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 ofthe agreement between CSX Transportation, Inc. (CSX) andthe GeorgiaDepartment ofNatural Resources, Environmental ProtectionDivision (EPD) regardingthe CMAQ Railroad-Related Emission Reductions Grant Program for Six Switch-Duty Locomotive Conversions in Atlanta, Georgia. The amount ofthis contract is seven million, five hundred sixty thousand dollars ($7,560,000). All invoices shall be due by November 5, 2015.
Ifyou 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 ofNatural Resources EnvironmentalProtection Division And 

### CSXTi·ansportation, Inc. For CMAQ Railroad-Related Emission Reductions GrantProgram: Switch-DutyLocomotive Conversions in Atlanta, Georgia



### ThisCONTRACTismadeeffectiveasofthe 

# /q4h**dayofJ\1-\~u.S+** ,2014. This agreement is by and between the GeorgiaDepmiment ofNatural Resources, Enviro11111ental Protection Division, (the "Division"), and CSX Transpmiation, Inc. (the "CONTRACTOR"). WITNESSETH
WHEREAS, the Division is established as an agency ofState Gover11111ent pursuant to the laws enacted by the Georgia General Assembly; and
W1-IEREAS, the Division is responsible forprogrmns 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 ofPM 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 oftwenty-four million dollars ($24,000,000.00) through the GeorgiaDepartment ofTransp01tation fi'om the Congestion Mitigation and Air Quality ImprovementProgram (CMAQ) to reduce PM2.5 in the Atlanta nonattainment areathrough the reduction oflocomotive emissions; and
WHEREAS, the Georgia Department ofNatural Resources Board approved eligibility and selection criteria for selecting the locomotive emissionreduction 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 ofSeptember 7, 2012; and
WHEREAS, the CONTRACTOR submitted aproject application thathas been selectedto be funded according to terms and conditions ofthis 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 ofimproving air quality in Georgia; and
WHEREAS, this agreement is 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 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 TransportationEquity Act: ALegacy 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 the low emission technology for the purpose ofreducing air pollution as designated in their project proposal as attached hereto as Exhibit B (the "Project Proposal"). In consideration ofthe mutual promises and te1ms and conditions set forth herein, the Pmties hereto do mutually agree as follows:

2

### 1. Scope ofServices A. 

### The CONTRACTOR will perfonn the tasks described in the Scope ofWork attached hereto as Exhibit A and by this reference made a pati hereof. B. The CONTRACTOR shall petform or contractto petfmm all tasks as described in the Exhibit B, which was submitted September 7, 2012, inresponse 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 intendedto verifY thatthe conditions ofCMAQ 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 auditto assess how grant funding was used for the locomotive emission reduction project. The CONTRACTOR shall provide copies ofprocmement 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) ofa 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% oftheir operating time within the AtlantaPM2.5 urban core nonattaimnent counties, as depicted in Figure 1 on page 8 ofthe 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 ofall locomotives that me removed fi-om the fleet due to damage or inoperability that have been convetted as part ofthis 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

### oftherequired 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 ofthe reports in the e-mail with one in Microsoft Word fonnat and the second in aPDF format. Tite CONTRACTOR shall submit a hard copy ofthe repott upon the Division's request. B. The CONTRACTOR shall promptly repott any credible evidence that aprincipal, employee, agent, CONTRACTOR, subcontractor or otherperson has submitted false claims under the False Claints Act or has committed a criminal or civil violation oflaws pettaining to fi'aud, conflict ofinterest, bribety, gratuity, or similar misconduct involving funds provided under this grant funding.

3. Method ofPayment. 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 ofthis project. In

### the event that the total project cost is less than tenmillion, eight hundred thousand dollars ($10,800,000.00), the Contractor must only provide 30% ofthe 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 CONTRACTORhas fulfilled the minimum inldnd match ofup to 30% at all times. Invoices must be numbered consecutively and submitted qumterly, containing a detailed description ofthe 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 ofall 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, ifthe United States Department ofTransportation or Georgia Department ofTransportation requires the Division to rellun any project funds due to the CONTRACTOR'S failure to satisfactmily complete ar1y pmtion ofthis CONTRACT, the CONTRACTOR shall return to the Division that pmtion ofthe governmental project funds paid as a part of this CONTRACT affected by that failure. 4. Term and Termination. A. 

