May 5, 2014

Mr. C. Douglas Corbin Norfolk Southern Railway Company Mechanical Dept.

- Box 184 1200 Peachtree Street, N. E. Atlanta, Georgia 30309 

## Georgia Department of Natural Resources Environmental Protection Division • Air Protection Branch 4244 International Parkway • Suite 120 • Atlanta • Georgia 30354 404/363-7000 • Fax: 404/363-7100 Judson H. Turner, Director



### RE: CMAQ Railroad•Related Emission Reductions GrantProgram: Switch-Duty Locomotive Conversions in Atlanta, Georgia
Dear Mr. Corbin:
Attached is an exact duplicate ofthe emailed copy ofa contractbetweenNorfolk SouthernRailway Company (NS) and Georgia Department ofNatural Resources, Environmental Protection Division (EPD) for the CMAQ Railroad-Related Emission Reductions Grant Program for Twenty SwitchDuty Locomotive Conversions in Atlanta, Georgia. The amom1t ofthis contract is sixteenmillion four hundred thirty- eight dollars ($16,438,000.00). All invoices are due byNovember 5, 2015.
Ifyou have anyquestions, pleasecall me at404-363-7012. We lookforwaTd to workingwithNS on this impmiantproject. 

# owly,**~.~**

# Lym~

Contract Administrator
KLC
Enclosure: Executed Agreement

c: MarkDuve Michelle Bergin

### CONTRACT Between Georgia DepartmentofNatumlResources, Environmental ProtectionDivision And Norfolk Southern Railway Company For CMAQ Railroad-Related Emission Reductions GrantProgram: Switch-DutyLocomotive Conversions inAtlanta, Georgia

This CONTRACT is made effective as ofthe

# .2-tzjf- day of

# /Jth 

# I 2014. 

### This CONTRACTis by and betweenthe Georgia Department ofNatural Resources, Environmental Protection Division, (the "Division"), and Norfolk SouthernRailway Company (the "CONTRACTOR"). WITNESSETH

WHEREAS, the Division is established as an agency ofState Government**p~suant** 

### to the laws enacted by the Georgia General Assembly; and

WHEREAS, the Division is responsible for programs and activities that are designed to protect and enhance air quality; and

WHEREAS, particulate matter (PM) and nitrogen oxide (NOx) emissions are key 

# . . 

### pollutants that"contributeto poor air quality in Georgia; and

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

WHEREAS, advanced technologies and teclmiques are notrequired but can be voluntarily applied to greatly reduce locomotive emissions and reduce fuel use; andWHEREAS, the Divisionreceived Federal fi.mding in the amount oftwentyfour million dollars ($24,000,000) through the Georgia Department ofTransportation from the Congestion Mitigation and Air Quality Improvement (CMAQ) Program 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 emissionreductionprojects, and the criteria is included inthe EPD Grants Program Chapter 391-3-21-.14; and

WHEREAS, the Division issuedthe request for applications (RFA) onJuly 13,2012, with a due date ofSeptember 7, 2012; and

WHEREAS, the CONTRACTOR submitted a project application thathas been selected to be fi.mded according to terms and conditions ofthis CONTRACT; and

WHEREAS, the Division and the CONTRACTOR desire to cooperatively enterinto a contractual anangement to reduce emissions from locomotives used for switching in Atlanta for thepurposes ofimproving air quality in Georgia using the CMAQ funding; and

WHEREAS, this CONTRACT 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 Intermodal Surface Transportation and Efficiency Act (ISTEA) and Federal TransportationEquity Act for the 21st Century (TEA-21) and continues to be provided under the Safe Accountable Flexible EfficiencyTranspmiationEquity Act: A Legacy for Users (SAFTEA-LU) for projects that improve air quality and congestion.

NOW, THEREFORE, the Division wishes to contract with the CONTRACTORto convert locomotives to the low-emission technology for the purpose ofreducing airpollution as designated inthe CONTRACTOR's ProjectProposal Addendum, Proposal, and Supplemental Materials as attached hereto as ExhibitB (the "Project Proposal"). In consideration ofthe



### 2mutual promises and terms and conditions setforth herein, the Parties hereto do mutually agree
as follows:



### 1. Scope ofServices · A. The CONTRACTOR shall do, perform, and catTy out in a safe, efficient and workmanlike matmer, the following services pertainingto Railroad-Related Emission Reductions in support ofthe Division's cunent and future progratns: The services shall include those items described belowin Section l.B. and included inthe attached Exhibit A: Norfolk Southern Railway, Company Scope of Workfor Switch-Duty Locomotive Conversions inAtlanta, Georgiaproject (collectively, the "Project"). B. The CONTRACTOR shallperform or contractto perform all tasks as described in the Project Proposal. Specifically, the Project shall consist ofthe CONTRACTOR (1) converting 20 Tier 0 orlower locomotives ("Original Locomotives") with at least five (5) years expected remaining life to ten 

### (1 0) mother/slug sets, wherethe "mother"locomotive will meetEPA Tier 3 Switch Duty emission standards orbetter (lower emissions )("Converted Locomotives"), and (2) install locomotive technologyto accommodate an electric layover system
onthe Converted Locomotives and installplug-in stations and associated yat'd infrastructure to operate an electric layover heating system, all as fmiher described intheProject Proposal. C. The CONTRACTOR shall fully cooperate with audits or informationrequests by the Division to the extent such requests at"e intended to verify thatthe conditions ofCMAQ and this CONTRACT are met, including without limitationthe repmi schedule described herein. Upon request, the CONTRACTOR shall cooperate in any govennnental audit to assess how grant funding was used for the Project. The CONTRACTOR shallprovide copies ofprocurement contracts and subcontracts used in cormection with the Project ifrequested bythe Division. The CONTRACTOR shall provide Project-relatedrecords ifrequested bythe Division. The.CONTRACTORand its employees shall fully cooperate with investigation directly relatedto activities andtransactions regarding CMAQ grant project funding for this Project. Notwithstanding any ofthe foregoing, the


### 3CONTRACTOR shall have no obligation to conduct extra-operational studies or investigations orto generate data not generated in the normal course ofbusiness other than what is required for repo1ting in order to provide information requested by the Division under this CONTRACT. Fmther, the Division acknowledges the reporting limitations as set fmth in the ProjectProposal. Theresult(s) ofa governmental audit or investigation shall bemade available to thepublic, but CONTRACTOR may seekto withhold company confidential orbusiness proprietaryinfo1mation from public availability. D. The CONTRACTOR shall maintain the Converted Locomotives sufficiently to
assure each Converted Locomotiveremains operational for a period oftenyears from the date after that Conve1ted Locomotive is retrofitted (the "Operating Period") and shall operate the Converted Locomotives at least 80% ofeach Conve1ted Locomotive's operational hams in and mound the AtlantaTe1minal, as described inthe Project Proposal and in accordance with the attached Exhibit A: Scope ofWork. The Divisionunderstands thatthe CONTRACTOR does not pe1manently assign locomotives to particular yards, and actual locomotives required for switching will vmy from dayto·day dependingupon rail traffic volume and locations, and depending on the availability oflocomotives to meet operational needs. The ten-yearperiod for each Converted Locomotive will start
on the date thatthe Converted Locomotive is placedinto revenue service. The CONTRACTOR shall not sell any Converted Locomotive until the Operating Period has passed orthe Conve1ted Locomotive has been dete1mined to be damaged beyond repair orpermanently inoperable. 

### 2. Reporting. 

### A. The CONTRACTOR shall submitrequiredreports to the Division, as specified in Exhibit A hereto, by electronic mail (e-mail) and shaH provide two copies ofthe reports in the e-mail with one inMicrosoft Word format and the second in a PDF format. The CONTRACTOR shaH submit a hard copy ofthe repo1t upon the Division's request. B. The CONTRACTOR shaH promptlyreport any credible evidence that a principal, employee, agent, sub-contractor, CONTRACTOR, or other person has submitted false claims underthe False Claims Act orhas committed a criminal or civil



### 4violation oflaws pertaining to fraud, conflict ofinterest, bribery, gratuity, or similar misconduct involving funds providedunder this grant ftmdiilg. 

### 3. Method ofPayment. A. The funding provided bythe Division shall not exceed sixteen million, four hundred thirty-eight thousand ($16,438,000.00). The CONTRACTOR shall provide at least sevenmillion, forty-four thousand, eight hundred fifty-eight dollars ($7,044,858.00) in matching funds towards completion and administration ofthe Project. Inthe event that thetotal project cost is less than sixteen million, four hundred thirty-eight thousand dollars ($16,438,000.00), the CONTRACTOR must onlyprovide thirty percent ofthe total project cost in matching funds. B. The CONTRACTORmay invoice the Divisionupon completing any task as detailed inExhibit A and B. The CONTRACTOR shall invoice no more than 70% ofthe total Project expenses to assure the CONTRACTOR has fulfilled the minimum in-kind match ofup to 30% at all times. Invoices must be munbered consecutively and submitted quarterly and contain a detailed description ofthe labor, material, and equipment costs m1d any other expenses incmred. The invoice must explicitly state the eligible matchpaid by the CONTRACTOR for these expenses. C. With each invoice, the CONTRACTOR shall provide anupdated list ofall Project tasks along witl1 itemized expenses incurred, the eligible match portionpaid, any pmiions already paid by the grant, m1d the requested grant distribution. The CONTRACTOR shall prominently display the in-kind match percentage onthe invoice that accounts for the requested distribution and all previous distributions associated withthe Project. D. The CONTRACTORshall return all governmental project funds paid as a pmi of this CONTRACT to the Division ifthe United States Department of Transportation or Georgia Department ofTrm1sportationrequires the Divisionto returnthe project funds due to the CONTRACTOR'S failure to satisfactorily complete anyportion ofthis CONTRACT. 4. Term and Termination.



### 5

### A. Tenn. The "Term" ofthis CONTRACTwill begin on the date noted onpage one (hereinafterrefened to as "EffectiveDate") and continue throughNovember 5, 2015, unless terminated earlier under the provisions ofthis CONTRACT. B. Termination for Cause. If, through any cause otherthanforce majeure, the CONTRACTOR shall fail to fulfill 

### in a timely andproper manner its obligations under this Contract, or ifthe CONTRACTOR shall violate any ofthe covenants, agreements, or stipulations ofthis Contract, the DIVISION shall thereupon have the right to terminate this Contractby giving written notice to the CONTRACTOR ofsuch termination and specifying the effective date thereof, at least 30 days before the effective date ofsuchtermination. C. The Division and the CONTRACTORmay renewthis CONTRACTprior to its expirationuponterms, conditions, and compensations agreeable to both Parties. 

