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(Adopted February 3, 2006) 

RULE 3501 RECORDKEEPING FOR LOCOMOTIVE IDLING 

(a) Purpose 

The purpose of this rule is to record idling events to identify opportunities for 

reducing idling emissions and to assist in quantifying idling emissions. 

(b) Applicability 

This rule shall apply to Class I freight railroads 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 horsepower-hour (g/bhp-hr) basis, as 

compared to emission levels for conventional diesel locomotives operating 

on a comparable duty cycle (switch or line-haul), can be achieved and 

verified. Strategies include battery dominant hybrid systems with diesel 

internal combustion engines, locomotive motive power fueled with natural 

gas, propane, ethanol, methanol, hydrogen, 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., engine water temperature, ambient 

temperature, battery charge, railcar brake 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 freight rather than passengers. 

(4) DISTRICT means the South Coast Air Quality Management District’s 

geographical area of jurisdiction, consisting of the four-county South 

Coast Air Basin and the Riverside County portions of the Salton Sea Air 
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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 Riverside County portion of the SSAB and 

MDAB is bounded by the San Jacinto Mountains in the west and the Palo 

Verde Valley in the east. 

(5) ENGAGED means the condition in which a locomotive’s controls (e.g., 

reverser handle, throttle handle, brake handle, etc.) are set in such a way 

while idling that an installed anti-idling device can automatically 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 EVENT means the operation of a 

locomotive’s diesel internal combustion engine(s) used for locomotive 

motive power during which the 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 percent 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 moving or propelling railroad cars that 

are designed to carry freight, passengers 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: equipment designed for operation both on 

highways and rails; specialized railroad equipment for maintenance, 

construction, post-accident recovery of equipment, or repairs; and vehicles 
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propelled by engines with rated horsepower of less than 750 kW (1006 

hp). 

(11) LOCOMOTIVE IDENTIFIER means a numeric or alphanumeric 

sequence that is used by a railroad to uniquely identify individual 

locomotives such as the road number displayed on the front, back and 

sides of locomotive exteriors. 

(12) OPERATOR means, for the purpose of this rule, a railroad responsible for 

operations associated with movement of freight within the District. 

(13) RAILROAD means, for the purpose of this 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 officer, secretary, treasurer, chief 

financial officer, head of operations, or vice president of a railroad in 

charge of a principal business function, or any other person who performs 

similar policy or decision-making functions for the railroad, as approved 

by the Executive Officer. 

(15) SWITCHING AND TERMINAL RAILROAD means a non-Class I 

railroad engaged primarily in switching 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 temperature, battery charge, railcar brake 

pressure, etc.) are at acceptable levels, the main diesel internal combustion 

engine used for locomotive motive power will not automatically shut-off 

after a specified time period. 

(17) UNCONTROLLED INTERDISTRICT LOCOMOTIVE FLEET means 

the portion of the interdistrict locomotive fleet that is not equipped with 

either anti-idling devices or is not operating exclusively using an 

alternative technology as of February 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 locomotive fleet that is not equipped with 

either anti-idling devices or is not operating exclusively using an 
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alternative technology as of February 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 operator shall record the following 

information for each idling event of 30 minutes or more: 

(A) A description of the idling event, including: 

(i) Name of locomotive operator and name of owner, if 

different; and 

(ii) Locomotive identifier; and 

(iii) Specific location of idling event, including specification 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 two hours an operator shall provide 

an explanation of the reason for the idling event. 

(2) An operator required to conduct recordkeeping pursuant to paragraph 

(d)(1) shall maintain for a period of not less than two 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, maintenance 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 period 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 period, upon request, all information 

necessary to verify the installation of anti-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. 
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(e) Reporting Requirements 

(1) Beginning the first Wednesday following August 3, 2006, and each 

Wednesday thereafter, the operator shall submit the records specified in 

paragraph (d)(1) to the Executive Officer 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 locomotive 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 the locomotive is an interdistrict 

or intradistrict locomotive; and 

(B) a description of the type of service the locomotive performed (e.g., 

line haul service, local service, yard switching, road switching); 

and 

(C) number of engines; and 

(D) manufacturer, model classification, year(s) of manufacture and 

repower, if applicable, and EPA emissions 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-idling device, and if so, with the 

following additional information: 

(i) description of the anti-idling 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 using an alternative technology; and 

(H) description of any emission control devices; and 

(I) statement whether or not the locomotive is equipped with a Global 

Positioning System (GPS); and 
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(J) locomotive identifiers of locomotives 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 electronically 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 message 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, title and signature of the responsible 

company official certifying the accuracy of the records submitted. 

(f) Alternative Compliance Plan 

An operator may comply with an Alternative 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 Alternative 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 intradistrict fleet and not later than January 1, 2008 if 

intended for use for only the operator’s interdistrict fleet. 

(2) The operator shall comply with recordkeeping 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 shall 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 alternative 
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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 anti-idling devices or use of 

alternative technology . 

(D) If anti-idling devices are to be installed, 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 disapprove the Plan. The Executive 

Officer shall approve the Plan 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 conventional diesel locomotive shall be 

based upon the applicable U.S. EPA emissions tier specified in 40 CFR, 

Part 92, Section 92.8, unless the locomotive is manufactured prior to 1973. 
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In that case the operator shall establish baseline emission levels using the 

U.S. EPA specification for the Tier 0 emissions 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 disapproval 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 submittal shall correct all deficiencies 

identified by the Hearing Board. 

(i) Circumvention 

The moving of a locomotive for the purpose of preventing idling for more than 

the length of time for which recordkeeping is required 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 result in a separate violation for each 

locomotive for each day of non-compliance and subject to penalties under Health 

and Safety Code Section 42400 et seq. 

(k) Exemptions 

(1) An operator shall be exempt from the requirements of paragraphs (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 paragraphs (d)(1), 

(d)(2), and (e)(1) for any locomotive, including foreign power, which is 

equipped to operate exclusively using an alternative technology. This 
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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 validity or applicability of such provision to 

other persons or circumstances. In the event any of the exceptions to this rule are 

held by judicial order to be invalid, the persons or circumstances covered by the 

exception shall instead be required to comply with the remainder of this rule.