### Tetm. The "Tetm" ofthis 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 oftins Agreement. B. Tetmination for Cause. If, through any cause other than force majeure, the CONTRACTOR shall fail to fulfill io atimely and proper manner its obligations tmder this Contract, or ifthe CONTRACTOR shall violate any ofthe covenants, agreements, or stipulations ofthis Contract, the DIVISION shall thereupon have the right to tetmioate this Contract by giving written notice to the CONTRACTOR ofsuchtermination and specifYing the effective date thereof, at least 30 days before the effective date ofsuch termination. 

### C. The Division and the CONTRACTORmay renew this agreementpriorto its expiration upon terms, conditions, and compensations agreeable to both Parties. D. CONTRACTOR shall provide the Division thilty (30) days Wiitten notice ofits intent to order the conversion tmits. Provided CONTRACTOR has not yet ordered the conversion UPits, either Pattymay terminate this agreement for convenience in whole or inpmt 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 4244 Intemational Parkway Suite 136 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 ofthis CONTRACT; and (b) It

### will secme from any subcontractor hired to work in a drug-free workplace the following written certification: "As pmt ofthe subcontracting agreement with (Contractor's Nmne), (Subcontractor's Nmne) cettifies to the CONTRACTORthat a drug-fi'ee workplace will be provided for the subcontractor's employees dming the petfmmance ofthis CONTRACTpursuant to pmagraph 7 ofsubsection B ofCode Section 50-24-3." 2) The CONTRACTORmay be suspended, tetminated, or debmred ifit is determined that: (a) The CONTRACTORhas made false cettificationhereinabove; or (b) 

### The CONTRACTOR has violated such certification by failure to cany outthe 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 CONTRACTORpmsum1tto 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 otherprovision ofthis CONTRACT, the CONTRACTORhereto 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 respectto the Services, this CONTRACT shall terminate without further obligation ofthe Division as ofthat 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 thatthe source ofpayment no longer exists
or is insufficient with respect to the services. The detetmination ofthe Division ofthe 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 ofFulton County, Georgia. The Parties agree to submitto the personaljurisdiction 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 severe forms oftrafficking in persons during the period oftime thatthe award is in effect: procme a connnercial sex act dming the period oftime thatthe award is in effect; or use forced labor in the performance oftins contract. G. This CONTRACT constitutes the entire agreement between the Pmties with respectto the subject matter ofthis 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 ofwhatever type, whether written or oral, between the pmties hereto with respect to the subject matter of this CONTRACT. No waiver ofany ofthe provisions ofthis CONTRACT shall be binding unless executed in writing by the Party making the waiver. No waiver ofone provision shall constitute a waiver ofany otherprovision nor shall any be deemed a continuing waiver. H. 

### The headings ofthe paragraphs and subparagraphs hereofare for descriptive pmposes only and do notmodify or qualify any ofthe rights or obligations set fmth in this CONTRACT.

7

### I. The CONTRACTOR will maintain an active and cunentregistration in the Central ContractorRegistration (www.ccr.gov) during this project. 

### J. Time is ofthe 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, ifit expends $500,000 or more intotal Federal funds in any fiscal year. Within nine months after the end ofa 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 workperformed 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 ofthe Division that are cmTently applicable
or become applicable during the term ofthis CONTRACT.

6. Georgia Secmity and Immigration Compliance Act of2006. A. 

### Pursuantto 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 ofLabor Rule 300-10-1-.02 are conditions ofthis CONTRACT. The CONTRACTORhereby 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 ofall new employees; and by executing any affidavits required by the mles and regulations issued by the Georgia Depmtment ofLabor set fmth at mle 300-10-1-.01**~f** 

### seq. The CONTRACTOR'S fully executed affidavitis 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 ofany 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 ofa grant fi'om the Congestion Mitigation and Air Quality Improvement (CMAQ) progrmn. A 

### No appropriated funds may be expended bythe recipient ofa Federal contract, grant, loan, or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee ofany agency, aMember ofCongress, an officer or employee ofCongress, or an employee ofaMember ofCongress in cmmection with any ofthe following covered Federal actions: the awarding ofany Federal contract, the maldng 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. 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 ofthis section. C. Each person who requests orreceives from an agency a Federal contract, grant, loan, or a cooperative agreement shall file with that agency a disclosure form ifsuch 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 ofthis section ifpaid for with appropriated funds. D. 

