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 Grant Program: 

Switch-Duty Locomotive Conversions in Atlanta, Georgia 

Dear Mr. Corbin: 

Attached is an exact duplicate of the emailed copy of a contract between Norfolk Southern Railway 

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 of this contract is sixteen million 

four hundred thirty- eight dollars ($16,438,000.00). All invoices are due by November 5, 2015. 

If you have any questions, please call me at 404-363-7012. We look forwaTd to working with NS on 

this impmiant project. 

owly, ~.~ 

Lym~ Contract Administrator 

KLC 

Enclosure: Executed Agreement 

c: MarkDuve 

Michelle Bergin 
CONTRACT 

Between 

Georgia Department ofNatuml Resources, 

Environmental Protection Division 

And 

Norfolk Southern Railway Company 

For 

CMAQ Railroad-Related Emission Reductions Grant Program: 

Switch-Duty Locomotive Conversions in Atlanta, Georgia 

This CONTRACT is made effective as of the .2-tzjf- day of /Jt h I 2014. 

This CONTRACT is by and between the Georgia Department of Natural Resources, 

Environmental Protection Division, (the "Division"), and Norfolk Southern Railway Company 

(the "CONTRACTOR"). 

WITNESSETH 

WHEREAS, the Division is established as an agency of State 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" contribute to poor air quality in Georgia; and 

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

WHEREAS, advanced technologies and teclmiques are not required but can be 

voluntarily applied to greatly reduce locomotive emissions and reduce fuel use; and 
WHEREAS, the Division received Federal fi.mding in the amount of twenty four million 

dollars ($24,000,000) through the Georgia Department of Transportation from the Congestion 

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

nonattainment area through the reduction oflocomotive emissions; and 

WHEREAS, the Georgia Department of Natural Resources Board approved eligibility 

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

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

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

with a due date of September 7, 2012; and 

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

to be fi.mded according to terms and conditions of this CONTRACT; and 

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

contractual anangement to reduce emissions from locomotives used for switching in Atlanta for 

the purposes of improving air quality in Georgia using the CMAQ funding; and 

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

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

is provided to the state through the Federal Intermodal Surface Transportation and Efficiency 

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

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

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

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

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

designated in the CONTRACTOR's Project Proposal Addendum, Proposal, and Supplemental 

Materials as attached hereto as Exhibit B (the "Project Proposal"). In consideration of the 

2 
mutual promises and terms and conditions set forth herein, the Parties hereto do mutually agree 

as follows: 

1. Scope of Services · 

A. The CONTRACTOR shall do, perform, and catTy out in a safe, efficient and 

workmanlike matmer, the following services pertaining to Railroad-Related 

Emission Reductions in support of the Division's cunent and future progratns: 

The services shall include those items described below in Section l.B. and 

included in the attached Exhibit A: Norfolk Southern Railway, Company Scope of 

Work for Switch-Duty Locomotive Conversions in Atlanta, Georgia project 

(collectively, the "Project"). 

B. The CONTRACTOR shall perform or contract to perform all tasks as described in 

the Project Proposal. Specifically, the Project shall consist of the 

CONTRACTOR (1) converting 20 Tier 0 or lower locomotives ("Original 

Locomotives") with at least five ( 5) years expected remaining life to ten (1 0) 

mother/slug sets, where the "mother" locomotive will meet EPA Tier 3 Switch 

Duty emission standards or better (lower emissions )("Converted Locomotives"), 

and (2) install locomotive technology to accommodate an electric layover system 

on the Converted Locomotives and install plug-in stations and associated yat'd 

infrastructure to operate an electric layover heating system, all as fmiher 

described in the Project Proposal. 

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

the Division to the extent such requests at"e intended to verify that the conditions 

of CMAQ and this CONTRACT are met, including without limitation the 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 shall provide copies of procurement contracts and subcontracts 

used in cormection with the Project if requested by the Division. The 

CONTRACTOR shall provide Project-related records if requested by the 

Division. The. CONTRACTOR and its employees shall fully cooperate with 

investigation directly related to activities and transactions regarding CMAQ grant 

project funding for this Project. Notwithstanding any of the foregoing, the 

3 
CONTRACTOR shall have no obligation to conduct extra-operational studies or 

investigations or to generate data not generated in the normal course of business 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 Project Proposal. The result(s) of a governmental 

audit or investigation shall be made available to the public, but CONTRACTOR 

may seek to withhold company confidential or business proprietary info1mation 

from public availability. 