### 5. Additional Te1·ms and Conditions. Additional tenus and conditions governing this CONTRACT are listedbelow. A. The Pmiies will identifY the project as -Norfolk Southern Atlanta, GA Locomotive Conversions and sendwritten communications under this CONTRACT to the respective liaisons atthe addresses as identified below: The Division MichelleBergin, PhD Planning andRegulatory Dev. Unit Georgia EPD, Air Protection Branch 4244 International Parkway Suite 136 Atlanta, GA 30354 michelle.bergin@dm.state.ga.us 404-362-4569

B. Drug-Free Workplace The Contractor C. Douglas Corbin (contracts) and Mm·k F. Duve (teclmical) Norfolk Southern Railway Co. Mechanical Dept.

- Box 184 1200 Peachtree Street NE Atlanta, GA 30309-3579 Doug.Corbin@nscom.com 404-582-6730 Mark.Duve@nscom.com 404-582-6743

I) The CONTRACTORhereby certifies that: (a) A drug-free workplace will beprovided for employees during the performance ofthis CONTRACT; and (b) Itwill secure fiom any subcontractor hired to work in a drug-free workplace the following written ce1iification: "As pmi ofthe subcontracting agreement with (Contractor's Nmne), (Subcontractor's Name) certifies to the CONTRACTORthat a 6drug-free workplace will beprovided for the subcontractor's employees during the performance ofthis CONTRACTpursuant to paragraph 7 ofsubsection B ofCode Section 50-24-3." 2) The CONTRACTORmay be suspended, terminated, or debarred if

### it is determined that: (a) The CONTRACTORhas made false certificationhereinabove; or (b) The CONTRACTORhas violated such certification byfailure to carry out the requirements ofO.C.G.A. 50-24-3; C. 

### Obligations Owed 

### to Third Parties. The CONTRACTOR represents and warrants that all obligations owed to third parties withrespectto the activities contemplated to be 1mde!'takenbythe CONTRACTORpursuant to the CONTRACT are or will be fully satisfied bythe CONTRACTOR so thatthe Division will nothave any obligations withrespect thereto. 

### D. Funding. Notwithstanding any otherprovision ofthis CONTRACT, the CONTRACTORhereto aclmowledges that the Division, as an agency ofthe State ofGeorgia, is prohibited from pledging the State's credit. Inthe event thatthe

source ofpaymentno longer exists or is insufficient withrespect to the Services, this CONTRACT shall terminate without further obligation ofeitherParty as of thatmoment. The Division shall remain obligatedto pay for Services perfmmed and accepted bythe Divisionprior to suchtennination. The DIVISION shall provide notice to the CONTRACTOR as soon as itbecomes aware that the source ofpayment no longer exists or is insufficient with respect to the services. The determination ofthe Division ofthe events stated above shall be conclusive. E.. Any suit broughtto enforce this CONTRACT or to determine any dispute 1mder this CONTRACT may be brought only inthe Superior Comt ofFulton County, Georgia. The Pmties agree to submit to the personaljurisdiction ofthe Superior Court ofFulton Com1ty. F. Trafficking Victims ProtectionAct of2000 Prohibition Statement- The CONTRACTOR will not engage or allow employees, subcontractors, or subcontractor employees to engage 

### in severe forms oftrafficking inpersons dming the period oftime thatthe awm·d is in effect: procure a commercial sex act

7during the period oftime that the award is in effect; or use forced labor inthe performance ofthis contract. G. This CONTRACT constitutes the entire agreement betweenthe Parties with respect to the subjectmatter ofthis CONTRACTand may be altered or amended only by a subsequent written agreement signed by each ofthe Parties hereto. This CONTRACT supersedes all prior agreements, negotiations, and communications ofwhatever type, whetherwritten or oral, between thepmiies hereto withrespect to the subject matter ofthis CONTRACT. No waiver ofany oftheprovisions of this CONTRACT shall be binding unless executed in writing bythe Party making the waiver. No waiver ofone provision shall constitute a waiver ofany other provisionnor shall any be deemed a continuing waiver. H. The headings ofthepm·agraphs and subparagraphs hereofare for descriptive pmposes only and do not modifY or qualify any ofthe rights or obligations set forth inthis CONTRACT. 

### I. The CONTRACTORwill maintain an active and currentregistration inthe Central Contractor Registration (www.ccr.gov) during this project. J. Single Audit Act. In accordance with OMB Circulm· A-133, the recipient hereby agrees to obtain a single audit from anindependent auditor, ifitexpends $500,000

ormore intotal Federal funds in any fiscal year. Within nine months after the end ofa recipient's fiscal year or thirty days after receiving the report from the auditor, the recipient shall submitthe SF-SAC and a Single Audit Repmi Package to theDivision. More information can be found at http://harvester.census.gov/fac/. 

### K. The CONTRACTOR agrees that all work performed under 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 withallrequirements or regulations ofthe Division that m·e currently applicable or become applicable during the term ofthis CONTRACT. 

### 6.

. Georgia Security and 

### Immigration Compliance Act of2006. A. Pursuant to the Georgia Secmity and Immigration Compliance Act of2006, the CONTRACTORm1derstands and agrees that compliance withthe requirements of O.C.G.A. 

### § 13-10-91 and GeorgiaDepmiment ofLabor Rule 300-10-1-.02 are


### 8conditions ofthis CONTRACT. The CONTRACTORhereby wan·ants compliance withthe ImmigrationReform and Control Act of 1986 (IRCA), D.L. 99-603 and the Georgia Security andImmigration Compliance Act, O.C.G.A. 

### § 13-10-90 

### et. seq., byregistering at https://www.visdhs.com/EmployerRegistration and verifying information ofall new employees; and by executing any affidavits required bythe rules andregulations issued by the GeorgiaDepartment ofLabor set forth at Rule 300-10-1-.01 

### et. seq. The CONTRACTOR'S fully-executed affidavit is attached hereto as Exhibit D and is incorporated into this CONTRACT byreference herein. B. The CONTRACTORwanants that, inthe eventthe CONTRACTOR employs or contracts with any subcontractor(s) in com1ection withthis CONTRACT, the CONTRACTORshall include a similarprovision irt all written agreements with any such subcontractor(s). The CONTRACTOR agrees to maintain records of any such written subcontractor agreements and submit to the Divisionupon request. 7. New Restrictions On Lobbying as setforth in Title 40 CFRPart 34. Funding providedinthis CONTRACT is approp1iated Federal funding inthe form ofa grant from the Congestion Mitigation andAir Quality Improvement (CMAQ) program. A. No appropriated funds may be expended bythe recipient ofa Federal contract, grant, loan, orcooperative agreement to pay anyperson for influencing or attempting to influence an officer or employee ofany agency, a Member of Congress, an officer or employee ofCongress, or an employee ofa Member of Congress in connection with any ofthe following covered Federal actions: the awarding ofany Federal contract, the making ofany Federal grant, the making of any Federal loan, the entering into ofany cooperative agreement, andthe extension, continuation, renewal, amendment, or modification ofany Federal contract, grant, loan, or cooperative agreement. B. Eachpersonwhorequests or receives from an agency a Federal contract, grant, loan, orcooperative agreement shall file withthat agency a certification, set forth inExhibit F, thatthepersonhas not made, and will notmake, any payment prohibited by paragraph A ofthis section.

9C. Eachperson who requests orreceives from an agency a Federal contract, grant, loan, or a cooperative agreement shall file withthat agency a disclosure form, set forth Exhibit E, ifsuchpersonhas made orhas agreed to make anypayment using nonappropriated funds (to includeprofits from any covered Federal action), which would.beprohibitedunderparagraph A ofthis sectionifpaidfor with appropriated funds. D. The Disclosure ofLobbying Activities and the Certification Regarding Lobbying forms must be completed, signed, and retumed withthis CONTRACTin order for the CONTRACTto be valid. These forms are included in Exhibits E and F.

IN WITNESS WHEREOF, the Division and the CONTRACTORhave executedthis CONTRACT to be given effect as ofthe date first above written.

ATTEST:

ATTEST: Depatiment ofNatmal Resources Environmental Protection Division

Norfolk Southern Railway Company

10Scope ofWork ExhibitA Norfolk Southern Railway Company Scope ofWork for Switch-Duty Locomotive Conversions in Atlanta, Georgia Revised 3/28/2014



### Upon the Effective Date and continuing tlu·ough 24 months, unless terminated early under provisions ofthe CONTRACT, CONTRACTORwill performtasks as described inthe Project Proposal to reduce emissions fi·om locomotives used for switching in Atlanta for putposes of improving air quality in Georgia. These tasks include: 

### A Within 45 days ofexecution ofthe CONTRACT, CONTRACTOR shall provide to the Division a project schedule with specific dates for completing each Project-related task that is consistent with the timeline provided inthe Project Proposal;
B. CONTRACTOR shall (1) convert twenty (20) Tier 0 or lower locomotives with at least five (5) years expected remaining life ("Original Locomotives") as described in the Project Proposal to ten (10) mother/slug sets, where the "mother" locomotive will be EC0710 3000 horsepower locomotives meeting EPA Tier 3 switch-duty emission standards or better (i.e., with lower emissions) ("ConvertedLocomotives"), and (2) install locomotive technology to accommodate an electric layover system onthe Converted Locomotives and install plug-in stations and associated yard infrastructure to operate an electric layover heating system, all as fmiher described inthe Project Proposal. While PM emissions are lowerthanEPA Tier 3 switch-duty cycle standards require, the EC0710 3000 is certified to the Tier 3 line-haul duty cycle because it exceeds 2300 horsepower;
C. The CONTRACTOR shall maintain the Converted Locomotives sufficiently to assure each Converted Locomotive remains operational for a period often years from the date after each Conve1ied Locomotive is retrofitted (the "Operating Period") and shall operate the Converted Locomotives at least 80% ofeach Conve1ied Locomotive's operational hours in and around the Atlanta Terminal as described in the ProjectProposal. The Operating Period and number ofoperational hours may be modified ifthe Converted Locomotive is damaged suchthatthe CONTRACTOR and the DIVISION mutually agree that it can beremoved from service, in which event CONTRACTOR shall be deemed to have satisfied its obligations under this CONTRACT with respect to such Converted Locomotive(s). The Division aclmowledges thatthe Converted Locomotives may leave the Atlanta Terminal for 92-day Federal Railroad Administration inspections and other maintenance, for Positive Train Control installation, or for other logistical contingencies. The Divisionunderstands that the CONTRACTOR does not permmently assign locomotives to particular yards, and actual locomotives required for switching will vary from dayto day depending upon rail traffic volume and locations, and depending on the availability oflocomotives to meet operational needs. The CONTRACTOR shall inform the Division ofall Converted Locomotives that are removed from the fleet due to damage or inoperability. The ten-year period for each Conve1ied Locomotive will stmi onthe date that the Converted Locomotive is placed into revenue service. The CONTRACTOR shall not sell any Converted Locomotive until the Operating Period has

Page A-1 of 3passed or the ConvertedLocomotive has been determined to be damaged beyond repair orpermanently inoperable.
D. InitialReport: Before convertingthe locomotives, the CONTRACTOR shall submit an initial report containing the following infmmation: (1) Work scope as provided inthe ProjectProposal. (2) Estimated emissions reductions. This estimatemay use data as provided inthe ProjectProposal ifthere have beenno changes in emission levels ofthe original and conve1ted locomotives from the Proposal.
E. Post ConversionReport: The CONTRACTORshall submit a post conversion report within one month (30 days) after eachlocomotive mother/slug unit is placedinto service inthe AtlantaTerminal. Thereport shall contain the following: (1) Estimated emissions levels, whichmay include regulatory tierrequirements. 

