### 3501 - 1 (Adopted February 3, 2006)

RULE 3501 RECORDKEEPING FO R LOCOMOTIVE IDLING

(a) Purpose The purpose of this rule is to record idling events to iden tify opportunities for reducing idling emissions and to assi st in quantifying idling emissions.

(b) Applicability This rule shall apply to Class I freight ra ilroads and switching and terminal freight railroads that operate locomotives in the District.

(c) Definitions (1) ALTERNATIVE TECHNOLOGY means a locomotive propulsion strategy by which NOx and diesel PM emission reductions of 85 percent or greater, on a gram per brake hors epower-hour (g/bhp-hr) basis, as compared to emission levels for conv entional diesel locomotives operating on a comparable duty cycle (switch or line-haul), can be achieved and verified. Strategies incl ude battery dominant hybr id systems with diesel internal combustion engines, locomotiv e motive power fueled with natural gas, propane, ethanol, methanol, hydroge n, electricity, fuel cells, advanced technologies that do not rely on diesel fuel, and any of these fuels used in
combination with each other or in combination with non-diesel fuel. (2) ANTI-IDLING DEVICE means a device installed on a diesel locomotive designed to automatically shut-off the main diesel internal combustion engine used for locomotive motive power after a specified time period when specified parameters (e.g., e ngine water temperature, ambient temperature, battery charge, railcar br ake pressure, etc.) are at acceptable levels, and then automatically restart the engine when parameters are no longer at acceptable levels. (3) CLASS I FREIGHT RAILROAD means a Class I railroad, as classified by the Surface Transportation Board in 49 CFR Part 1201 Subpart A, that primarily transports freigh t rather than passengers. (4) DISTRICT means the South Coast Ai r Quality Management District’s geographical area of jurisdiction, consisting of the four-county South
Coast Air Basin and the Riverside C ounty portions of th e Salton Sea AirRule 3501 (cont.) (Adopted February 3, 2006)



### 3501 - 2 Basin (SSAB) and the Mojave Desert Air Basin (MDAB). The South Coast Air Basin, which is a subarea of the District, is bounded by the
Pacific Ocean to the west and the San Gabriel, San Bernardino, and San
Jacinto Mountains to the north and east and includes all of Orange County and the non-desert portions of Los Angeles, Riverside, and San
Bernardino counties. The Riversid e County portion of the SSAB and MDAB is bounded by the San Jacinto M ountains in the west and the Palo Verde Valley in the east. (5) ENGAGED means the condition in whic h a locomotive’s controls (e.g., reverser handle, throttle handle, brak e handle, etc.) are set in such a way while idling that an installed anti-i dling device can auto matically shut-off
and restart the main diesel internal combustion engine used for locomotive motive power. (6) FOREIGN POWER means a locomotive that is not owned or leased by the operator but operated in the District by the operator. (7) IDLE OR IDLING OR IDLING EV ENT means the operation of a locomotive’s diesel internal combustion engine(s) used for locomotive motive power during which th e engine is not used to move the locomotive. It shall not be considered idling when the engine is operating while the locomotive is being slowed or moved by gravity. (8) INTERDISTRICT LOCOMOTIVE means, for the purpose of this rule, a diesel locomotive that is not foreign power that operates within the District for any period of time, and is not an intradistrict locomotive. (9) INTRADISTRICT LOCOMOTIVE means, for the purpose of this rule, a diesel locomotive that is not foreign power that operates within the District for which at least 90 per cent of its annual fuel consumption, annual hours of operation, or annual rail miles traveled occur within the
District. (10) LOCOMOTIVE means, for the purpose of this rule, a self-propelled piece of on-track equipment designed for movi ng or propelling ra ilroad cars that are designed to carry freight, passe ngers or other equipment, but which itself is not designed or intended to carry freight, passengers (other than those operating the locomotive) or other equipment. The following equipment is not a locomotive: equi pment designed for operation both on highways and rails; specialized rail road equipment for maintenance, construction, post-accident recovery of equipment, or repairs; and vehiclesRule 3501 (cont.) (Adopted February 3, 2006)