D. The CONTRACTOR shall maintain the Converted Locomotives sufficiently to 

assure each Converted Locomotive remains operational for a period of ten years 

from the date after that Conve1ted Locomotive is retrofitted (the "Operating 

Period") and shall operate the Converted Locomotives at least 80% of each 

Conve1ted Locomotive's operational hams in and mound the Atlanta Te1minal, as 

described in the Project Proposal and in accordance with the attached Exhibit A: 

Scope of Work. The Division understands that the CONTRACTOR does not 

pe1manently assign locomotives to particular yards, and actual locomotives 

required for switching will vmy from day to· day depending upon rail traffic 

volume and locations, and depending on the availability of locomotives to meet 

operational needs. The ten-year period for each Converted Locomotive will start 

on the date that the Converted Locomotive is placed into revenue service. The 

CONTRACTOR shall not sell any Converted Locomotive until the Operating 

Period has passed or the Conve1ted Locomotive has been dete1mined to be 

damaged beyond repair or permanently inoperable. 

2. Reporting. 

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

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

reports in the e-mail with one in Microsoft Word format and the second in a PDF 

format. The CONTRACTOR shaH submit a hard copy of the repo1t upon the 

Division's request. 

B. The CONTRACTOR shaH promptly report any credible evidence that a principal, 

employee, agent, sub-contractor, CONTRACTOR, or other person has submitted 

false claims under the False Claims Act or has committed a criminal or civil 

4 
violation of laws pertaining to fraud, conflict of interest, bribery, gratuity, or 

similar misconduct involving funds provided under this grant ftmdiilg. 

3. Method of Payment. 

A. The funding provided by the Division shall not exceed sixteen million, four 

hundred thirty-eight thousand ($16,438,000.00). The CONTRACTOR shall 

provide at least seven million, forty-four thousand, eight hundred fifty-eight 

dollars ($7,044,858.00) in matching funds towards completion and administration 

of the Project. In the event that the total project cost is less than sixteen million, 

four hundred thirty-eight thousand dollars ($16,438,000.00), the CONTRACTOR 

must only provide thirty percent of the total project cost in matching funds. 

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

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

70% of the total Project expenses to assure the CONTRACTOR has fulfilled the 

minimum in-kind match of up to 30% at all times. Invoices must be munbered 

consecutively and submitted quarterly and contain a detailed description of the 

labor, material, and equipment costs m1d any other expenses incmred. The 

invoice must explicitly state the eligible match paid by the CONTRACTOR for 

these expenses. 

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

tasks along witl1 itemized expenses incurred, the eligible match portion paid, any 

pmiions already paid by the grant, m1d the requested grant distribution. The 

CONTRACTOR shall prominently display the in-kind match percentage on the 

invoice that accounts for the requested distribution and all previous distributions 

associated with the Project. 

D. The CONTRACTOR shall return all governmental project funds paid as a pmi of 

this CONTRACT to the Division if the United States Department of 

Transportation or Georgia Department ofTrm1sportation requires the Division to 

return the project funds due to the CONTRACTOR'S failure to satisfactorily 

complete any portion of this CONTRACT. 

4. Term and Termination. 

5 
A. Tenn. The "Term" of this CONTRACT will begin on the date noted on page one 

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

2015, unless terminated earlier under the provisions of this CONTRACT. 

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

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

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

agreements, or stipulations of this Contract, the DIVISION shall thereupon have 

the right to terminate this Contract by giving written notice to the 

CONTRACTOR of such termination and specifying the effective date thereof, at 

least 30 days before the effective date of such termination. 

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

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

5. Additional Te1·ms and Conditions. 

Additional tenus and conditions governing this CONTRACT are listed below. 