### The Disclosure ofLobbying 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 inExhibits E and F.

9INWITNESS WHEREOF, the Division and the CONTRACTORhave executed this CONTRACT to be given effect as ofthe date first above written.

ATTEST:

ATTEST:


### ClAJ\.L\ 

# 0.**(L);i~b<Li·CJC**..

10 Department ofNatural 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 ofWorkfor Switch-DutyLocomotive Conversions 

### in Atlanta, Georgia Scope ofWork 

### Upon execution ofthe contract and continuing through 24 months, unless tenninated early under provisions ofagreement, Contractor will pmfmm tasks as described in ExhibitBto reduce emissions fi·om locomotives used for switching in Atlanta for purposes ofimproving air quality in Georgia. These tasks include: A. 

### Within45 days ofexecution ofagreement, 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" paragraphtherein ofExhibit 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 leastten years and operate the locomotives at least 80% oftheir operating time in the AtlantaPM2.5 urban core nonattainment counties, as depicted in Figure 

### I on page 8 ofthe July 

### 13, 2012 Request for Applications unless the locomotive is damaged beyond repair or becomes permanently inoperable. The contractor shall infmm the Division ofall locomotives that are conve1ted as pmt ofthis 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 ofWork have been completed other than submission ofthe 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 convetted locomotive will include: (1) (2) (3) 

### (4) An 

### initial report before the locomotive is con vetted, Areport within one month after completion ofthe conversion(s), Areport each 6months for the first two years ofoperation ofthe convetted locomotive (within one month ofcompleting the six-monthperiod) and· Arepmt once per yem· for the remaining period ofcommitment (within one month ofcompleting the year period). The Contractor shall sub1nit repmts to the Divisionby electronic mail (e-mail) and shall provide two copies ofthe 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 ahard copy ofthe 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 convetted/replaced. (2) Post conversionreport: a. A description ofexpected emission levels based onthe equipment installed. b. Certification/assurance that the equipment was properly installed and is in working condition and confitmation ofpropermaintenance oflocomotives and conversion equipment. c. A description ofthe provisions that ensure enforcement ofwananty claims against vendors ifproblems arise. d. Ifthe proposed time for completing the conversion is exceeded, provide a description and explanation ofthe delay. (3) Six months descriptive operationreports (fourrepmts; one each six months for the first two years ofoperation). 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 ofoperating patterns, including confinnation ofthe use ofthe convetted locomotives in the designated areas during the reporting period. iii. Cettificationlassurance ofproper operation and maintenance ofthe locomotive and emissions control equipment. b. In the event oftracking system failure, Contractor will provide the infmmation gathered, averaged over the length ofthe repmting peliod. ( 4) Annual normal operation reports (beginaing in year three): a. Activity, emissions, and estinmted fuel use infmmation. b. Description or confitmation ofoperating patterns, including confitmation ofthe use ofthe converted locomotives in the designated areas during the reporting period. c. Certification/assurance ofproper operation and maintenance ofthe 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 oftime and must detail the cause. Ifthe 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 inthe July 

### 13, 2012 Request for Applications, the provisions in this Scope ofWork 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 mustbe retumed to the Division ifContractor fails to complete the conversion ofthe locomotive(s).
G. Within 30 days after completing all projecttasks as described in the Contractor's project schedule m1d after stmtup ofthe six convetted locomotives, butno later thm1 twenty-fom (24) months after the effective date ofthis contract, the Contractor shall submit a Post Conversion SUlllUlmy repmtthat includes the overall project description, final pictures of the locomotives, verification that the provisions oftins CONTRACT have been met, success stories related to this project, shmtcomings or obstacles that hadto 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 ofthe 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 ofthe repmt upon the Division's request.
H. 

