

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

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

fuel use measurements may be required. Please give an explanation of how the 

cunent estimate is made and what can be done in the future. 

(n) Calculated estimate of atmual NOx and PM2.5 emissions before and after 

conversion 

( o) DesCJiption of m1y additional emission reductions or other benefits. 

iii) Timeline detailing the schedule and maximum time period needed for converting the 

locomotive(s), including when locomotive(s) will be removed, when and if replacements 

are brought in and removed, and when the locomotive will be completed and in use. If the 

time line is dependent on number of conversions awarded, provide other potential timelines. 

Detail if lower than average emitting replacements can/will be utilized. 

3. Please list any other comments, information, or descriptions that may be useful in analysis of this 

proposal, including a description of the activity and fuel use data you can provide in the required 

reports. 

Please submit the application electronically in either MS Word or as an Adobe pdf, and send a signed 

hardcopy through cettified or tracked mail. Any expense incurred to prepare the application is not 

reimbursable and is the responsibility of the applicant. In addition, operating expenses, fuel costs, 

projects required by any law or other agreements, administrative costs, or work done or purchases prior 

to selection are not reimbursable and arc the responsibility of the applicant. 

For more infonnation and/or to submit proposals, please contact: 

Michelle Bergin, PhD 

GA Enviromnental Protection Division 

Air Protection Branch, Planning and Suppo1t 

4244 International Parkway 

Atlanta, GA 30354 

404-362-4569 

michelle. bergin@dm. state. ga.us 
§wHclbt-JlJ>llty Locomotive Coll1!versimlls JiiDl Ad:mtlll, Georgilll 

GA Enviromnental Protection Division 

Air Protection Branch 

· Appiicllltiorn CoveJr Page 

Company Name L---~~--~--~----~------------------~ Contact J[nformation- Technical 

Name ~--------------------------------------~ 

Mailing Address ~----~--------------------------------~ 

Phone Number 

E-mail ~--~----------------------------------~ 

Cokn~t-ac-t~J[~n~f~or_m __ a~ti~o-n---C~o-n~tr-a-c~ts--------------------~ 

Name ~--------------------------------------~ 

Mailing Address ~------------------------------~ 

Phone Number 

E-mail ~--------------------------------------~ 

L---~~~~--~~--~--~~------------~ 

Contactln£ orma t' ron- AddT IIOna I C on t t ac ( opnona f I) 

Name 

Mailing Address 

Phone Number 

E-mail 

ApplicatiOn Summary 

Total number of conversions r---------------------------------------~ 

Total fimding requested ~--------------------------------------~ 

· Total match proposed ~--------------------------------------~ 

Total project cost L---------------------------------------~ 

Anthorizted Official 

I certifY to the best of my knowledge that the inf01mation provided in this application is accurate. I agree 

that all of the minimum requirements have been or will be met. Additionally, I understand the obligations 

constraints associated with this proposal. I understand that completing this f01111 simply enters me into 

the Gensel Locomotive Conversion funding competition· and my filial decision to accept the grant 

funding, if! were to be selected, would occur later. 

Signature: Date: ----------------
ExhibitD 

CONTRACTOR's affidavits required by the Georgia Security and Immigration Compliance Act 

of2006 rules and regulations issued by the Georgia Department of Labor set forth at rule 300- , 

10-1-.01 et. Seq 

See Attaclnnent (For Electronic Copy, Double Click Below) 

Micro9Jft Word 

D:Jcumet 

---··~--· ··---------~-·-------·--·--~----·---· 
Contr:tctor Affid:tvit undex· O;C.G.A. § l3-10-91(b)(1) 

By executing· this affidavit, the undersigned contraotor verifies its compliance 

with o.c .. o.A. § 13-10-91' stating affirmatively that the individual, firm or corporation 

which is engaged in the physical performance of services. on hehalfof(name of public 

employer) has registered with, is authorized to use and uses the federal work 

m1thorization program commonly known as E-Verify, or imy subsequent replacement 

program, in accordance with the applicable provisions and deadlines established in 

O.C.G.A. § 13·1 0-91. Furthermore, the undersigned contractor will continue to use the 

federal work authorization program throughout the contract period and the undersigned 

contractor will contract for the physical performan~e of services in satisfaction of such 

contract only with subcontractors who present an affidavit to t)Je contractor with the 

i'nfonnation required by 0 .C. G.A. § 13-1 0-9l(b). Contractor here by attests that its 

federal work authorization user identification number and date of authorization arc as 

follows: . . . . 33GQ,CJC( 

Federal Work Authorization User Identification Number 

:rt.-H.J e. R '3 , Z, {) I o 

Name of Public Employ r 

I hereby deciare under penaity of perjury that the foregoing is true and correct. 

Executed onJAiJ,lliQtjJ_, 20t:/_ in!~¥KI•·<l,city), fL. (state). 

·~ (1{0- .. ... . 

!

' ignatur of Auth9nzed Officer or. Agent .. 