A. The Pmiies will identifY the project as -Norfolk Southern Atlanta, GA 

Locomotive Conversions and send written communications under this 

CONTRACT to the respective liaisons at the addresses as identified below: 

The Division 

Michelle Bergin, PhD 

Planning and Regulatory 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 CONTRACTOR hereby certifies that: 

(a) A drug-free workplace will be provided for employees during the 

performance of this CONTRACT; and 

(b) It will secure fiom any subcontractor hired to work in a drug-free 

workplace the following written ce1iification: "As pmi of the 

subcontracting agreement with (Contractor's Nmne), 

(Subcontractor's Name) certifies to the CONTRACTOR that a 

6 
drug-free workplace will be provided for the subcontractor's 

employees during the performance of this CONTRACT pursuant 

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

2) The CONTRACTOR may be suspended, terminated, or debarred if it is 

determined that: 

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

(b) The CONTRACTOR has violated such certification by failure 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 with respect to the activities 

contemplated to be 1mde!'taken by the CONTRACTOR pursuant to the 

CONTRACT are or will be fully satisfied by the CONTRACTOR so that the 

Division will not have any obligations with respect thereto. 

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

CONTRACTOR hereto aclmowledges that the Division, as an agency of the State 

of Georgia, is prohibited from pledging the State's credit. In the event that the 

source of payment no longer exists or is insufficient with respect to the Services, 

this CONTRACT shall terminate without further obligation of either Party as of 

that moment. The Division shall remain obligated to pay for Services perfmmed 

and accepted by the Division prior to such tennination. The DIVISION shall 

provide notice to the CONTRACTOR as soon as it becomes aware that the source 

of payment no longer exists or is insufficient with respect to the services. The 

determination of the Division of the events stated above shall be conclusive. 

E.. Any suit brought to enforce this CONTRACT or to determine any dispute 1mder 

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

Georgia. The Pmties agree to submit to the personal jurisdiction of the Superior 

Court of Fulton Com1ty. 

F. Trafficking Victims Protection Act of2000 Prohibition Statement- The 

CONTRACTOR will not engage or allow employees, subcontractors, or 

subcontractor employees to engage in severe forms of trafficking in persons 

dming the period of time that the awm·d is in effect: procure a commercial sex act 

7 
during the period of time that the award is in effect; or use forced labor in the 

performance of this contract. 

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

respect to the subject matter of this CONTRACT and may be altered or amended 

only by a subsequent written agreement signed by each of the Parties hereto. This 

CONTRACT supersedes all prior agreements, negotiations, and communications 

of whatever type, whether written or oral, between the pmiies hereto with respect 

to the subject matter of this CONTRACT. No waiver of any of the provisions of 

this CONTRACT shall be binding unless executed in writing by the Party making 

the waiver. No waiver of one provision shall constitute a waiver of any other 

provision nor shall any be deemed a continuing waiver. 

H. The headings of the pm·agraphs and subparagraphs hereof are for descriptive 

pmposes only and do not modifY or qualify any of the rights or obligations set 

forth in this CONTRACT. 

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

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 an independent auditor, if it expends $500,000 

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

of a recipient's fiscal year or thirty days after receiving the report from the 

auditor, the recipient shall submit the SF-SAC and a Single Audit Repmi Package 

to the Division. 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 with all requirements or regulations of the Division 

that m·e currently applicable or become applicable during the term of this 

CONTRACT. 

6. . Georgia Security and Immigration Compliance Act of 2006. 

A. Pursuant to the Georgia Secmity and Immigration Compliance Act of 2006, the 

CONTRACTOR m1derstands and agrees that compliance with the requirements of 

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

8 
conditions of this CONTRACT. The CONTRACTOR hereby wan·ants 

compliance with the Immigration Reform and Control Act of 1986 (IRCA), D.L. 

99-603 and the Georgia Security and Immigration Compliance Act, O.C.G.A. § 

13-10-90 et. seq., by registering at https://www.visdhs.com/EmployerRegistration and verifying information of all new employees; 

and by executing any affidavits required by the rules and regulations issued by the 

Georgia Department of Labor 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 by reference herein. 

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

contracts with any subcontractor(s) in com1ection with this CONTRACT, the 

CONTRACTOR shall include a similar provision 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 Division upon 

request. 