### Contract funds will cover up to 70% ofthe total locomotive conversion cost and will be distributed to the Contractor incrementally (notmore than once per annual**qumte1~** 

### following completion ofconversion task(s), providedthe match has been satisfied for the incremental distTibution. l 

### The Contractor shall only invoice the Division for expenses eligible for award funding. As pmt ofthe invoice, the Contractor shall cettify each task thathas been completed m1d provide picture updates ofm1y significm1t visible progress. Upon completion ofthe 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, providedthat 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 ofPayment section ofcontract. 

### J. The Contractor shall only invoice the Division for eligible expense resulting fi·om the locomotive conversions as pmt ofcompleting 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 offive 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 ProjectProposal and Supplemental Material

CSX application and additional supplied information
a. Proposal b. Requested supplemental information
c. Emission factor clarification d. Comparison ofthe proposed technology with Gensel locomotives.. ' I. 

### Locomotive Conversions in Atlanta, Georgia GA Environmental Protection Division · Air Protection Branch



### CSX TRANSPORTATION, JfNC. 

### CMAQ LOWEMISSIONLOCOMOTIVE REPOWER PROPOSAL

SUBMITTED: SEPTEMBER 7, 2012



# .•

, 

### .. ,,, 

### . .,.. . '''· -'-:·'

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

### ,_ -CSXT Locomotive Repower 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 gerhardstein(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 ofconversions 6 .**r-~----------------------------------~** Total funding requested $ 7.56 million**r-------------------------------------~**

Total matchproposed $ 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 ofmy knowledge that the information provided in this application is accurate. I agree that all ofthe minimum requirements have been or will be met. Additionally, Iunderstand 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,XTLocomotive 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 inFigure 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 74Jlll45 8220* s\vitching 16-645E3C

EMD 16-645E3M 77A21048 Bowl 8255* slvitching the next 

### twci years. Switch locomotives atthe Tilford Yard provide multiple services for

,. incoming/outgoing trains including various types ofoperation such as hump switching, bowl building, yard, and local switcl1ing. Table llists the locomotives located atTilford Yard for wl1ich funding is beingrequested.

Figure 1: Proximity ofCSXT Tilford Railyard to Fire Station #8

4

--- - ·--.---

### CSXT Locomotive Repower 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 meetEPA 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, orlocal """'"""r service. lYP'"""Y, CSXT varies the use oflocomotives as necessary and individual locomotives are not assigned to one specific duty cycle within the yard. [2]- This estimate ofoperation is within the physical boundaries ofTilford and Union City yards. Approximately 20% ofthelocomotive 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 ofoperation. 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{ 3,000llp.

6 Tier 3

Tier 3

Tier 3

Tier3:

Tier3

Tier3

-·---··--**·~--·----·-·--··--·-----------·---··--**

### CSXT Locomotive Repower Conversions in Atlanta, Georgia
EmissionReduction· 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 of0.42 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] I0 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 ofoperation. Actual fuel use may be higher or lower. [2]-Baseline emissions are calculated using emission factors representative ofunregulated 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 ofoperation (Le., going fi:om a**Pre~l9(3/Unregulated** to Tier 3 locomOtive).

. [4] 4 Forthese 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.

1EPA Regulatory Impact Analysis: Control ofEmissions of Air Pol!ution 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 Repower 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 ofthe total cost effectiveness ofPM 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
.•AdditionalEmission Reductions or OtherBenefits ''·In addition to 70-82% reductions ofPM and 30% reductions ofNOx, implementing low emission locomotiverepowers is also estimated toreduce annual greenhouse gas, specifically carbon dioxide (C02) emissions by approximately 270 tons annually. Project Commitment In accordance with GA EPD requirements, CSXT will committo operatingthe respective locomotives in the Tilford and Union City yards for a minimum often (10) years from the date ofapplication. As part ofthis commitinent, CSXT will only operate the locomotives outside the AtlantaPM2.5 nonattainment area for required maintenance and service activities- currently estimated at 20% oftotal annual operation. CSXT needs to maintain a level offlexibility to continue to provide their customers with the level ofservice to which they are accustomed. This includes the flexibility to move the repowered locomotives in-between different Atlantayards 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 oflocomotive operation within the AtlantaPM2.5 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 ofapplication, 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 manufacturerthat indicates the baseline Tier 0 engine has lower NOx emission performance (12.4 g/bhp-hr) than allowable bythe 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 ofthe "Regulatory Impact Analysis: Control of Emissions ofAir 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 ofthe 1997 Regulatory Support Document from EPA, it appears that only 3 switch locomotives were tested in developing the emission factor data. Because ofthe small sample size and lack of information on the test configurations (e.g., rebuilt vs.**-------·~~~**