### (2) Locomotive numbers for the Original Locomotives and the Converted Locomotives. (3) Pictures showingmajor components installed during the conversion. (4)

.Pictures ofthe completed Conve1ted Locomotives and their emissions labels. (5) Certification/assurance that emissions critical components were properly installed onthe Conve1ted Locomotives and are inworking condition. (6) Iftheproposedtime for completingthe conversion is exceeded, an explanation of the delay.
F. Rulllling repmts will be submitted every sixmonths for the first two years (commencing within six months after submission ofthe post conversionrepmt) and =ually for eight years thereafter. These repmts may be combined for the locomotives converted under this CONTRACT. Therurming repmts will containthefollowing information: (1) Estimated emissions and fuel consumption, which may include estimates or calculations based onknown information including data fi·om the Project Proposal. (2) Description or confirmation ofgeneral operatingpatterns ofthe Conve1ted Locomotives

. (3) Certification or assurance ofproper operation and maintenance ofthe Conve1ted Locomotives, inparticular the emissions critical components.
G. The CONTRACTOR shall submit anyreports to the Divisionby electronic mail (e-mail) and shall provide two copies ofthe repmts in the e-mail with one in MicrosoftWord format and the second in a PDF format. The CONTRACTOR shall submit a hard copy ofthe repmt uponthe Division's request. 

### H. Notwithstanding anythingto the contraryherein, in the Project Proposal orin the Request for Applications, CONTRACTOR shall have no obligation to conduct extra-operational studies or investigations or to generate datanot generated in the normal course of business in orderto compile the repmts above or any other information requested bythe Division underthis CONTRACT. Fmther, the Division acknowledges the repmting limitations as setfo1th inthe Project Proposal, and CONTRACTOR shall not berequired to prepare or submit any data or infmmation that is contrary to those limitations. Specifically, butnot by way oflimitation, CONTRACTOR does not determine actual 

### A-2 of3fuel usage by locomotive and as such cannot determine actual fuel used by each Converted Locomotive, and CONTRACTOR cannot determine ortrack actual duty cycle overthe OperatingPeriod for each Converted Locomotive. The CONTRACTOR 

### will use estimates for such determinations and mayuse best available information, which may include engineering estimates based onknowledge and experience ofsuch operations. 

### I. CONTRACT funds will cover up to 70%ofthe total cost ofthe Project and will be distributed to the CONTRACTORincrementally (not more than onceper annual qmuter) following completion ofconversion task(s), provided the matchhas been satisfied for the incremental distribution. 

### J. The CONTRACTOR shall only invoice the Division for expenses eligible for award funding. As part ofthe invoice, the CONTRACTOR shall certify each taskthathas been completed. Upon completion ofthe Project, the CONTRACTOR shall submit a final invoice requesting up to the remaining funds for any unpaid task expensesprovided that the total grant distribution for this project does not exceed sixteen million, four hundred thirty-eight thousand dollars ($16,438,000.00). The final invoice shall provide all the infonnation as requested in the Method ofPayment section ofthe CONTRACT.
K. The CONTRACTOR shall only invoice the Division for eligible expenses resulting from the Converted Locomotive conversions as part ofcompleting tasks as described by the CONTRACTOR's Project schedule (Exhibit B). 

### L. The CONTRACTORmay not seek reimbursement or cost share consideration for certain ineligible cost, which would include management or similar fees used to accumulate and reserve funds for ongoing business expenses, tmforeseen liabilities, orfor other similar costs. The CONTRACTOR may not seek fees for consultants in excess offive hundred eighty-seven dollars and twenty cents ($587.20) per day nor seventy-three dollars and forty cents ($73.40) perhour.

PageA-3 of3

### ExhibitB CONTRACTOR's Project Proposal and Supplemental Material

Norfolk Southern application and additional supplied information
a. Proposal b. Updated emission reduction summarytable (based on released Tier 3 factors)
c. Requested supplemental information d. Revised emission reduction summarytable using the EPA default duty cycle (2 versions)
e. Comparison ofthe proposed technology with Genset locomotives (2 emails) f. Addendum to account for partial funding

### Application Cover Page CompanyName 

# INorfolkSouthern Railway Company ContactInformation- Technical Name MailingAddress

PhoneNumber E-mail 

### MarkF.Duve Mechanical Department- Box 184 1200 Peachtree Street NE Atlanta, GA 30309-3579 404-582-6743 Mark.Duve@nscorp.com Contact Information- Contracts Name Mailing Address 

### C. Dou2las Corbin Mechanical Department- Box 184 1200 Peachtree Street NE Atlanta, GA 30309-3579 404-582-6730 Doug.Corbin@Jnscorp.com PhoneNumber E-mail 

### Contactinf Name Mailing Address 

### ormatwn- Add ) 

### itional Contact (optional

PhoneNumber E-mail
Totalnumber ofconversions Total funding requested

Total matchproposed Total project cost 

### AlitiS 

### UJPJ ca 

### on ummary 

### Sixteen $24,000,000 $10,492,000 $34,492,000
Authorized Official · Name and Title 

# IDonald D. Graab, Vice President- Mechanical

I certify to the best ofmy knowledge that the information provided in this application is accurate. I agree thai all ofthe minimum requirements have been or will be met to the extent feasible. Additionally, I understand the obligations and constraints associated with tbis proposal. I understand that completing this fonn simply enters me into the Locomotive Conversion funding competition and my final decision to accept the grant funding · I were**t~ b~elr~ed0ld**  occu: later. Signature:

# ~

# J:J

..**~** Date: 

# S--"f*!61 

### ::2 J/

## 2 elecl11J"i "- Norfolk Southern GA EPD Emissions Locomotive Conversion Application 2012 Page 1 

# °1/"lfiL

### Application Cover Page Company Name 

# INorfolk Southern Railway Company Contact Information- Technical Name Mailing Address

Phone Number E-mail MarkF. Duve Mechanical Department- Box 

### 184 1200 Peachtree Street NE Atlanta, GA 

### 30309-3579 404-582-6743 Mark.Duvte@nscorp.com ContactInformatwn- Contracts Name Mailing Address C. Douglas Corbin Mechanical Department- Box 

### 184 1200 Peachtree Street NE Atlanta, GA 

### 30309-3579 404-582-6730 Doug.Corbin@_,nscorp.com Phone Numbe1 E-mail ContactIn£ Name Mailing Address ormation- Additional Contact(optional).

Phone Number E-mail
Total number ofconversions Total funding requested

Total match proposed Total project cost A 

## r r s >ppuca 

### wn ummary Sixteen



### .$24,000,000 $10,492,000 $34,492,000
Authorized Official Name and Title 

# IDonald D. Graab, Vice President -Mechanical
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 to the extent feasible. Additionally, I understand the obligations and constraints associated with this proposal. I understand that completing this form simply enters me into the Locomotive Conversion funding competition and my final decision to accept the grant funding, ifi were to be selected, would occur later. 

### Signature: Date:

________ _

Norfolk Southern GA EPD Emissions Locomotive Conversion Application2012 Page 1funding requested in this application because it is not possible to know what locomotives will then be available in the area, Norfolk Southern will ! commit to convert pre-1973 GP38 series.locomotivesto mother/slug 1 technologyusing Tier 3 engines with any funding resulting fi·om this

application. Norfolk Southern anticipates convetiing pre-1973 locomotives with a potential service life ofat least five remaining years of service. Atthis time, Norfolk Southern is operating eight pre-1973 locomotives in or around the AtlantaTermhial.. It is anticipated that these eight locomotives, or similar pre-1973 GP38-2locomotives that are operating in or around the Atlanta Tenniual atthe time ofthe award, will be converted to part ofseven Tier 3 mother/slug pairings. Because certain

. switcher locomotive models atthe Atlanta Terminal typically operate in

pairs and others as single units, depending on horsepower and·tractive effort ofeach, Norfolk Southern anticipates replacing more operating locomotives (twenty-five) with fewer mother/slug sets (sixteen), thus reducing emissions not only from a higher tier engine, but also from reducing the number ofengines. It is anticipated that once converted, the sixteen mother/slug locomotive sets funded by this project would replace pre-1973 orTier 0 locomotives that are at that time operating in yard and local service in and around the Atlanta Terminal. Based on the current mix oflocomotives in and around the AtlantaTerminal, Norfolk Southern anticipates removingthe following locomotives from the AtlantaTerminal and replacing them with the mother/slug sets funded by this project: (a) ten 2000 hp MP15DC locomotives, (b) eight 2000 hp GP38-2 locomotives, and (c) seven 2000 hp SD40-2locomotives. 1 Although the models and numbers may vary depending on what is actually operatingin and around the Atlanta Terminal atthe time ofthe award, Norfolk Southern anticipates emissions benefits on the same order ofmagnitude as these replacements, and for purposes ofthis application, uses these models for those emissions calculations.
g. Locations ofLocomotive Operation Currently, Norfolk Southern has approximately 33 locomotives operating hi switcher service the AtlantaTerminal. TheAtlanta Terminal is made up offour yards and the tracks between them, as well as tracks leading to local industries. The yards are (1) Inman, located between Perry Blvd NW and MariettaRoad NW, Atlanta, Fulton County, GA; (2) South Yard,

1Although we understand that GA EPD is permitting proposals to convert Tier 0 locomotives to mother/slug sets