7. New Restrictions On Lobbying as set forth in Title 40 CFR Part 34. Funding 

provided in this CONTRACT is approp1iated Federal funding in the form of a grant from 

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

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

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

attempting to influence an officer or employee of any agency, a Member of 

Congress, an officer or employee of Congress, or an employee of a Member of 

Congress in connection with any of the following covered Federal actions: the 

awarding of any Federal contract, the making of any Federal grant, the making of 

any Federal loan, the entering into of any cooperative agreement, and the 

extension, continuation, renewal, amendment, or modification of any Federal 

contract, grant, loan, or cooperative agreement. 

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

loan, or cooperative agreement shall file with that agency a certification, set forth 

in Exhibit F, that the person has not made, and will not make, any payment 

prohibited by paragraph A of this section. 

9 
C. Each person who requests or receives from an agency a Federal contract, grant, 

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

forth Exhibit E, if such person has made or has agreed to make any payment using 

nonappropriated funds (to include profits from any covered Federal action), which 

would. be prohibited under paragraph A of this section if paid for with 

appropriated funds. 

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

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

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

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

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

ATTEST: 

ATTEST: 

Depatiment ofNatmal Resources 

Environmental Protection Division 

Norfolk Southern Railway Company 

10 
Scope of Work 

Exhibit A 

Norfolk Southern Railway Company Scope of Work 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 of the CONTRACT, CONTRACTOR will perform tasks as described in the 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 of execution of the 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 in the 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 (1 0) 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) ("Converted Locomotives"), and (2) 

install locomotive technology to accommodate an electric layover system on the 

Converted Locomotives and install plug-in stations and associated yard infrastructure to 

operate an electric layover heating system, all as fmiher described in the Project 

Proposal. While PM emissions are lower than EPA 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 of ten years from the date 

after each Conve1ied Locomotive is retrofitted (the "Operating Period") and shall operate 

the Converted Locomotives at least 80% of each Conve1ied Locomotive's operational 

hours in and around the Atlanta Terminal as described in the Project Proposal. The 

Operating Period and number of operational hours may be modified if the Converted 

Locomotive is damaged such that the CONTRACTOR and the DIVISION mutually 

agree that it can be removed 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 that the 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 Division understands that the CONTRACTOR does not permmently 

assign locomotives to particular yards, and actual locomotives required for switching will 

vary from day to day depending upon rail traffic volume and locations, and depending on 

the availability of locomotives to meet operational needs. The CONTRACTOR shall 

inform the Division of all Converted Locomotives that are removed from the fleet due to 

damage or inoperability. The ten-year period for each Conve1ied Locomotive will stmi 

on the 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 3 
passed or the Converted Locomotive has been determined to be damaged beyond repair 

or permanently inoperable. 

D. Initial Report: Before converting the locomotives, the CONTRACTOR shall submit an 

initial report containing the following infmmation: 

(1) Work scope as provided in the Project Proposal. 

(2) Estimated emissions reductions. This estimate may use data as provided in the 

Project Proposal if there have been no changes in emission levels of the original 

and conve1ted locomotives from the Proposal. 

E. Post Conversion Report: The CONTRACTOR shall submit a post conversion report 

within one month (30 days) after each locomotive mother/slug unit is placed into service 

in the Atlanta Terminal. The report shall contain the following: 

(1) Estimated emissions levels, which may include regulatory tier requirements. 

(2) Locomotive numbers for the Original Locomotives and the Converted 

Locomotives. 

(3) Pictures showing major components installed during the conversion. 

(4) . Pictures of the completed Conve1ted Locomotives and their emissions labels. 

(5) Certification/ assurance that emissions critical components were properly installed 

on the Conve1ted Locomotives and are in working condition. 

(6) If the proposed time for completing the conversion is exceeded, an explanation of 

the delay. 

F. Rulllling repmts will be submitted every six months for the first two years (commencing 

within six months after submission of the post conversion repmt) and =ually for eight 

years thereafter. These repmts may be combined for the locomotives converted under 

this CONTRACT. The rurming repmts will contain the following information: 

(1) Estimated emissions and fuel consumption, which may include estimates or 

calculations based on known information including data fi·om the Project 

Proposal. 