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TO: CC:
:fROM: DATE: RE: 

# MEMO
Ms. Michelle Bergin, PhD JimmyJohnston, Carl Gerhardstein, Kathryn Barney, Dave Seamonds PaulMoynihan November 1, 2012 Requestfor Comparison- Single- v. Multi-EngineLocomotives GAEPD'sRequestfor Applications (RFA) for the RailroadRelatedEmissionReductions GrantProgramfor Switch-Duty Locomotive ConversionsinAtlanta, GA
This memo was preparedbased onyour requestto review a comparison ofa single engine locomotive versus multi enginelocomotive offerings as itrelates toreducing diesel particulatematter (DPM). CSXT recentlysubmitted an application toGAEPD's RFA for conversion ofsix (6) switch-dutylocomotives in theAtlanta area, utilizing a single-engine lowemissionlocomotive configuration. The existing andproposed locomotives are all3,000 horsepower, based on the switch-dutyneeds ofCSliT's yard andthenewly convertedlocomotives will utilize current state-of-the-arttechnology offeredbylocomotive manufacturers. Sincereceiving the. application, GA EPD has requested a comparison ofCSXT's singleengine request versus thelatest multi-engine gensetlocomotive offerings. Currently there areno multi-engine gensetlocomotives rated at 3,00o horsepower. Thus, the following analysis assumes that CSXT would utilize two (2) multi-enginelocomotives (one 3-engiue and one 2-engine) in order to provide equivalent tractive force currently achievedbya single-engine 3,000 horsepower locomotive. This comparison is only beingprovided attherequest of GA EPD, as a hypothetical exercise as CSXT's operation requirements do·not supportthe use oftwo multi-enginelocomotives intandem (i.e., physicallyTequiringtwo locomotives.to perform the work ofone). Because ofthis, MJB&A, on behalfofCSXTwould like to clarify that CSXT is not willing to consider such a scenario even iffunding weremade available byEPD. as tl1e multi-enginegenset locomotives are _not a functionally viable alternativefor CSXT operations inAtlanta. As presented inthe application submittedby CSXT in early September, Table.1 shows an estimate ofemission reductions from converting anunregulated 3,000 hp locomotive to a 3,000 hp single-engine locomotivecertified to the currentEPA engine emission standards.

M.J. Bradley &Associates LLC 

### IStrategic Environmellt[tfConsu1ting Page 

### /1As shown, the utilization oftwo (2) multi-engine locomotives is estimated to provide 4.2 tons ofPM reductions over a 10 year anticipated useful life. Ofsignificance, however, is that the combinedmulti-engine locomotives are expected to burn approximately 20,000 gallons more fuel than an existing unregulatedlocomotive andmore than 24,000 gallons when comparedto a newly converted single-engine genset locomotive. Comparing the benefits ofconverting an existing pre-1973 orunregulated locomotive to those achieved by deploying two multi-engine gensetlocomotives shows that the estimated annual emission reductions ofDPM are equivalent at 0.42 tons peryear. On a cost-effectivenessbasis, the single-engine gensetlocomotive will provide much betterdollar perton figures. Table4 shows a comparison ofcost-effectiveness for the single engine andfor multi-engine offerings on a PM basis. T bl

a e4'·C t E:ffi ti OS-- ec veness 

## comparison- 

## s· I IllgJe VS. M lti u 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 forMulti-Engme assumes thepurchase of two (2) gensetlocomotwes and is based on the bestavailablepricing informationavailable to CSXTji·om recent (2010-2011) conversionprojects.