·usingthis funding, Norfolk Southern is not willing to destroy aTier 0 locomotive that is operating in compliance with applicable USEPA rules in order to convert it to areduced emissions technology. We will commit, however, to ensure that the funded mother/slug sets (which would have been converted from pre-1973 locomotives whose original engine blocks would have to be destroyed) replace only Tier 0 or lower locomotives in and around the Atlanta Terminal. Because Norfolk Southern likely will not have sufficient pre-1973 locomotives operated in the Atlanta Terminal at the time ofthe award, Norfolk Southern will convert pre-1973 locomotives elsewhere on the system to Tier 3 mother/slug sets and.replace lower tier locomotives that are at thattime uperating in and around the Atlanta Terminal. It is not feasible to identify the specific locomotives to be converted/destroyed from among those operated on the remainder ofthe system. Norfolk Southern GA EPD EmissionsLocomotive Conversion Application 2012 Page 3i. Percentage Throttle Notch in Notch Dynamic Brake: 0.31% Idle: 80.30% Notch I: 8.20% Notch 2: 5.87% Notch 3: 2.65% Notch 4: 1.73% Notch 5: 0.56% Notch 6: 0.19% Notch 7: 0.07% Notch 8: 0.12%
This dnty cycle does not account for thetime the locomotive is shut down for servicing or during other shutdown times whenthe locomotive is not operational. It is expected that when in service, the converted locomotives will have a different set ofoperational cycles due in partto the automatic engine start/stop. In addition, the mother/slug locomotives will be equipped with an electric layover heating system that utilizes wayside power via a cable connection, which may further reduce idle time up to 20%,
KitProcedure for Conversion The installation ofthe kit entails stripping the mother locomotive to its under frame, modifying the under frame to accept the new engine, installing the new engine, modif}dngthe alternator to accept the new engine, modifYing the locomotive body to accept the new engine and cooling system, replacing the electrical control cabinet and rewiring the locomotive. Norfolk Southern plans to apply the EMD 71 OECO kit at its Juniata Locomotive Shop located inAltoona, PA. Norfolk Southern has experience in applying mother/slug kits on other locomotives thatwere funded under American Recovery and Reinvestment Act Funding for the National Clean Diesel Funding Assistance Program (EPA-ARRA-OAROTAQ-09-06).
The maniJfacturing ofthe slug is similar to the repower ofan existing locomotive with the exception ofinstead ofreplacing the engine, a concrete block is installed where the engine would be and the fuel, oil and cooling systems are permanently removed. j. Total Cost per Mother/Slug The approximate estimated cost for each ofthe mother/slug conversion is as follows:

Norfolk Southern GAEPD Emissions Locomotive Conversion Application 2012 Page 5

### n. The locomotives that would be removed from switcher service in and around the Atlanta Terminal as part ofthis project do not.have automatic engine start/stop and rely solely on the train crews to shut down the locomotives when the engines are not required for operational reasons. Past studies have shownthat automatic engine start/ stop can reduce idle time by approximately 63% on an EPA switch duty cycle. Applying the results ofthis study to the Atlanta duty cycleas described in section (2)(h) above would be a conservative approach, since the EPA switch duty cycle has considerably less time in idle. In addition to the fuel savings generated from shutdown ofthe mother locomotive engines dueto the automatic start/stop feature, the mother locomotives reduce emissions by reducing idle time per engine as well as emissions in idle, and by using Tier 3 engines.
Calculated ProjectEmissions
The estimated annual project emissions reductions are as follows:

Total Estimated ProjectEmissions Reductions (tons) NOX PM HC Total Annual Emissions Reductions 152.9 4.5 22.9 Total 10 Year Project Reduction 1528.7 45.0 228.8
These total projected emissions reduction represents the sum ofthe locomotive replacement calculationsprovided below:

Emissions Reduction for Pairs ofGP38-2s replaced by 3000 HP 710ECO Mother/Slugs ·Emission Factors Calculated Annual Emissions (g/bhp-hr) per!ocomotive (tons/yr) BSFC Activity (bhp· Factor hr/gal) (gal/yr) NOx PM HC NOx PM HC Baseline GP38-2 I 1.29 52,000 17.0 0.46 1.69 10.99 0.30 1.09. 3000 HP 710 ECO 13.95 36,391 10.72 0.26 0.44 6.31 0.15 0.26 Reduction per mother/slug 15.67 .44 1.93 Ann.ual reduction for 4 sets 62.69 1.76 7.73

10-Year Total Reduction 626.93 17.60 77.27

Norfolk Southern GA EPD Emissions Locomotive ConversionApplication 2012 Page 7• "'<·

...., . schedule contemplated by the GA EPD Request for Applications as shown in the timeline below, the dates for completion ofthe mother/slug conversions necessarily will be delayed commensurately.
Date October 2012 November 2012 June 2013 July 2013 January 2014 February 2014 March201.4 April2014 May20!4 June 2014

.July 2014 September2014

. Activity Finalize funding contract Order conversion equipment from OEM Begin strip and prepare first unit Receive first two conversion kits Complete mothedslug sets I and 2 Complete mother/slug sets 3 and 4 Complete mothedslug sets 5 and 6 Completer mother/slug sets 7 and 8 Complete motheds!ugsets 9 and I0 Complete mothedslug sets II and 12 Complete mothedslug sets 13 and 14 Complete mother/slug sets 15 and 16 The l)bove schedule is based upon an eightmonth lead time for the first 2000 hp mother/slug conversion kit. All mother/slug sets are anticipated to be placed in servi\:e out oftheAtlantaTerminal within approximately two weeks of completion. 3) · OtherInformation and Comments Norfolk Southern has obtained activity data using a sample set from eventrecorders on a one-time basis. Given that the exactunits to be taken out ofservice may ormay not have been operating within the Atlanta region for significant times priorto theirremoval from

· service, the activity data for the baseline case will be as discussed inthis application and

will not be comprised ofadditional eventrecorder data from particular units. Likewise, Norfolk Southern will use the fuel estimates provided herein for the baseline case, and will use a manufacturer's estimate offuel usage for the conveJied locomotives in any reporting required by a funding arrangement for this project. Again, Norfolk Southern does nothave the means to measure actual fuel use per locomotive -even for the converted locomotives

- and cannotjustifY the capital cost associated with the necessary infrastructure that would be required to gain this ability. Further, in the event less funding is awarded than what is requested in this proposal, Norfolk Southern reserves the rightto select the mix oflocomotives thatwill be replaced or converted with such funding, so long as pre-1973 locomotives are to be converted and Tier 0 or pre-1973 may bereplaced in the Atlanta Terminal.

Norfolk Southern GA EPD Emissions Locomotive Conversion Application 2012 Page 9AppendixA Norfolk Southern GA EPD Emissions Locomotive Conversion Application 2012 Page 11Appendix A

Norfolk Southern GA EPD Emissions Locomotive Conversion Application2012 Page 13.T/N s. .7 t;.,

## ~··**":.~: ~i.:**  ;2. -:i;:**·fd~·**

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## w~-~-

Norfolk Southern GA EPD Emissions Locomotive Conversion Application2012 Page 15

### Michelle Bergin- Updated Emission Calculations for 2012 Application

From: To: 

### Date: Subject: "Duve, MarkF." <mark.duve@nscorp.com> MichelleBergin<Michelle.Bergin@dnr.state.ga.us> 10/1/2012 7:44AM Updated Emission Calculations for 2012 Application Page 1 of 1



### Attachments: 2012 GAEPD App Emis SummaryEPA SWDuty Cycle.pdf; 2102 GA EPD App Emis Cales EPA SWDuty Cycle.pdf**------·-.~-------** Hi Michelle,
The attached files are the updated emissions calculations for the recent 2012 Locomotive Switcher Conversion Application. The calculations submitted with application were based upon the US EPA Tier 2 emissions factors for the 710ECO product, because those factors were available at the time the application was prepared, since the manufacturer ofthe 710ECO product was performing some fine tuning on the kit. By submitting the Tier 2 factors, it was felt that the emissions numbers would be conservative, bec.ause the EPA Tier 3 emissions levels reduce the particulate matter.
Electro-Motive Diesel, provided me the Tier 3'emissions factors last week and requested that Ihold them confidential. Ihad told Electro-Motive that Ineeded to submit the factors to the GA EPD and have received permission with the requestthat Imark the factors confidential. Electro-Motive acknowledges that the "Summary" numbers are not confidential and does not 

### have any issues with the numbers.
Ifthere are any questions, please do not hesitate to call me. Iam in the office today, and Iwill be traveling on Tuesday and Wednesday. Regards, 

### Mark Duve

. Mechanical Engineer- Locomotive Design

Norfolk Southern Corporation Mechanical Department -Box 184 1200 Peachtree Street, NE Atlanta, GA 30309-3579 Phone404-582-6743 Mobile 404-989-6192

# 16/J/tz.. 2012 GA EPD Switcher Retrofit Application Emissions Reduction Summary 

## br:&-c 1 .\ O''\
Project Emissions Summary- MP15DC vs 2000 HP Mother/Slug**~'"'-** Emission Factors Calculated Annual Activity (bhp- Factor NOx (per PM (per Scenario hrfgal) (gal(yr) Loco) loco) NOx PM Baseline MP15DC 14.18 52,000 11.40 0.45 9.27 0.37 GP22ECO 17.81 41,420 7.17 0.10 5.83 0.08 Savings per 12.70 0.65 Mother/slug Emission Reductions Annual Savings for 5 Sets 63.52 3.27 10 Year Total 635.18 32.74
Project Emissions Summary- GP38-2 vs 3000 HP Mother/Slug**~SI-C** Emission Factors Calculated Annual Activity (bhp- ·Factor NOX (per PM (per Scenario hr/gal) (gal/yr) Loco) loco) NOx PM Baseline Mi>t5'E'J§' 15.12 52,000 12.82 0.38 11.11 0.33

- .. - -· GP22ECO 17.19 45,727 7.00 0.06 6.06 0.05 Savings per 16.16 0.61 Mother/slug Emission Reductions Annual Savings 80.80 2.44 for 4 Sets 10 YearTotal 808.02 24.39
Project Emissions Summary- SD40-2 vs 2000 HP Mother/slug**~>t-L** Emission Factors Calculated Annual Activity (bhp- Factor NOx (per PM (per Scenario hr/gal) (gal(yr) Loco) loco) NOx PM Baseline -··- - ------ -·-· ·- ·- -·**_;._-,.--~~--** - -Mf'tSEJf': 15.12 52,000 12.8 0.38 11.11 0.33

...___ GP22ECO 17.81 '"44,144 7.17 0.10 6.21 0.0

__ 8. Savings per 4.90 0.2S Mother/slug Emission Reductions Annual Savings 34.31 1.74 for 7 Sets 10Year Total 343.06 17.42
Total Project Emissions Savings Summary (tons) Annual Nox 10 Year NOx Annual PM Locomotive Replacement Savings Savings savings 10 MP15s with 5 2000HP Monther/Siugs 63.52 635.18 3.27 8 GP38-2s with 4 3000 HP Mother/Slugs 80.80 808.02 2.44 7 5D40-2s with 7 2000 HP Mother/Slugs 34.31 343.01; 1.74 Total !;missions Savings 178.63 1786.25 7.46 I , c\.o'J

r

• '\ ·vs:... (). 