### 3501 - 3 propelled by engines with rated hors epower of less than 750 kW (1006 hp). (11) LOCOMOTIVE IDENTIFIER mean s a numeric or alphanumeric sequence that is used by a railroad to uniquely identify individual
locomotives such as the road numbe r displayed on the front, back and
sides of locomotive exteriors. (12) OPERATOR means, for the purpose of th is rule, a railroad responsible for operations associated with movement of freight within the District. (13) RAILROAD means, for the purpose of th is rule, a commercial entity that operates locomotives to primarily transport freight. (14) RESPONSIBLE COMPANY OFFICIAL means, for the purpose of this rule, a president, chief executive o fficer, secretary, treasurer, chief financial officer, head of operations, or vice president of a railroad in charge of a principal business functi on, or any other person who performs similar policy or decision-making func tions for the railroad, as approved by the Executive Officer. (15) SWITCHING AND TERMINAL RAILROAD means a non-Class I railroad engaged primarily in switchi ng and/or terminal services for other freight railroads. (16) TAMPER OR TAMPERED WITH means for the purpose of this rule, the modification or disabling of an anti- idling device that would circumvent its normal operation such that even if specified parameters (e.g. engine water temperature, ambient temperat ure, battery charge, railcar brake pressure, etc.) are at acce ptable levels, the main diesel internal combustion engine used for locomotive motive pow er will not automatically shut-off after a specified time period. (17) UNCONTROLLED INTERDISTRICT LOCOMOTIVE FLEET means the portion of the interdistrict locomo tive fleet that is not equipped with either anti-idling devices or is not operating exclusively using an alternative technology as of Februa ry 3, 2006, including any locomotives added to the interdistrict locomotive fleet after February 3, 2006 that are not equipped with anti-idling devices or are not operating exclusively with alternative technologies. (18) UNCONTROLLED INTRADISTRICT LOCOMOTIVE FLEET means the portion of the intradistrict locomo tive fleet that is not equipped with either anti-idling devices or is not operating exclusively using anRule 3501 (cont.) (Adopted February 3, 2006)



### 3501 - 4 alternative technology as of Februa ry 3, 2006, including any locomotives added to the intradistrict locomotive fleet after February 3, 2006 that are not equipped with anti-idling devices or are not operating exclusively with alternative technologies.

(d) Recordkeeping Requirements (1) Effective August 3, 2006, the operat or shall record the following information for each idling event of 30 minutes or more: (A) A description of the id ling event, including: (i) Name of locomotive operator and name of owner, if different; and (ii) Locomotive identifier; and (iii) Specific location of idling even t, including spec ification of milepost information; and (iv) Date and time of idling event onset; and (v) Duration of idling event. (B) For idling events of more than tw o hours an operator shall provide an explanation of the reason for the idling event. (2) An operator required to conduct reco rdkeeping pursuant to paragraph (d)(1) shall maintain for a period of not less than tw o years and make
available to the Executive Officer within this period, upon request, all information necessary to verify and substantiate records addressed under paragraph (d)(1), such as dispatch center files, locomotive operational logs, locomotive position information from any electronic system that can be used to verify location, mainte nance and repair records, and any methods or techniques identified under subparagraph (e)(2)(L). (3) An operator exempt from paragraph (d )(1) due to the installation of antiidling devices shall maintain for a pe riod of not less than two years from the date of installation of the anti-idling device and make available to the Executive Officer within this pe riod, upon request, all information necessary to verify the installation ofanti-idling devices and that the antiidling devices were set at 15 minutes or less and were engaged when idling. This information may include records from anti-idling device
event recorders.Rule 3501 (cont.) (Adopted February 3, 2006)