Because theDPM emission reductions ofboth options are estimated to be equivalent and the single-engine unit is more cost-effective, CSXTbelieves that funding a single-engine locomotive conversionisjust as beneficialto 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-RelatedEmissionReductions Grant Program 

### Switd1-Duty Locomotive C01mven1ions lillll 

### AHantm, Georgia
Released July 13, 2012 Application due by September 7, 2012 (within 8 weeks afterrelease) GA Environmental Protection ][Jiivishm AirProtection Jlllram:h Planning and SupportProgram

The Georgia Environmental Protection Division (EPD) is requestingproposals 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 inthe marketplace to describe a modem locomotive that meets EPA's stringent standaTds and can employ one or more engines. 'Switch-duties' include movingrailcars 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 inFulton County (Figures 1 and 2). Up to $36 million infunding has been awarded for these conversions bythe Georgia Department of Transpmiation to the GA EPD throughthe 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% ofthe cost ofconve1iing older, more emissive locomotives cunentlyperforming switch duties to lower emitting locomotives, requiring a minimum 

### 30% match. Conversions must be completed within24 months ofthe execution offunding contracts, whichmaybe written for incremental funding and time periods and can combine fimds fi·om the two fiscal years.
ll'li·oject 

### Goals The major goals ofthis project are (1) to protect human health in the Atlanta area by reducing exposme to diesel combustion emissions and subsequent secondary airpollutants, especially PM2

### .s (pmiiculate matter of2.5 microns in diameter and smallel), and (2) to facilitate attainment and maintenance ofthe National Ambient Air Quality StandaTds (NAAQS). The development ofagreements associated with this ptoject will incorporate any guidance received from the US EPA regarding necessary actions to ensurethe applicability ofthe emissionreductions resulting from this project to the AtlantaPM2

### .s State Implementation Plan (SIP). The SIP is submitted to the US EPA bythe State ofGeorgiato demonstrate its air quality managementplanto attain and maintain the NAAQS.

-···---------·--·---**-~-··~---** ·------ ..**~~ -----~----------r-------.** llocomotive to be converted/replaced, (c) the estimated length of remaining service ofthe locomotive to be converted/replaced, (d) the emission levels ofthe con vetted locomotive, (e) the proposed amount oftime ofoperation and average duty cycle ofthe converted locomotive (possibly the same as (b)), and (f) thenumber ofyears (minimum 10) thatthe converted locomotive will remain inthe AtlantaUrban Core area. When calculating cost effectiveness, onlyfunds to be awarded under this grant will be included.- 50 points
EPD mayfund individual projects less thanthe requested amounts ifthe total amount ofthe proposals exceeds available funds as follows: Ifone proposal is received that meets allproject criteria, that proposal wiiibe funded at 100% ofthe available funds. Iftwo eligible proposals are received, the 2nd highestscoringproposal will be funded atthe lower ofa) the amount ofthe proposal or b) a percentage ofthe available funds determined as follows: percent ofavailable funds awarded= 20% +(total score/4)% withtl1e remainder awarded to the highest scoringproposal. Ifthree or more eligible proposals are received, the 3rdhighest scoring proposal willbe funded at the lower ofa) the amount of theproposal or b) 10% ofavailable funds, the 2nd highest scoring proposal will be funded at a lower of a) the amount ofthe proposal or b) a percentage ofthe available :fhnds determined as follows: percent ofavailable funds awarded= 15% +(total score/4)%, and the remainder awarded to the highest scoring proposal.
Ifthe amount offunding provided to individual projects is less than thatproject's respective proposal, EPD may specifywhich switcher engines are to be convetied based on criteria 2 listed above for each switcher convetted. Iftwo or moreproposals are received, EPD may adjust the amount offunding awarded to the 2nd and, ifapplicable, 3rdhighest scoring proposal so that the amount offunding awarded plus the amount ofmatch moneyprovided bythe grant recipient is sufficient for the complete conversion ofthe number oflocomotives included in the award.