# \io---- 3

10Year PM

Savings

32.74 2439 17.42 74.55

### Michelle Bergin- 2012 Locomotive Conversion Application

From: To: 

### Date: Subject: "Duve, Mark

### F." <mark.duve@nscorp.com> Michelle Bergin <Michelle.Bergin@dnr.state.ga.us> 10/12/2012 4:49PM 2012 Locomotive ConversionApplication Page 1 of 1



### Attachments: GA EPD 2012 Locomotive Conversion NS Supplemental Info.pdf

Michelle,
The attached documentcontains the requested supplemental information regarding Norfolk Southern's 2012 Emissions locomotive Conversion Application. Ifthere are any questions, please do not hesitate to call or e-mail me. Thanks,



### Mark Duve Mechanical Engineer- Locomotive Design Norfolk Southern Corporation Mechanical Department -Box 184 1200 Peachtree Street, NE Atlanta, GA 30309-3579 Phone404-582-6743 Mobile 404-989-6192Supplemental Information for Norfolk Southern Railway Company 2012 Locomotive Conversion Application Following is information to supplementthe Congestion Mitigation and Air Quality (CMAQ) funding application submitted by Norfolk Southern Railway Company (Norfolk Southern) for locomotive emissions reductions projects. This information was requested by the Georgia Environmental Protection Division ofthe Georgia Department of Natural Resources, which is administering the funding program. 1) List of locomotives to be converted. Norfolk Southern anticipates converting the locomotives listed below, although we reserve the right to change this list to accommodate operational needs. In the event Norfolk Southern changes one or more ofthe locomotives specified below, Norfolk Southern will replace the listed locomotive(s) with locomotive(s) that are ofihe same or lower tier. All ofthe locomotives to be converted will be owned by Norfolk Southern. We also note that not all ofthese locomotives that are anticipated to be converted with this funding are currently operating in the Atlanta Terminal region. However, after conversion, the locomotives funded by this project will reside in the Atlanta Terminal region and will replace Tier 0 or pre1973 locomotives that currently normally operate within the Atlanta Terminal region

.



## .**··~.~** 

## ":;:;·:;**~·** 

### l.-f**~** ).1! MODEL- GPSO**,~** . NS 7003 GP50 9/25/1980 796321-1 3500 NS 7004 GP50 9/25/1980 796321-2 3500 NS 7006 GP50

. 10/6/1980 796321-4 3500 NS 7007 GP50 1/1/1980 796321-5 3500 NS 7010 GP50 10/22/1980 796321-8 3500 NS 7016 GP50 11/15/1980 796321-14 3500 NS 7018 GP50 8/31/1980 786251-2 3500 NS 7020 GP50 1/1/1980 786251-4 3500 NS 7021 GP50 9/15/1980 786251-5 3500 NS 7036 GP50 10/5/1980 786251-20 3500 NS 7037 GP50 10/5/1980 786251-21 3500 NS 7039 GP50 9/15/1980 786251-23 3500 NS 7040 GP50 10/16/1980 786251-24 3500 NS 7041 GP50 9/23/1980 786251-25 3500 NS 7047 GP50 11/7/1980 486251-31 3500 NS 7048 GP50 10/22/1980 486251-32 3500 NS 7051 GP50 11/8/1980 786251-35 3500 NS 7053 GPSO 11/1/1980 786251-37 3500 NS 7054 GP50 11/15/1980 786251-38 3500 NS 7055 GP50 11/3/1980 786251-39 3500 Ns 7Ci58 GPSO 11/1/1980 786251-42 3500 NS 7064 GP50 11/21/1980 807008-1 3500 14) Description and Estimated Emissions Savings from Electric Layover Heating System. Because locomotive engines do not use antifreeze, they must idle in colder weather to prevent the engine block from freezing and destroying the engine. The electric layover heating system
uses wayside power yia a cable connection to provide electric heat to the locomotives' engines in cold weather, reducing idling that would otherwise be necessary. The heating system is anticipated toreduce Idle time by up to 20%.

Locomotives must be kept running during their dwell time between yard assignments when the ambient temperature is near or below freezing. The Automatic Engine Start Stop (AESS) system installed on certain lofomotives will automatically-start and sto;the llicomotive when the cooling water, air brake pressure, or batteryvoltage drop below desired levels. While AESS systems do eliminate some ofthe idle time, there are operational limitations to the effectiveness ofthose systems. In particular, in cold weather, it takes significantly more power to crank over a locomotive engine, and the cold temperatures increase the amount oftime to charge a battery. AESS systems do not accommodate the necessary batterypower sufficient to startthe engine. One AESS manufacturer has stated that it can take an hour or more to charge the batteries when the tem'perature falls below 40 degrees F.
In addition, the frequent starts/stops due to the AESS system in cold weather wear outthe engine starting**compo~ents** and reduce the life ofthe bearings. To alleviate the increaskd wear rates, certain AESS systems limit the amount ofstarts and stops per day. One ofthe common AESS systems allows only six starts and stops in a day, although a locomotive may have significantly more starts/stops between yardjobs. Thus, despite the exisience of an AESS system, the engine may spend significant time idling.
As part ofthe emissions locomotive conversion, Norfolk Southern is proposing to equip the" ' 

### ' :repowered locomotives with an electric layover system to supplementthe AESS systems. The electric layover heating system is comprised ofan electric heater, a pump, battery charger and the necessary piping and wiring. This system is plugged into a wayside plug-in station. Thus when the locomotive sits idle during the extended dwell times, the availability ofthe layover heating system will maintain the battery charge in order to reduce locomotive idle time. Norfolk Southern will also Jnstall the plug-in stations in each ofthe Atlanta Terminal yards. The cost of the layover system for;each locomotive including installation labor is approximately $22,000. This cost has been included in the locomotive conversion costs in the funding application. The cost for the p}ug-in stations for all four yards combined is estimated at $200,000. This cost likewise was shown as a separate line item in the funding application. The estimated emissions and fuel savings are shown in the table below.

3Electric layover Emissions Savings for the 3000 Horsepower 710ECO Locomotive Average Estimated Daily Idle Run Time with AESS Active( hours) 1 Average Expected Availability ofthe 710EC02 Total Hours Annual Expected Idle Hours during Auto Start

Idle PM (g/hr) Idle NOx (g/hr)

Total Annual EstimatelPM Savings (ton/Year) , Total Annual Estimated NOX savings (ton/year)

Ten Year PM Savings (tons) Ten Year NOx Savings (tons)

Electric layover Fuel Savings for the 3000 Horsepower 710ECO locomotive Idle Fuel Rate (gallons/hour) Annuai'Fuel Savings Ten Year Fuel Savings

1. This is an average daily estimate based upon a sample ofAESS equipped locomotives that frequently operate in, Georgia, and Alabama. Actual daily idle time while underAESS control will vary with weather and operations. 2. The 80% availability is consistent with Norfolk Southern's application.

5 3 80% 876

11.2 878.1

; ,.011

.85

0.11 8.5

4.018 /3,520


# . .

35,200

### Michelle Bergin -Revised Emissions Calculations

From: To: 

### Date: Subject: "Duve, Mark F." <mark.duve@nscorp.com> Michelle Bergin <Michelle.Bergin@dm.state.ga.us> 10/19/2012 4:43PM Revised Emissions Calculations Page 1 of 1

Attachments: 2012 GAEPD Emis Summary EPA SWDuty Cycle Rev A.pdf; 2012 GA EPD App Emis Cales EPA SW Duty Cycle Rev A.pdf



### ----- Hi Michelle,
The. attached files are the revised emissions calculations. Iam working on the Genset Calculations and should have them to you shortly. Regards,



### Mark Duve Mechanical Engineer- Locomotive Design Norfolk Southern Corporation Mechanical Department -Box 184 1200 Peachtree Street1 NE Atlanta, GA 30309-3579 Phone 404-582-6743 Mobile 404-989-6192

1 rc .. • \ 12012 GA EPD Switcher Retrofit Application Emissions Reduction Summary Rev. A

Project Emissions Summary- MP15DC vs 2000 HP Mother/Slug tlot-L Activity Emission Factors Calculated Annual (bhp- Factor NUX per Pl'l per Scenario hr/gal) (gal(yr) Loco loco NOx PM 

# Re_v. 6 Baseline MP15DC* 14.18 52,000 11.40 0.45 9.27 0.37

## ¢~~~~~ 17.81 41,420 7.17 0.10 5.83 0.08 Savings per 12.70 0.65 Mother/slug Emission Reductions Annual Savings 63.52 3.27 for 5 Sets 10Year Total 635.18 32.74 *MP15DCs overhauled to Tier 0 40 CFR Part 92 Emlss1ons Regulations
Project Emissions Summary- GP38-2 vs 3000 HP Mother/Slug eot-L Activity Emission Factors Calculated Annual (bhp- Factor NUX per "'''per Scenario hr/gal) (gal(yr) Loco loco NOx PM Baseline GP38-2** 15.12 52,000 12.82 0.38 11.11 0.33 OUUUMY 710ECO 17.19 45,727 7.00 0.06 6.06 0.05 Savings per 16.16 0.61 Mother/slug Emission Reductions_ Annual Savings 80.80 2.44 for4 Sets 10 Year Total 808.02 24.39 **GP38-2s In Atlanta are pre-1973 w1th uncontrolled emiSSions
Project Emissions Summary- SD40-2 vs 2000 HP Motherjslug eot-L. Activity Emission Factors Calculated Annual (bhp- Factor.**~<uX** per

. "'''\Per Scenario hr/gal) (gal/yr) Loco loco) NOx PM Baseline 5040-2*** 15.19 52,000 8.3 0.42 11.11 0.33 2000 710ECO 17.81 44,144 7.17 0.10 6.21 0.08 Savings per 4.90 0.25 Mother/sllllJ_ Emission Reductions Annual Savings 34.31 1.74 for 7 Sets 10 Year Total 343.06 17.42 ***5D40-2s overhauled to Tier 0 40CFR Part 92 Emissions Regulations

Total Project Emissions Savings Summary (tons) AnnuaiNox 10 YearNOx Annual PM 10Year PM LocomOtive Replacement Savings Savings Savings Savings 10 MP15s with 5 2000HP Monther/Siugs 63.52 635.18 3.27 32.74 8 GP38-2s with 4 3000 HP Mother/Slugs 80.80 808.02 2.44

. 24.39 7 SD40-2s with 7 2000 HP Mother/Slugs 34.31 343.06 1.74 17.42 Total Emissions Savings 178.63 1786.25 7.46 74.55

### Page 1 of 1



### Michelle Bergin -PleaseDelete Previous E-mail and replace files with these

From: To: 

### Date: Subject: Attachments:

Hi Michelle, 

### "Duve, Mark F." <mark.duve@nscorp.com> Michelle Bergin <Michelle.Bergin@dnr.state.ga.us> 10/19/2012 5:16PM Please Delete Previous E-mail and replace files with these 2012 GA EPD AppEmis Cales EPA SWDuty Cycle Rev B.pdf; 2012 GA EPD Emis Summary EPA SWDuty Cycle RevB.pdf