2J¥,le1N n\ .:\SD>Je;sJrvP 'iMet.o :~S4;;:0!~ Printed Nalne and Title of Authorized Officer or Agent 

My' Commission Expires: 
ExhibitE 

Tl1e Disclosure of Lobbying Activities 

(Disclosure form of any Lobbying using Nonappropriated Fnnds) 

See Attaclnnent (For Electronic Copy, Double Click Below) 

Adobe Acrobat 

Document 
DISCLOSURE 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: [_6] a. contract 

----· b. grant 

[J§l•· bid/offer/application 

- -- b. initial award 

[ftl a. initial filing 

---- b. matenal change 

Approved by OMB 

0348-0046 

c. cooperative agreement c. post-award For Material Change Only: 

d. loan year quarter 

e. loan guarantee date of last report 

f. Joan insurance 

4. Name and Address of Reporting Entity: 5. If Reporting Entity in No.4 is a Subawardee, Enter Name 

0 Prime '{gt Suh<~wardce and Address of Prime: 

Tier if known: ---

CSX 'fi·ansportation 

500 Water Street 

Jacksonville, FL 32202 

Congressional District, if known: Congressional District, if known: 

6. Federal Department/Agency: 7. Federal Program Name/Description: 

US HOT- FHWA 

Ci\IIAQ Funds to Georgia nepartment CFDA Number, if applicable: of Natural Resources -~ 

B. Federal Action Number, if 0nown: 9. Award Amount, if known: 

$ 7,560,000 

10. a. Name and Address of Lobbying Registrant b. Individuals Performing Services (including address if 

(if individual, fast name, first name, Ml): different from No. 10a) 

(last name, first name, Ml): 

None Nom~ 

----·-·- -~ 

11 aiion ftX!"esteiJ Ultough !Ius fofln is ii!Jiborized t:y 11\1(1 J1 U.S. C. ~n~;:liwl Signature: 0~.-A.Q e t!..e_,A_./\Ar.:.~Q._ - 1052 nus d•"losun'l of fot;t;yit¥J atllvilies is <1 OKJlenal r<Jpro~ctll<;tim\ of f<l~l 

t•P:X1 wtucl\ teJmnr;e- was p'-OCf\ti tr; till! tiN <liJO'IC ~~lwn lh',slrrm\'.11~~(11\ was made 

or ontemd into. ll1is Q,sciOOIIIC is requked putsuant to 31 U S.C 1352 Print Name:' !1 i\1\ R C. R tu 1\ ;c.~ This 

;nfr)!(noticn will bt~rupmletl to lhu C<Jnwo;oss somi·il!lnunity <llld wrll be <1\';lii~ble for 

Tille: \!1 \' g Pr-e 1'; ,;, 11·! f'CJ.J)JiJ.}. LQr . /()(I-f !lv 

public ;'rl~p~llolt Any Jlerson who la;ts lo Mil 1110 mqu11U1I disclo$\Jf') shall l.JC! I ·-->;) / .._\) .- ./•~ -- ~ 

$ulljtlct to a civ•lpenally ol nul !o% thnt $10.000 :~nd not more lht<rl SlOH,OD(I for Telephone No.: ( 2!)}_) ·1- f~,S- 6"( 7. ~-·1 ··' f!iJCh ~\Kh f~i11110 Date: J./st/>5 

Federal Use Only: I Authorized for local Reproduction 

Slnndard Form LLL (Rev. 412012 
ExhibitF 

Certification Regarding Lobbying 

See Attachment (For Electronic Copy, Double Click Below) 

Adobe Acrobat 

Docun12nt 
49 CFR l'art20- Appendix A 

CERTIFICATION REGARDING LOBBYING 

Certification For Contracts, Grants, Loans, And Cooperative Agreements 

The undersigned certif1cs, to the best of his or her knowledge and belief; that: 

(I) No Federal appropriated lcmds hnvc been paid or will be paid, by or on behalf of the 

undersigned, to any person for influencing or allempting to inlluence an onlcer or employee 

of an agency, a rvicmber of Congress, an ol'ficcr or employee of Congress, or an emp!oyc·c of 

a ivlembcr of Congress in connection with the awarding of any Federal contnwt,thc making 

of any Federal grant, the making of any Federal loan, the cnlcring into of any coopern!ivc 

agreement, and the extension, continuation, renewaL a!llCJidmcnt, or modi tication of any 

Federal contract, gnmt, loan~ or cooperative agreement. 

(2) If' any lcmds other than Federal appropriated funds have been paid or will be paid to any 

person fOr inl1ucncing or attempting to in!-lucncc nn ofnccr or employee or any ngency. a 

fvlember of Congress, t111 officer or employee of Congress .. or an employee of' n IVlcmber of 

Congress in connection with lhis Federal contract, grant~ !onn, or cooperative agreement. the 

undersigned shall complete and submit Stanclarcl Form-LLL, "Disclosure Form to Report 

Lobbying,~~ in ~lccordance with its instructions. 

(3) The undersigned shall require that the language ol'this certification be included in the award 

documents for all subawards at all tiers (including subcontracts. subgrants. and contracts 

under grants. loans. and cooperative agreements) and that atl subrccipients shall ccrti(y and 

disclose accordingly. 

T'his ccrlificalion is n material representation of fnct upon which relinnce wns placed when this 

tn:msacl'ion was made or entered into. Submission of this certiJ-icntion is a prereqtlisilc l'or making or 

emering into this transaction imposed by section ! 352. tilie .31, U.S. Code. Any person who fhils to 

file the rcqu ired eerti fication sha II be subject to a civil penal! y of not I css than $1 0.000 and not more 

than $100,000 l(>r each such l\1ilurc. 

Signature/Authorized Certifying Of"licial 

-··-S.:~~~r·ra~~ortation _________ . ____ ·--·---· 

A ppl i cant/0 rga n izat ion 

~~1c ~.: .. _Reinke, Y.e_:_Tct~~~-gisl<!!l..<:?.l.!, ..... 

Typed Name nncl 'fitle 

713 1/14 ·--;---··---·------··-··-

Dntc Signed