### 3501 - 5 (e) Reporting Requirements (1) Beginning the first Wednesday following August 3, 2006, and each Wednesday thereafter, the operator sh all submit the records specified in paragraph (d)(1) to the Executive Offi cer for each recorded idling event that occurred over the seven day period terminating on the preceding Friday. (2) On or before April 4, 2006, and every year thereafter, the operator shall submit an annual report to the Executive Officer that includes for each
interdistrict and intradistrict locomotiv e operated in the District within the past calendar year, if not previously reported or if different from the most recently submitted annual report, the following information: (A) locomotive identifier and whether th e locomotive is an interdistrict or intradistrict locomotive; and (B) a description of the type of serv ice the locomotive performed (e.g., line haul service, local service, yard switching, road switching);
and (C) number of engines; and (D) manufacturer, model classificati on, year(s) of manufacture and repower, if applicable, and EPA em issions tier or other measure of locomotive emissions for EPA pre-Tier 0 locomotives, when available; and (E) engine horsepower for the year(s) of manufacture (and repower, if applicable); and (F) whether equipped with an anti-idli ng device, and if so, with the following additional information: (i) description of the anti-i dling device, including the manufacturer, model number, and year of installation; and (ii) written statement specifying whether the anti-idling device is set at 15 minutes or less, is engaged when idling, and will not be tampered with; and (G) whether operated exclusively usi ng an alternative technology; and (H) description of any emi ssion control devices; and (I) statement whether or not the loco motive is equipped with a Global Positioning System (GPS); andRule 3501 (cont.) (Adopted February 3, 2006)



### 3501 - 6 (J) locomotive identifiers of locomotiv es that are no longer operated
in the District that were previously reported; and (K) a timetable, or similar document, showing operator’s rail routes in the District, including milepost designations for stations and sidings; and (L) The method or technique used to record idling event information required pursuant to paragraph (d)(1). (3) All reports shall be submitted electr onically in a format approved by the
Executive Officer. (A) Weekly reports shall be sent as attachments to e-mail messages to the Executive Officer, or an appointed designee. (B) Annual reports may be sent either as e-mail messa ge attachments to the Executive Officer, or an appointed designee, or on storage media (e.g., CD, DVD) mailed via U.S. Mail or delivered by
courier service. (4) All reports shall include the name, titl e and signature of the responsible company official certifying the accuracy of the records submitted.

(f) Alternative Compliance Plan An operator may comply with an Alternat ive Compliance Plan that is submitted to and approved by the Executive Officer, in lieu of complying with the requirements of paragraphs (d)(1), (d)(2), (e)(1), for those fleets covered by its Alternative Compliance Plan. The Altern ative Compliance Plan may apply to an operator’s intradistrict locomotive fleet, interdistrict locomotive fleet, or both. (1) The Alternative Compliance Plan shall be submitted at least 90 days before its intended use, but no later than June 30, 2006 if intended for use for the operator’s intradis trict fleet and not late r than January 1, 2008 if intended for use for only the operator’s interdistrict fleet. (2) The operator shall comply with reco rdkeeping and reporting requirements pursuant to paragraphs (d)(1), (d)(2), and (e)(1) until the Executive Officer approves the Alternative Compliance Plan. (3) The Alternative Compliance Plan shal l contain the following information, as applicable: (A) A schedule to equip all locomotives in the intradistrict fleet with anti-idling devices or to operate exclusively using alternativeRule 3501 (cont.) (Adopted February 3, 2006)