While checking over the last files Ihad sent, Ifound an errorin one ofthe cells. Please delete the files attached to the earlier e-mail. Thanks,



### Mark Duve Mechanical Engineer- Locomotive Design Norfolk Southern Corporation Mechanical Department -Box 184 1200 Peachtree Street, NE Atlanta, GA 30309-3579 Phone404-582·6743 Mobile 404-989-61922012 GA EPD Switcher Retrofit ·Application Emissions Reduction Summary Rev. B

Project Emissions Summary- MP150C vs 2000 HP Mother/Slug**e~rL** Activity Emission Factors Calculated Annual (bhp- Factor "ux per**"'~'per** Scenario hr{gal) (gaf/yr) Loco loco NOX PM Baseline MP15DC* 14.18 52,000 11.40 0.45 9.28 0.37 LUUUHr 710ECO 17.81 41,420 7.17 0.10 5.83 0.08 Savings per 12.73 0.66 Mother/slug Emission Reductions Annual Savings for 5 Sets 63.64 3.28 10Year Total 636.40 32.79 *MP15DCs overhauled to Tier 0 40 CFR Part 92 Emissions Regulations
Project Emissions Summary- GP38-2 vs 3000 HP Mother/Slug ""rL Activity Emission Factors Calculated Annual (bhp- Factor 1 NUx per PM per· Scenario hr/gal) (gaf/yr) Loco loco NOx PM Baseline GP38-2** 15.12 52,000 12.82 0.38**~1h13·:··** .0.33

## ~~~~~~ •'

## 0.0~< 

# < 17.19 45,727 7.00 

### o.o6, 5.83 Savings per ' Mother/slug '16.42 

### g_.,sg' Emission Reductions Annual Savings 82.12 2.35 for4 Sets 10Year Total 821.24 23.47 **GP38-2s'" Atlanta are pre-1973 w1th uncontrolled emiSSions
Project Emissions Summary- S040-2vs 2000 HP Mother/slug 

## ""n

.. Activity Emission Factors Calculated Annual (bhp- Factor ,l'vX per PM (per Scenario hr{gal) (gaf{yr) Loco loco) NOx PM Baseline 5040-2*** 15.19 52,000 8.3 0.42 7.20 0.37 2000 710ECO 17.81 44,144 7.17 0.10 5.83 0.08 Savings per 1.37 0.29 Mother/sluq Emission Reductions Annual Savings 9.61 2.01**for7•s(~** 10 Vea"r Total 96.11 20.09 ***5D40-2s overhauled to Tier 0 40CFR Part 92 Em1ssrons Regulations

Total Project Emissions Savings Summary (tons) Annual Nox lOYearNOx Annual PM 10YearPM locomotive Replacement Savings Savings Savings Savings 10 MP15s with 5 2000HP Monther{Siugs 63.64 636.40 3.28 32.79 8 GP38-2s with 4 3000 HP Mother/Slugs 82.12 821.24 2.35 23.47 7 SD40-2s with 7 2000 HP Mother/Slugs 9.61 96.11 2.01 20.09 Total Emissions Savings 155.38 1553.75 7.64 76.36Emissions Comparison Summary- MP15DC vs NREC 3GS21B Emission Factors Single Unit Emissions BSFC Activity (gm/bhp-hr) (tons/yr) Fleet Emissions (tons/year) (bhp- Factor f NUX per PIVI per Scenario Quantity hrfgal) (galfyr) Loco loco NOX PM NOx PM Baseline MP15DC* 10 14.18 52,000 11.40 0.45 9.28 0.37 92.78 3.67
3GS21B 12 18.52 45,000 2.50 0.10 2.30 0,09 27.60 1.10
Emission Reductions Annual Emissions 6.98 0.27 65.18 2.57 10 Year Total 651.79 25.65 *MP15DCs overhauled to T1er 0 40 CFR Part 92 EmiSSions Regulations

Emissions Comparison Summary- GP38-2 vs NREC 3GS21B Genset Emission Factors Single Unit Emissions BSFC Activity (gmfbhp-hr) (tonsfyr) Fleet Emissions (tons/year) (bhp- Factor NUX per PM per Scenario hr/gal) (galfyr) Loco loco NOx PM NOx PM oase me GP38-2** 8 15.12 52,000 12.82 0.38 11.13 0.33 89.01 2.66
3GS21B 9 18.52 45,000 2.50 0.10 2.30 0.09 20.70 0.83
Emission Reductions Annual Emissions 8.83 0.24 68.31 1.83 10 Year Total 683.10 18.31 **GP38-2s m Atlanta are pre-1973 With uncontrolled emissions

Emission Comparison Summary- 5040-2 vs 2000 HP NREC 3GS21B Genset Emission Factors Single Unit Emissions BSFC Activity (gm/bhp-hr) (tons/yr) Fleet Emissions (tons/year) (bhp- Factor "vx per m \per Scenario hr/gal) (galfyr) Loco loco) NOx PM NOx PM Baseline 5040-2*** 7 15.19 52,000 8.3 0.42 7.20 0.37 50.40 2.56

3GS21B 12 18.52 45,000 2.50 0.10 2.30 0.09 27.60. 1.10
Emission Reductions Annual Emissions 4.90 0.27 22.80 1.45 10 Year Total 228.04 14.51 ***SD40-2s overhauled to Tier 0 40CFR Part 92 EmiSSions Regulations

locomotive Replacement**~uuuo•** •u >ca• NOX NOx Annual PM 10 Year PM Savings Saving Savings Savings 10 MP15DC5 with 12 NREC 3G5218 gensets 65.18 651.79 2.57 25.65 8 GP38-2s with 9 NREC 3G521B gensets 68.31 683.10 1.83 18.31 7 5040-LS Witn 12 NKEC 3G521B gense<S 22.80 228.04 1.45 14.51 Total Project Savings 156.29 1562.94 5.85 58.48

### Michelle Bergin
- Genset Pulling Performance

From: To: 

### Date: Subject:

Michelle, 

### "Duve, MarkF." <mark.duve@nscorp.com> Michelle Bergin <Michelle.Bergin@dnr.state.ga.us> 11/2/2012 9:16AM Genset Pulling Performance Page 1 of 1

Per a conversation with a Road Foremen, who is the manager oflocomotive engineers, Ihave inquired aboutthe performance abilities ofthe genset locomotives. In orderto pull 30 cars from a stop, which is typical yard work, the genset must have all three engines running. Ifthe genset is running with one engine, it will not even budge the train until all three engines are online. In addition, the genset does not have the ability to starttrains over 60 cars, whereas a single SD40-2 can do so. The mother/slug pairs that have been requested in the NS 2012 application have the pulling power that equals (or in some cases such as wet rail conditions) is better than an 5040-2. These are some ofthe reasons why more gensets locomotives would be required to replace locomotives that are currently in service in the Atlanta Terminal. Regards, 

### Mark Duve Mechanical Engineer-locomotive Design Norfolk Southern Corporation Mechanical Department -Box 184**~200** Peachtree Street, NE Atlanta, GA 30309-3579 Phone404-582-6743 Mobile 404-989-6192



### fi1e://C:\Documents and Settings\mbergin\Local Settings\Temp\XPgrpwise\... 11/7/2012

### Addendum to Norfolk Southern Railway Company GA EPD Application for Emissions locomotive Conversions in Atlanta Background

In September 2012, Norfolk Southern Railway Company (NSRC) filed a grant application with the GA EPD for locomotive emissions conversions for locomotives that operate within NSRC's Atlanta Terminal, which consists ofthe Inman, South Yard, East Point and Forest Park rail yards and the tracks that connect them. The grant application requested a total funding of$24,000,000 with an NSRC matching offer of $10,492,000 for replacing 25 yard locomotives with 16 mother/slug sets. The total10 year emissions reductions were estimated at 1553.75 tons of NOx and 75.36 tons ofPM calculated underthe US EPA switch duty cycle. The publicly funded cost perton for NOx and PM reductions are $15,447 and

· $318,471, respectively.
The application requested the folloWing replacements:
Reduction (tons/yr) for l Cost Replacement Conversion Conversion** PM NOx Kit Other Total 2 MP15DCs to 1 2000 10 with 5 hp 710ECO M/S* 0.66 12.73 1,157,000 963,000 2,120,000 2 GP38-2s to 1 3000 8 with 4 hp 710ECO M/S 0.59 16.42 1,250,000 963,000 2,213,000 SD40-2 to 2000 hp 7 with 7 M/S 0.29 1.37 1,157,000 963,000 2,120,000 *M/S- Mother/Slug **Calculations per EPA Switch Duty Cycle 

### Changes

As NSRC advised in the.application, the number and types oflocomotives used in a particular yard or region is not constant and may change with changing operations. In that regard, since the grant application was filed, NSRC has modified the mix oflocomotives operating in the Atlanta Terminal to accommodate changing business needs. Specifically, at this time, the number ofMP15DCs operating in the Atlanta Terminal is now 8 (from 10 at date of application) and the number ofSD40-2s is now 9 (from 7). In addition, the supplier for the 710ECO mother/slug kit has increased the price by $79,000 per kit.
Because GA EPD has awarded NSRC a grantthat was a portion ofthe full grant request, and in light of the locomotive operating changes in the Atlanta Terminal since the initial request, NSRC has reevaluated the locomotive replacement options for the Atlanta Terminal. With the amount ofthe allocated grant funding, NSRC proposes to replace 20 locomotives with 10 GP33ECO mother/slug sets. Each mother/slug setwill be equipped with an electric layover heating system to further reduce idling emissions. The new replacements are as follows:

## Emissions Savings 10 10 

## Summary Year Year NOx PM 

### (tons) (tons) Existing Fleet Emissions 

### 1766.16 71.78 

### Proposed Re_Qiacement Emissions 

### 607.32 5.21 

### Total Emissions Reductions 1158.84 66.57



### Revised Costs
The original 3000 HP 710ECO kit cost was $1,250,000 as stated in the application. Since submitting the application, the manufacturer has increased the cost for the same conversion kit to $1,329,000, or an increase of $79,000. In addition, EMD has informed NSRC that greater modifications to the locomotives will be necessary to make the new radiators fit. The estimated cost for a motherslug set including this modification plus a corresponding 4.9% increase in labor, in addition to the layover heating system, will be $2,419,052. Accordingly, the total estimated cost for"ten mother/slug sets will be $24,190,522. With the estimated $100,000 for installation ofplug in stations at Inman and South Yards, the total proposed project cost is $24,297,520. Consistent with the application, NSRC will contribute 30 percent ofthe cost, as well as any additional costs above the grant amount. As such, NSRC estimatesthatthe GA EPD grant will fund $16,439,735 ofthe total cost and NSRC will contribute $7,857,787, which is in excess of30 percent ofthe total cost.
Asummary ofthe changes to the application are as follows:
Addendum Change Summary Original Proposed Application Change $24,000,000 $16,439,735 Funding Request/Funding Award 