- Penalties and/or contingencies for notmeeting the terms ofthe contract will be specified in the funding contractin accordance with applicable requirements.
In the event thatthe applicant is offered funding less than the applicant proposed, and the applicant determines in its sole discretionthat such allocation offunding is inadequate for its budgeting and fimince purposes, then the applicantmay withdraw its application in whole andreject any offer of funds withoutrecourse fi:om EPD. In addition, inthe event the fimding contract offered to the

. applicant includes provisions orinco!Jlorates documents that containprovisions withwhich the grantee does not agree, then grantee may withdrawits application in whole and reject any offered funds withoutrecourse from EPD. 

### Reporting Requirements Reporting requirements for each converted locomotive will include: (1) an initialreport before the locomotive is convetied, (2) a report within one month after completion ofthe conversion(s), (3) a report each 6 months for the first two years ofoperation ofthe converted locomotive, and (4) a repmt once per year for the remaining period ofcommitment.



### T-------

..-----cycles are consideredtoo enatic to estimate, please describe the rarige ofpossible cycles for the specificrailyard with data supporting this assertioninthe grant application (see Application Components section 2. ii(h) below). This activity and fuel use infmmationis important for determiningifand howthe main goals ofthis air quality improvement program are met Becausethe 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 estimateto location and locomotive, evenifapproximate, will be a muchbetterindicator ofhistoric emission levels and achieved impmvementfi'om this program. In addition, this information will aid in supporting the use ofequipment and technologies that result in actuai in,use emission reductions with reliable servicerather than only suppo1ting the use ofequipmentthat will only reduce emissions under default duty,cycle usepattems, and will help prevent funding equipmentthat does notmeetreal-world operational requirements.
Description or Continuation ofOperating Pattems All repmts beginning withthe first 6"monthreport ofthe first year ofthe con vetted locomotives operation, must confinnthe use ofthe conve1ted locomotives inthe designated areas dming the reporting period unless the locomotive became inoperable and was unable to be repaired, whichmust be reported within 60 business days after the final determination bythelocomotive owner (Grantee). Therepmtmust explain ifthere have been sigxrificant perfotmance orunanticipated maintenance difficulties. · "Designated areas" can include both the 80% operating time within a designated distance ofassigned railyard(s) and up to 20% time that caninclude pre,detennined standard maintenance or support locations outside the designated distance as well as outside operations. While the pre,detmmined standard maintenance or suppmtlocations are allocated to the 20% 'outofarea' operation time, they do notneed to be detailed inreports. Please listtheproposed designated activities/locations in the grant application, specifying both in and out ofarea 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 previousreports.

Ce1tificationl Assurance ofProper Equipment Operation and Maintenance All reports mustinclude verification/assurance that the locomotives are being properly maintained in accordance withthe manufacturer's specifications and are being operated in accordance with the terms ofthe funding contract. This verification/assurance maybe inthe fonn ofa representation by grantee. The report must detail iftmexpected maintenance or repair beyond nmmal operation expectations was required that caused the locomotive to be removed from service beyondnormal maintenance requirements (excluding travel time to and from repair shops).
All repmis will be subject to review bythe EPD, and any questions, reasonable requests for data, or concems mustbe addressed before theprojectprogresses. Any deviation from contractual agreements must be repmted.



# ---**-~- -------~---**  

# ·---- ------ --·----s--· -·--·-(h) Description ofnonnal and occasional operation cycles/duties, with a description of howthe duty cycle (weekday/weekend, seasonal) and actual fuel use will be measured or calculated and reported. Do notuse the EPA default switch locomotive duty cycle and ammal switch fuel use estimates. Ifmore than one measurement/calculation option is available, describe options with the benefits and detriments ofusing each method. (i) 

### Kit orprocedure for conversion (description ofequipment and process, particularly as related to emissions reduction such as use ofTier 4 nonroad engines or diesel patticulate filters.) · 

### 0) Cost ofconversion, including labor and materials (k) Yem·s ofproposed commitment to specified railyard(s) or areas 