(2) Description or confirmation of general operating patterns of the Conve1ted 

Locomotives . 

(3) Certification or assurance of proper operation and maintenance of the Conve1ted 

Locomotives, in particular the emissions critical components. 

G. The CONTRACTOR shall submit any reports to the Division by electronic mail (e-mail) 

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

format and the second in a PDF format. The CONTRACTOR shall submit a hard copy 

of the repmt upon the Division's request. 

H. Notwithstanding anything to the contrary herein, in the Project Proposal or in the Request 

for Applications, CONTRACTOR shall have no obligation to conduct extra-operational 

studies or investigations or to generate data not generated in the normal course of 

business in order to compile the repmts above or any other information requested by the 

Division under this CONTRACT. Fmther, the Division acknowledges the repmting 

limitations as set fo1th in the Project Proposal, and CONTRACTOR shall not be required 

to prepare or submit any data or infmmation that is contrary to those limitations. 

Specifically, but not by way oflimitation, CONTRACTOR does not determine actual 

A-2 of3 
fuel usage by locomotive and as such cannot determine actual fuel used by each 

Converted Locomotive, and CONTRACTOR cannot determine or track actual duty cycle 

over the Operating Period for each Converted Locomotive. The CONTRACTOR will 

use estimates for such determinations and may use best available information, which may 

include engineering estimates based on knowledge and experience of such operations. 

I. CONTRACT funds will cover up to 70% of the total cost of the Project and will be 

distributed to the CONTRACTOR incrementally (not more than once per annual qmuter) 

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

incremental distribution. 

J. The CONTRACTOR shall only invoice the Division for expenses eligible for award 

funding. As part of the invoice, the CONTRACTOR shall certify each task that has been 

completed. Upon completion of the Project, the CONTRACTOR shall submit a final 

invoice requesting up to the remaining funds for any unpaid task expenses provided 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 of Payment section of the CONTRACT. 

K. The CONTRACTOR shall only invoice the Division for eligible expenses resulting from 

the Converted Locomotive conversions as part of completing tasks as described by the 

CONTRACTOR's Project schedule (Exhibit B). 

L. The CONTRACTOR may 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, or for other similar 

costs. The CONTRACTOR may not seek fees for consultants in excess of five hundred 

eighty-seven dollars and twenty cents ($587.20) per day nor seventy-three dollars and 

forty cents ($73.40) per hour. 

PageA-3 of3 
ExhibitB 

CONTRACTOR's Project Proposal and Supplemental Material 

Norfolk Southern application and additional supplied information 

a. Proposal 

b. Updated emission reduction summary table (based on released Tier 3 factors) 

c. Requested supplemental information 

d. Revised emission reduction summary table using the EPA default duty cycle (2 

versions) 

e. Comparison of the proposed technology with Genset locomotives (2 emails) 

f. Addendum to account for partial funding 
Application Cover Page 

Company Name I NorfolkSouthern 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.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 

Phone Number 

E-mail 

Contactinf 

Name 

Mailing Address 

ormatwn- Add itional Contact (optional ) 

Phone Number 

E-mail 

Total number of conversions 

Total funding requested 

Total match proposed 

Total project cost 

AlitiS UJPJ ca on ummary 

Sixteen 

$24,000,000 

$10,492,000 

$34,492,000 

Authorized Official · 

Name and Title I Donald D. Graab, Vice President- Mechanical 

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

thai all of the 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 I Norfolk Southern Railway Company 

Contact Information- Technical 

Name 

Mailing Address 

Phone Number 

E-mail 

Mark F. Duve 

Mechanical Department- Box 184 

1200 Peachtree Street NE 

Atlanta, GA 30309-3579 

404-582-6743 

Mark.Duvte@nscorp.com 

Contact Informatwn- 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 

Contact In£ 

Name 

Mailing Address 

ormation- Additional Contact (optional). 