### -(Request) (Award)

. Locomotives Converted 25 20 La_yover Systems Installed at Yards 4 2 Project NOx Reductions (10 years, tons) 

# ss 1,.151553.75 1158.84 Project PM Reductions (10years, tons) 

### 1"-·11. 75.36 66.57 Project cost perTon NOx Reduction ($/ton*) $15,447 $14,186 Project cost per Ton PM Reduction _ilj;/ton*) $318,471 $246,954

*Public funds pertons ofemissions reduced.Project Emissions Summary -Existing Locomotives Emission Factors Annual Emissions BSFC (gmfbhp·hr) (tonfyr) Fleet 10 Year Emissions Activity (bhp- Factor NOx per PM per Loco hrfgal) (gal/yr) Loco loco NOX PM Qty. NOx PM MP15DC 14.18 52,000 11.40 0.45 9.27 0.37 8 741.27 29.26 GP38-2 15.12 52,000 12.82 0.38 11.11 0.33 4 444.43 13.17 SD40-2 15.19 52,000 8.30 0.42 7.23 0.37 8 578.14 29.26 TOTALS 20 1763.85 71.69

--------·· - -- ---------------------- ---- --- ------ ------- ----- ------ --- Project Emissions Summary

- Proposed Replacements
Calculated Emission Factors Annual Emissions BSFC (gm/bhp-hr) (ton/yr) Fleet 10 Year Emissions Activity (bhp- Factor I"IIIOx per PM per Loco hr/gal) (gal/yr) Loco loco NOx PM Qty. NOx PM GP33ECO 17.19 45,727 7.00 0.06 6.07 0.05 10 606.53 5.20 

### v//--

10 

## Emissions 

# Savings Summary 10 Year Year NOx 

## PM (tons) (tons) Existing Fleet Emissions 1763.85 71.69 Proposed Replacement Emissions 606.53 5.20 Total Emissions Reductions 1157.32 66.49

- ---Exhibit C Request for Applications (RF A)

## Request for Applications Railroad-RelatedEmission Reductions Grant Program 

### Switch-Duty Locomotive Conversions in Atlanta, Georgia
Released July 13, 2012 Application due by September 7, 2012 (within 8 weeks after release)


### GAEnvironmental Protection Division AirProtection Branch Plaiming aud SupportProgram



### The Georgia Environmental ProtectionDivision (EPD) is requesting proposals to convert traditional locomotives performing switch duties in the Atlanta PM2

### .s 'urban core' nonattainment counties, including Clayton, Cobb, DeKalb, Fulton, and Gwinnett Counties, to 'Genset' locomotives or other alternative low-emission locomotives to be used for switching. 'Genset' is a term used in the marketplace to describe a modem locomotive that meets EPA's stringent standards and can employ one or more engines. 'Switch-duties' include moving railcars around to assemble and disassemble trains, primarily withinrailyard limits. Priority will begiven to switch-duty locomotives operating closestto the EPD Fire Station #8 air quality monitor located at 1711 MariettaBlvdinFulton County (Figures 1 and 2). Up to $36 million in funding has been awarded for these conversions by the Georgia Department of Transportationto the GA EPD through the U.S. Department ofTransportation's Congestion Mitigation and Air Quality (CMAQ) Program. This Request for Applications pertains to $12 million available from 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 ofconverting older, more emissive locomotives currently performing switch duties to lower emitting locomotives, requiring a minimum 30% match. Conversions must be completed within 24 months ofthe execution offunding contracts, which may be written for incremental funding and time periods and can combine funds from the two fiscal years.
Project Goals 

### Themajor goals ofthis project are (1) to protect hnmanhealth in the Atlanta areabyreducing exposure to diesel combustion emissions and subsequent secondary air pollutants, especially 

### PMz.s (particulate matter of2.5 microns in diameter and smaller), and (2) to facilitate attainment and maintenance ofthe National Ambient Air Quality Standards (NAAQS). The development ofagreements associated with this project will incmporate any guidance received from the US EPA regarding necessary actions to ensure the applicability ofthe emission reductions resulting from this project to the AtlantaPM2

### .s State ImplementationPlan (SIP). The SIP is submitted to the US EPA bythe State ofGeorgia to demonstrate its air quality management planto attain and maintain the NAAQS.



### 1locomotive to be converted/replaced, (c) the estimated length ofremaining service ofthe locomotive to be converted/replaced, (d) the emissionlevels ofthe converted locomotive, (e) the proposed amount 

### oftime ofoperation and average duty cycle ofthe converted locomotive (possibly the same as (b)), and (f) the number ofyears (minimum 10) that the converted locomotive will remain inthe Atlanta Urban Core area. When calculating cost effectiveness, only funds to be awarded underthis grant will be included.- 50 points
EPD may fund individualprojects less than the requested amounts ifthe total amount ofthe proposals exceeds available funds as follows: Ifone proposal is received thatmeets all project criteria, that proposal will be funded at 100% ofthe available funds. Iftwo eligible proposals are received, the 2nd highest scoring proposal will be funded atthe lower ofa) the amount ofthe proposal orb) a percentage ofthe available funds determined as follows: percent ofavailable funds awarded= 20% +(total score/4)% withthe remainder awarded to the highest scoring proposal. Ifthree or more eligible proposals are received, the 3rd highest scoringproposal will be funded at the lower ofa) the amount of the proposal orb) 10% ofavailable funds, the 2ndhighest scoringproposal will be funded at a lower of a) the amount ofthe proposal or b) a percentage ofthe available funds determined as follows: percent ofavailable funds awarded= 15% +(total score/4)%, and the remainder awarded to the highest scoring proposal.
Ifthe amount offunding providedto individual projects is less than thatproject'srespective proposal, EPD may specify which switcher engines are to be converted based oncriteria 2 listed above for each switcher converted. Iftwo ormoreproposals are received, EPD may adjustthe 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 inthe award.
Penalties and/or contingencies for not meeting the tetms ofthe contract will be specified inthe funding contract in accordance with applicable requirements.
Inthe event that the applicant is offered funding less thanthe applicant proposed, andthe applicant determines inits sole discretion that such allocation offunding is inadequate for its budgeting and finance purposes, thenthe applicant may withdraw its application in whole and reject any offer of funds withoutrecourse from EPD. In addition, inthe event the funding contract offered to the applicant includes provisions orincorporates documents that contain provisions withwhichthe grantee does not agree, then grantee may withdraw its application in whole and reject any offered funds without recourse from EPD. 

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

3cycles are considered too erratic to estimate, please describe the range ofpossible cycles for the specific railyard with data supporting this assertion inthe grant application (see Application Components section 2. ii(h) below).
This activity and fuel use information is important for determining ifand how the main goals ofthis air quality improvem.ent program are met. Because the current default duty cycle and fuel use estimates available for switch locomotives are outdated and designed to represent a very large, nationwide distribution ofrailyards andlocomotives ratherthan specific in-use engines and conditions, a tailored estimate to location and locomotive, even ifapproximate, will be a much better indicator ofhistoric emission levels and achieved improvement from this program. In addition, this information will aid in supporting the use ofequipment andtechnologies that result in actual in-use emissionreductions with reliable service rather than only supporting the use ofequipment that will only reduce emissions under default duty-cycle use patterns, and will help prevent funding equipmentthat does not meet real-world operational requirements.
Description or Confirmation ofOperating Patterns
All reports beginning with the first 6-month report ofthe first year ofthe converted locomotives operation, must confirmthe use ofthe converted locomotives inthe designated areas duringthe reporting period unless the locomotive became inoperable and was unable to be repaired, which must bereported within 60 business days afterthe final determination by the locomotive owner (Grantee). The report must explain iftherehave been significant performance orunanticipated maintenance difficulties. "Designated areas" can include boththe 80% operating time within a designated distance ofassigned railyard(s) and up to 20% time that can include pre-determined standard maintenance or support locations outside the designated distance as well as outside operations. While the pre-determined standardmaintenance or support locations are allocated to the 20% 'out ofarea' operation time, they do not need to be detailed in reports. Please listthe proposed designated activities/locations inthe 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 patterns that would cause significant differences in activity data since any previous reports.

Certification/ Assurance ofProper Equipment Operation and Maintenance
All reports must include verification/assurance that the locomotives are being properly maintained in accordance with the manufacturer's specifications and are being operated in accordance withthe terms ofthe funding contract. This verification/assurance maybe inthe form ofa representation by grantee. The reportmust detail ifunexpected maintenance orrepair beyond normal operation expectations was required that caused the locomotive to be removed from service beyond normal maintenance requirements (excluding travel time to and from repair shops).
Allreports will be subject to review by the EPD, and any questions, reasonable requests for data, or concerns mustbe addressed before the project progresses. Any deviation from contractual agreements mustbereported. 5(h) Description ofnormal 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 not use the EPA default switchlocomotive duty cycle and annual switch fuel use estimates. Ifmore than one measurement/calculation option is available, describe options withthe 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 nomoad engines or diesel particulate filters.) 