### (I) Proposedpercent ofannual operating time cornn1itment to specifiedrailyard(s) or areas (m)Estimate ofatmual fuel use before and after conversion (may be interms of percentage ofexpected reduction or direct measurement). Iffunded, more specific fuel use measurements mayberequired. Please give an explanation ofhowthe cunent estimate is made and what canbe done inthe future. (n) Calculated estimate ofatmual NOx and PM2.5 emissions before and after conversion (o) DesCJiption ofm1y additional emissionreductions or other benefits. iii) Timeline detailing the schedule and maximum time period needed for convertingthe locomotive(s), including when locomotive(s) will beremoved, when and ifreplacements are brought in and removed, and when the locomotive will be completed and inuse. Ifthe timeline is dependent onnumber ofconversions awarded, provide other potential timelines. Detail iflower than average emitting replacements can/will be utilized. 3. Please list any other comments, information, or descriptions that may be useful in analysis ofthis proposal, including a description ofthe activity and fuel use datayou can provide inthe required reports. Please submitthe application electronically in either MS Word or as anAdobe pdf, and send a signed hardcopy through cettified ortracked 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 selection are notreimbursable and arc the responsibility ofthe applicant.
Formore infonnation and/orto submitproposals, please contact: Michelle Bergin, PhD GA Enviromnental ProtectionDivision AirProtection 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 ProtectionDivision 

### AirProtection Branch



### ·Appiicllltiorn CoveJr Page Company Name**L---~~--~--~----~------------------~** 

### ContactJ[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£ t' AddT I 

### C t t ( f I) 

### orma ron- IIOna on ac opnona Name Mailing Address

Phone Number E-mail 

### ApplicatiOn Summary Total number ofconversions**r---------------------------------------~** Total fimding requested**~--------------------------------------~**

· Total matchproposed**~--------------------------------------~** Total project cost**L---------------------------------------~** 

### Anthorizted Official

I certifY to the best ofmyknowledge that the inf01mation provided in this application is accurate. I agree that all ofthe 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 ofLabor setforth atrule 300-

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### Contr:tctor Affid:tvit undex· O;C.G.A. 

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### 13-10-91' stating affirmatively that the individual, firm orcorporation which is engaged in thephysical performance ofservices.on hehalfof(name ofpublic employer) has registered with, 

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### Verify, orimy 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 throughoutthe contract period and the undersigned contractor will contractfor the physical**performan~e** 

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My'Commission Expires:ExhibitE Tl1e Disclosure ofLobbyingActivities (Disclosure form ofany Lobbying usingNonappropriated Fnnds) See Attaclnnent (For Electronic Copy, Double ClickBelow)

Adobe Acrobat

DocumentDISCLOSURE 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

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# [J§l•· bid/offer/application

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# [ftl a. initial filing

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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 ifknown:

--- CSX 'fi·ansportation 500 Water Street Jacksonville, FL 32202 Congressional District, ifknown: Congressional District, ifknown: 6. Federal Department/Agency: 7. Federal Program Name/Description: US HOT- FHWA Ci\IIAQ Funds to Georgia nepartment CFDA Number, ifapplicable: of Natural Resources**-~** B. Federal Action Number, if0nown: 9. Award Amount, ifknown: $ 

### 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): 

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# I Authorized for local Reproduction Slnndard Form LLL (Rev. 412012ExhibitF

Certification Regarding Lobbying

See Attachment (For Electronic Copy, Double Click Below)

Adobe Acrobat

Docun12nt49 CFR l'art20- Appendix A
CERTIFICATION REGARDING LOBBYING
Certification For Contracts, Grants, Loans, And Cooperative Agreements The undersigned certif1cs, to the best ofhis 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 ofan agency, a rvicmber ofCongress, an ol'ficcr or employee ofCongress, or an emp!oyc·c of a ivlembcr ofCongress in connection with the awarding ofany 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 ofCongress, t111 officer or employee ofCongress

.. or an employee of'n IVlcmber of Congress in connection with lhis Federal contract,**grant~** !onn, orcooperative 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 ofthis 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 eertification shaII be subject to a civil penal!y ofnot 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**_________. ____·--·---· Applicant/0rganization**~~1c ~.:** .._Reinke,**Y.e_:_Tct~~~-gisl<!!l..<:?.l.!,**..... Typed Name nncl 'fitle

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