Phone Number 

E-mail 

Total number of conversions 

Total funding requested 

Total match proposed 

Total project cost 

A >ppuca r r wn s ummary 

Sixteen 

. $24,000,000 

$10,492,000 

$34,492,000 

Authorized Official 

Name and Title I Donald D. Graab, Vice President -Mechanical 

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

that all of the minimum requirements have been or will be met 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 1 
funding 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. locomotives to mother/slug 1 technology using Tier 3 engines with any funding resulting fi·om this 

application. Norfolk Southern anticipates convetiing pre-1973 

locomotives with a potential service life of at least five remaining years of 

service. At this time, Norfolk Southern is operating eight pre-1973 

locomotives in or around the Atlanta Termhial.. It is anticipated that these 

eight locomotives, or similar pre-1973 GP38-2locomotives that are 

operating in or around the Atlanta Tenniual at the time ofthe award, will 

be converted to part of seven Tier 3 mother/slug pairings. Because certain 

. switcher locomotive models at the Atlanta Terminal typically operate in 

pairs and others as single units, depending on horsepower and·tractive 

effort of each, 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 of engines. It is anticipated that once converted, the 

sixteen mother/slug locomotive sets funded by this project would replace 

pre-1973 or Tier 0 locomotives that are at that time operating in yard and 

local service in and around the Atlanta Terminal. Based on the current 

mix of locomotives in and around the Atlanta Terminal, Norfolk Southern 

anticipates removing the following locomotives from the Atlanta Terminal 

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 operating in 

and around the Atlanta Terminal at the time ofthe award, Norfolk 

Southern anticipates emissions benefits on the same order of magnitude as 

these replacements, and for purposes ofthis application, uses these models 

for those emissions calculations. 

g. Locations of Locomotive Operation 

Currently, Norfolk Southern has approximately 33 locomotives operating 

hi switcher service the Atlanta Terminal. The Atlanta Terminal is made 

up of four 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 Marietta Road NW, Atlanta, Fulton County, GA; (2) South Yard, 

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

· using this funding, Norfolk Southern is not willing to destroy a Tier 0 locomotive that is operating in compliance 

with applicable USEPA rules in order to convert it to a reduced 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 of the 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 that time 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 of the system. 

Norfolk Southern GA EPD Emissions Locomotive Conversion Application 2012 Page 3 
i. 

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 the time the locomotive is shut down 

for servicing or during other shutdown times when the locomotive is not 

operational. It is expected that when in service, the converted locomotives 

will have a different set of operational cycles due in part to 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%, 

Kit Procedure for Conversion 

The installation of the 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 in Altoona, PA. Norfolk Southern has 

experience in applying mother/slug kits on other locomotives that were 

funded under American Recovery and Reinvestment Act Funding for the 

National Clean Diesel Funding Assistance Program (EPA-ARRA-OAROTAQ-09-06). 

The maniJfacturing of the slug is similar to the repower of an existing 

locomotive with the exception of instead of replacing 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 of the mother/slug conversion is 

as follows: 

Norfolk Southern GA EPD 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 of this 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 shown that automatic engine start/ stop can reduce idle 

time by approximately 63% on an EPA switch duty cycle. Applying the 

results of this study to the Atlanta duty cycle as 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 of the mother locomotive engines due to 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 Project Emissions 

The estimated annual project emissions reductions are as follows: 

Total Estimated Project Emissions 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 of the 

locomotive replacement calculations provided 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 Conversion Application 2012 Page 7 
• "'<· 

... ., . 

schedule contemplated by the GA EPD Request for Applications as shown in the 

timeline below, the dates for completion of the 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!ug sets 9 and I 0 

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 eight month lead time for the first 2000 hp 

mother/slug conversion kit. All mother/slug sets are anticipated to be placed in 

servi\:e out ofthe Atlanta Terminal within approximately two weeks of 

completion. 

3) · Other Information and Comments 

Norfolk Southern has obtained activity data using a sample set from event recorders on a 

one-time basis. Given that the exact units to be taken out of service may or may not have 

been operating within the Atlanta region for significant times prior to their removal from 

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

will not be comprised of additional event recorder 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 of fuel usage for the conveJied locomotives in any 

reporting required by a funding arrangement for this project. Again, Norfolk Southern 

does not have the means to measure actual fuel use per locomotive -even for the 

converted locomotives - and cannot justifY 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 

right to select the mix of locomotives that will be replaced or converted with such 

funding, so long as pre-1973 locomotives are to be converted and Tier 0 or pre-1973 may 

be replaced in the Atlanta Terminal. 