### G) Cost ofconversion, including labor and materials (k) Years ofproposed commitmentto specified railyard(s) or areas (I) Proposedpercent ofannual operatingtime commitment to specifiedrailyard(s) or areas (m)Estimate ofannual fuel use before and after conversion (may be in terms of percentage ofexpected reduction or direct measurement). Iffunded, more specific fuel use measurements may be required. Please give an explanation ofhow the current estimate is made and what canbe done in the future. (n) Calculated estimate ofannual NOx and PM2.5 emissions before and after conversion (o) Description ofany additional emissionreductions or other benefits. iii) Timeline detailing the schedule and maximumtime periodneeded for converting the locomotive(s), including whenlocomotive(s) will be removed, when and ifreplacements are brought in and removed, and whenthe locomotive will be completed and inuse. Ifthe timeline is dependent on number ofconversions awarded, provide otherpotential timelines. Detail iflowerthan 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 data you can provide inthe required reports. Please submit the application electronically in either MS Word or as an Adobe pdf, and send a signed hardcopy through certified ortracked mail. Any expense incurred to prepare the applicationis 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 or purchases prior to selection are not reimbursable and are the responsibility ofthe applicant.
Formore information and/or to submitproposals, please contact: Michelle Bergin, PhD GA Environmental Protection Division Air Protection Branch, Planning and Support 4244 International Parkway Atlanta, GA 30354
404-362-4569 michelle.bergin@dnr.state.ga.us



### 7

### Switch-Duty Locomotive Conversions in Atlanta, Georgia GA Environmental Protection Division AirProtection Branch 

### Application Cover Page Company Name**CoLn_t~a-c~t~In-£~o-r_m_a~t~io-n---~T~e-c~h-n~ic-a~1--------------------~** Name**r---------------------------------------~** Mailing Address

Phone Number E-mml**r-----------------------------------------~** 

### Contact Information
- Contracts Name Mailing Address

Phone Number E-mml 

### Contactld Name Mailing Address

### ormation- Additional Contact (optional)

Phone Number E-mail 

### A I t 

### S**~ppnca** 

### wn ummary Total number ofconversions Total funding requested Total matchproposed Total project cost


### Authorized Official Name and Title

I certizytothebest ofmyknowledge that the informationprovided in this application is accurate. I agree that all ofthe minimum requirements have been orwill be met. Additionally, I understand the obligati9ns constraints associated with this proposal. I understand that completing this form simply enters me into the Gensel Locomotive Conversion funding competition and my final decision to accept the grant funding, iflwere to be selected, would occur later. Signature: Date:

_______________ _

### Request for Applications. Railroad-RelatedEmissionReductions Grant Program 

### Switch-Duty Locomotive Conversions in Atlanta, Georgia
Released July 13, 2012 Application due by September 7, 2012 (within 8 weeks after release)


### GAEnvironmental Protection Division Air Protection Branch Planning and SupportProgram



### The Georgia Environmental ProtectionDivision (EPD) is requesting proposals to convert traditional locomotives performing switch duties inthe AtlantaPM2.s 'urban core' nonattainment counties, including Clayton, Cobb, DeKalb, Fulton, and Gwinnett Counties, to 'Genset' locomotives or other alternative low-emission locomotives to be used for switching. 'Gensel' is a term used inthe marketplace to describe a modem locomotive that meets EPA's stringent standards and can employ one ormore engines. 'Switch-duties' include moving railcars around to assemble and disassemble trains, primarily within railyard limits. Priority will be given to switch-duty locomotives operating closest to the EPD Fire Station #8 air quality monitor located at 1711 MariettaBlvd inFulton County (Figures 1 and 2). Up to $36 million infunding has been awarded for these.conversions by the Georgia Department of Transportationto the GA EPD through the U.S. Department ofTransportation's Congestion Mitigation and Air Quality (CMAQ) Program. This Request for Applications pertains to $12 million available from 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 ofconverting older, more emissive locomotives currently performing switch duties to lower emitting locomotives, requiring a minimum 30% match. Conversions must be completed within 24 months ofthe execution offunding contracts, which may be written for incremental funding and time periods and can combine funds from the two fiscal years.
Project Goals 

### The major goals ofthis project are (I) to protect human health inthe Atlanta areabyreducing exposure to diesel combustion emissions and subsequent secondary airpollutants, especially PM2 

### .s (particulate matter of2.5 microns in diameter and smaller), and (2) to facilitate attainment and maintenance ofthe National Ambient Air Quality Standards (NAAQS). The development ofagreements associated with this project will incorporate any guidance received from the US EPAregarding necessmy actions to ensure the applicability ofthe emission reductions resulting from this project to the Atlanta PM2
.5 

### State ImplementationPlan (SIP). The SIP is submitted to the US EPA by the State ofGeorgiato demonstrate its air quality managementplanto attain and maintainthe NAAQS.



### 1locomotive to be converted/replaced, (c) the estimated length ofremaining service ofthe locomotive to be converted/replaced, (d) the emissionlevels ofthe converted locomotive, (e) the proposed amount oftime ofoperation and average duty cycle ofthe converted locomotive (possibly the same as (b)), and (f) the number ofyears (minimum 10) that the converted locomotive will remain inthe Atlanta Urban Core area. When calculating cost effectiveness, only funds to be awarded underthis grant will be included.- 50 points
EPD may fund individual projects less than the requested amounts ifthe total amount ofthe proposals exceeds available funds as follows: Ifone proposal is received that meets all project criteria, that proposal will be funded at 100% ofthe available funds. Iftwo eligible proposals are received, the 2nd highest scoringproposal will be funded at the lower ofa) the amount ofthe proposal orb) a percentage ofthe available funds determined as follows: percent ofavailable funds awarded= 20% +(total score/4)% withthe remainder awardedto the highest scoringproposal. Ifthree or more eligible proposals are received, the 3rdhighest scoring proposal will befunded at the lower ofa) the amount of the proposal orb) 10% ofavailable funds, the 2ndhighest scoring proposal will be funded at a lower of a) the amount ofthe proposal orb) a percentage ofthe available funds 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 thanthatproject'srespective proposal, EPD may specifY which switcher engines are to be converted based on criteria 2 listed above for each switcher converted. Iftwo or moreproposals are received, EPD may adjustthe amount offunding awardedto the 2nd and, ifapplicable, 3rdhighest scoring proposal so that the amount offunding awardedplus the amount ofmatch money provided bythe grant recipient is sufficient for the complete conversion ofthe number of!ocomotives included inthe award.
Penalties and/or contingencies for notmeeting the terms ofthe contract will be specified inthe funding contract in accordance with applicable requirements.
Inthe event that the applicant is offered funding less than the applicant proposed, and the applicant determines in its sole discretion that such allocation offunding is inadequate for its budgeting and finance purposes, thenthe applicant may withdraw its application in whole and reject any offer of funds without recourse from EPD. 

### In addition, inthe eventthe funding contract offeredto the applicant includes provisions or incorporates documents that contain provisions with which the grantee does not agree, then grantee may withdraw its application in whole and reject any offered funds withoutrecourse from EPD. 

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



### 3cycles are consideredtoo erratic to estimate, please describe the range ofpossible cycles for the specific railyard with data supporting this assertion inthe grant application (see Application Components section 2. ii(h) below).
This activity and fuel use information is important for determining ifand howthe main goals ofthis air quality improvementprogram are met. Because the current default duty cycle and fuel use estimates available for switch locomotives are outdated and designed to represent a very large, nationwide distribution ofrailyards and locomotives ratherthan specific in-use engines and conditions, a tailored estimate to location and locomotive, even ifapproximate, will be a much better indicator ofhistoric emission levels and achieved improvement from this program. In addition, this information will aid in supporting the use ofequipment and technologies that result in actual in-use emissionreductions with reliable service rather than only supporting the use ofequipmentthat will only reduce emissions under default duty-cycle use patterns, and will help prevent funding equipmentthat does notmeet real-world operational requirements.
Description or Confirmation ofOperating Patterns
Allreports beginning withthe first 6-monthreport ofthe first year ofthe converted locomotives operation, must confirm the use ofthe converted locomotives in the designated areas during the reporting period unless the locomotive became inoperable and was unable to be repaired, which must be reported within 60 business days after the final determination by the locomotive owner (Grantee). The report must explain ifthere have been significant performance orunanticipated maintenance difficulties. "Designated areas" can include both the 80% operating time within a designated distance ofassigned rail yard(s) and up to 20% time that can include pre-determined standard maintenance or support locations outside the designated distance as well as outside operations. While the**pre~determined** standard maintenance or support locations are allocated to the 20% 'out ofarea' operationtime, they do not need to be detailed in reports. Please list the proposed designated activities/locations inthe grant application, specifying bothin and out ofarea operations as expected to reduce repotting needs (see Application Components section2. ii(g) below).
The reports must detail any changes in operating patterns that would cause significant differences in activity data since any previous reports.

Certification/ Assurance ofProper Equipment Operation and Maintenance
All reports must include verification/assurance that the locomotives are being properly maintained in accordance with the manufacturer's specifications and are being operated in accordance withthe terms ofthe funding contract. This verification/assurance may be in the form ofa representation by grantee. The report must detail ifunexpected maintenance orrepair beyond normal operation expectations was required that caused the locomotive to be removed from service beyond normal maintenance requirements (excluding travel time to and from repair shops).
All reports will be subject to review bythe EPD, and any questions, reasonable requests for data, or concerns must be addressed before the project progresses. Any deviation from contractual agreements mustbereported. 

### 5(h) Description ofnormal 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. Donot use the EPA default switch locomotive duty cycle and annual switch fuel use estimates. Ifmore than one measurement/calculation option is available, describe options withthe benefits and detriments ofusing eachmethod. (i) Kit or procedure for conversion (description ofequipment and process, particularly as related to emissions reduction such as use ofTier 4 nonroad engines or diesel particulate filters.) 

## G) Cost ofconversion, including labor and materials (k) Years ofproposed commitment to specified railyard(s) or areas (l) Proposed percent ofannual operatingtime commitment to specified railyard(s) or areas (m)Estimate ofannual fuel use before and after conversion (may be interms of percentage ofexpected reduction or direct measurement). Iffunded, more specific fuel use measurements may be required. Please give an explanation ofhowthe current estimate is made and what can be done inthe future. (n) Calculated estimate ofannual NOx and PM2.5 emissions before and after conversion (o) Description ofany additional emission reductions or otherbenefits. iii) Timeline detailing the schedule and maximum time period needed for converting the locomotive(s), including when locomotive(s) will be removed, when and ifreplacements are brought in and removed, and when the locomotive will be completed and inuse. Ifthe timeline is dependent on number ofconversions awarded, provide otherpotential timelines. Detail iflowerthan average emitting replacements can/will beutilized.
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 data you canprovide inthe required reports. Please submit the application electronically in either MS Word or as an Adobe pdf, and send a signed hardcopythrough certified 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 not reimbursable and are the responsibility ofthe applicant.
For more information and/or to submitproposals, please contact: Michelle Bergin, PhD GAEnvironmental ProtectionDivision Air Protection Branch, Planning and Support 4244 International Parkway Atlanta, GA 30354 404-362-4569 michelle.bergin@dnr.state.ga.us

7

### Switch-Duty Locomotive Conversions in Atlanta, Georgia GA Environmental ProtectionDivision Air Protection Branch 

### Application Cover Page CompanyName**CoLn~t-a-ct~I~n~~~o_r_m_a~t~io-n---=T~e-c~h-n~ic-a~l--------------------~** Name 

## r---------------------------------------_, Mailing Address**r---------------------------------------~**

Phone Number

. E-mail 

## r---------------------------------------_,**L---------~----------------------------~** 

### Contact Information
- Contracts Name Mailing Address

PhoneNumber E-mail 

### ContactIn:f Name Mailing Address

### ormation- Additional Contact (optional)

Phone Number E-mail 

### A I t 

### S lppnca Ion ummary Total number ofconversions Total funding requested

Total matchproposed Total project cost


### Authorized Official Name and Title
I certify to the best ofmy knowledge that the infmmation 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 fmm simply enters me into the Gensel Locomotive Conversion funding competition and my final decision to acceptthe grant funding, ifI were to be selected, would occur later. Signature: Date:

________________ __