### 3501 - 7 technologies, or any combination thereof, to meet the following
timelines: (i) 50% of the uncontrolled intradistrict locomotive fleet on or before December 31, 2006; and (ii) 100% of the uncontrolled intradistrict locomotive fleet on or before December 31, 2007. (B) A schedule to equip all locomotives in the interdistrict fleet with anti-idling devices or to operate exclusively using alternative technologies, or any combination thereof, to meet the following
timelines: (i) 50% of the uncontrolled interdistrict locomotive fleet on or before June 30, 2008; and (ii) 100% of the uncontrolled interdistrict locomotive fleet on or before June 30, 2010. (C) Details of the locomotive fleets subject to the Alternative Compliance Plan that include the following: (i) specific locomotive identifier; (ii) total number of locomotives subject to the Plan; and (iii) number of locomotives subject to the Plan to be equipped with anti-idling devices or to begin operating exclusively using alternative technologies; and (iv) projected dates of installing an ti-idling devices or use of alternative technology . (D) If anti-idling devices are to be in stalled, a statement that each antiidling device will be set at 15 minutes or less, will be engaged when idling, and will not be tampered with.

(g) Plan Approval (1) Within 90 days of submittal of an Alternative Compliance Plan, the Executive Officer will approve or di sapprove the Plan. The Executive Officer shall approve the Pl an if it is complete and meets the requirements under subdivision (f). (2) If the use of an alternative technology is requested, the NOx and diesel
PM emissions baseline for the conven tional diesel locomotive shall be based upon the applicable U.S. EPA emissions tier specified in 40 CFR, Part 92, Section 92.8, unle ss the locomotive is manuf actured prior to 1973.Rule 3501 (cont.) (Adopted February 3, 2006)



### 3501 - 8 In that case the operator shall establish baseline emission levels using the U.S. EPA specification for the Tier 0 em issions level, as specified in 40 CFR, Part 92, Section 92.8.

(h) Fees and Right of Appeal (1) The Alternative Compliance Plan shall constitute a plan for the purpose of
fees assessed under Rule 306 – Plan Fees. (2) The operator may appeal the disappr oval by the Executive Officer of an Alternative Compliance Plan to the Hearing Board under Rule 216 – Appeals and Rule 221 - Plans. If the Hearing Board denies the appeal, the Alternative Compliance Plan shall be revised, consistent with the findings and rulings by the Hearing Board and resubmitted within 90 days after the
Board’s decision. The revised submitta l shall correct all deficiencies identified by the Hearing Board.

(i) Circumvention The moving of a locomotive for the purpos e of preventing idling for more than the length of time for whic h recordkeeping is require d under paragraph (d)(1) or to prevent an anti-idling device from shutting off a locomotive’s main propulsion engine shall be considered a violation of this rule.

(j) Penalties Failure to comply with any requirement of this rule or any provision of an approved Alternative Compliance Plan will re sult in a separate violation for each locomotive for each day of non-compliance a nd subject to penalties under Health and Safety Code Section 42400 et seq.

(k) Exemptions (1) An operator shall be exempt from the requirements of pa ragraphs (d)(1), (d)(2), and (e)(1) for any locomotive, including foreign power, which is equipped with an anti-idling device that is set at 15 minutes or less, engaged when idling, and not tampered with. This exemption shall be in effect as of the date the locomotive is first operated in the District using the anti-idling device. (2) An operator shall be exempt from the requirements of pa ragraphs (d)(1), (d)(2), and (e)(1) for any locomotive, including foreign power, which is equipped to operate excl usively using an alternative technology. ThisRule 3501 (cont.) (Adopted February 3, 2006)



### 3501 - 9 exemption shall be in effect as of the date the locomotive is first operated in the District using the alternative technology. (3) An operator that submits an Alternative Compliance Plan prepared pursuant to subdivision (f) shall be exempt from recording and reporting idling events pursuant to paragraphs (d)(1), (d)(2), and (e)(1) for the intradistrict and interdistrict locomotive fleets addressed in an approved Alternative Compliance Plan.

(l) Severability If any provision of this rule is held by judicial order to be invalid, or invalid or inapplicable to any person or circumstance, such order shall not affect the validity of the remainder of this rule, or the valid ity or applicability of such provision to other persons or circumstances. In the event any of the exceptions to this rule are held by judicial or der to be invalid, th e persons or circumst ances covered by the exception shall instead be required to comp ly with the remainder of this rule.