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

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

Norfolk Southern GA EPD Emissions Locomotive Conversion Application2012 Page 13 
.T/N 

s. 

.7 

t;., 

~·· ":.~: 

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;2. 

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Appendix B 

E~i_ffi:~t~d MP15DC Tfei"O [i:i'J\ym ~il ~mr;~;;,.,;; oota · . Bilsed.iipdn SD.4d~2-Scal_ed f(if H.tifse.~Owe-r 

.~i:f ~-~t.e. He ~ar N<i~ 

fli-IP lb/hr .. etilr" i/fir. 

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t;i~ -5~6 26? ;sJM 453 _ll!~ 12_0_75. 

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Norfolk Southern GA EPD Emissions Locomotive Conversion Application2012 Page 15 
Michelle Bergin- Updated Emission Calculations for 2012 Application 

From: 

To: 

Date: 

Subject: 

"Duve, Mark F." <mark.duve@nscorp.com> 

Michelle Bergin <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 Summary EPA SWDuty Cycle. pdf; 2102 GA 

EPD App Emis Cales EPA SW Duty 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 of the 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 I hold them 

confidential. I had told Electro-Motive that I needed to submit the factors to the GA EPD and have received 

permission with the request that I mark the factors confidential. Electro-Motive acknowledges that the 

"Summary" numbers are not confidential and does not have any issues with the numbers. 

If there are any questions, please do not hesitate to call me. I am in the office today, and I will 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 

Phone 404-582-6743 

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 Year Total 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 

10 Year 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 Conversion Application 

Page 1 of 1 

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

Michelle, 

The attached document contains the requested supplemental information regarding Norfolk Southern's 2012 

Emissions locomotive Conversion Application. If there 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 

Phone 404-582-6743 

Mobile 404-989-6192 
Supplemental Information for Norfolk Southern Railway Company 

2012 Locomotive Conversion Application 

Following is information to supplement the 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 of the 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 of ihe same or 

lower tier. All of the locomotives to be converted will be owned by Norfolk Southern. We also 

note that not all of these 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 

1 
4) 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 to reduce 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 battery voltage drop below desired levels. While AESS 

systems do eliminate some of the idle time, there are operational limitations to the 

effectiveness of those systems. In particular, in cold weather, it takes significantly more power 

to crank over a locomotive engine, and the cold temperatures increase the amount of time to 

charge a battery. AESS systems do not accommodate the necessary battery power sufficient to 

start the 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 out the 

engine starting compo~ents and reduce the life ofthe bearings. To alleviate the increaskd wear 

rates, certain AESS systems limit the amount of starts and stops per day. One of the common 

AESS systems allows only six starts and stops in a day, although a locomotive may have 

significantly more starts/stops between yard jobs. Thus, despite the exisience of an AESS 

system, the engine may spend significant time idling. 

As part of the emissions locomotive conversion, Norfolk Southern is proposing to equip the" 

' ' 

: repowered locomotives with an electric layover system to supplement the AESS systems. The 

electric layover heating system is comprised of an 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 of the 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 of the 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. 

3 
Electric layover Emissions Savings for the 

3000 Horsepower 710ECO Locomotive 

Average Estimated Daily Idle Run Time with AESS Active( hours) 1 

Average Expected Availability of the 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 of AESS 

equipped locomotives that frequently operate in, Georgia, and 

Alabama. Actual daily idle time while under AESS 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. I am 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 .. • \ 1 
2012 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 

10 Year 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 -Please Delete 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 App Emis Cales EPA SW Duty Cycle Rev B.pdf; 2012 

GA EPD Emis Summary EPA SW Duty Cycle Rev B.pdf 

While checking over the last files I had sent, I found an error in one of the 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 

Phone 404-582·6743 

Mobile 404-989-6192 
2012 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 

10 Year 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 

~~~~~~ •' 

17.19 45,727 7.00 o.o6, 5.83 0.0~< < 

Savings per ' 

Mother/slug '16.42 g_.,sg' 

Emission Reductions Annual Savings 82.12 2.35 for4 Sets 

10 Year Total 821.24 23.47 

**GP38-2s'" Atlanta are pre-1973 w1th uncontrolled emiSSions 

Project Emissions Summary- S040-2 vs 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 76.36 
Emissions 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, Mark F." <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 of locomotive engineers, I have inquired about the 

performance abilities of the genset locomotives. In order to pull 30 cars from a stop, which is typical yard work, 

the genset must have all three engines running. If the 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 start trains 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 of the 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 

Phone 404-582-6743 

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 of the 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 of PM calculated under the 

US EPA switch duty cycle. The publicly funded cost per ton 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 of locomotives 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 of locomotives operating in the Atlanta Terminal to 

accommodate changing business needs. Specifically, at this time, the number of MP15DCs operating in 

the Atlanta Terminal is now 8 (from 10 at date of application) and the number of SD40-2s 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 grant that was a portion of the 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 of the allocated grant 

funding, NSRC proposes to replace 20 locomotives with 10 GP33ECO mother/slug sets. Each 

mother/slug set will 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 mother slug 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 of plug 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 of the cost, 

as well as any additional costs above the grant amount. As such, NSRC estimates that the GA EPD grant 

will fund $16,439,735 of the total cost and NSRC will contribute $7,857,787, which is in excess of 30 

percent of the total cost. 

A summary of the 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 per Ton NOx Reduction 

($/ton*) $15,447 $14,186 

Project cost per Ton PM Reduction _ilj;/ton*) $318,471 $246,954 

*Public funds per tons of emissions 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-Related Emission 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) 

GA Environmental Protection Division 

Air Protection Branch 

Plaiming aud Support Program 

The Georgia Environmental Protection Division (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 within rail yard limits. Priority will be given to switch-duty locomotives operating 

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

(Figures 1 and 2). 

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

Transportation to the GA EPD through the U.S. Department of Transportation'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% of the cost of converting older, more emissive locomotives 

currently performing switch duties to lower emitting locomotives, requiring a minimum 30% match. 

Conversions must be completed within 24 months of the execution of funding 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 of this project are (1) to protect hnman health in the Atlanta area by reducing 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 of the 

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

this project will incmporate any guidance received from the US EPA regarding necessary actions to 

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

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

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

1 
locomotive to be converted/replaced, (c) the estimated length of remaining service of the 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

proposal. 

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

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

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

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

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

conversion of the number of locomotives included in the award. 

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

contract in accordance with applicable requirements. 

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

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

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

funds without recourse from EPD. In addition, in the event the funding contract offered to 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 

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 of the conversion(s), 

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

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

3 
cycles are considered too erratic to estimate, please describe the range of possible cycles for the 

specific rail yard with data supporting this assertion in the grant application (see Application 

Components section 2. ii(h) below). 

This activity and fuel use information is important for determining if and how the main goals of this 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 of rail yards and locomotives rather than specific in-use engines and conditions, a tailored 

estimate to location and locomotive, even if approximate, will be a much better indicator of historic 

emission levels and achieved improvement from this program. In addition, this information will aid in 

supporting the use of equipment and technologies that result in actual in-use emission reductions with 

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

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

operational requirements. 

Description or Confirmation of Operating Patterns 

All reports beginning with the first 6-month report of the first year of the converted locomotives 

operation, must confirm the use of the 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 or unanticipated maintenance 

difficulties. 

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

railyard(s) and up to 20% time that can include pre-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 of area' operation time, they 

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

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

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

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

activity data since any previous reports. 

Certification/ Assurance of Proper Equipment Operation and Maintenance 

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

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

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

The report must detail if unexpected maintenance or repair 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 by the EPD, and any questions, reasonable requests for data, or 

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

must be reported. 

5 
(h) Description of normal and occasional operation cycles/duties, with a description of 

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

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

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

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

detriments of using each method. 

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

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

particulate filters.) 

G) Cost of conversion, including labor and materials 

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

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

areas 

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

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

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

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

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

conversion 

( o) Description of any additional emission reductions or other benefits. 

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

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

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

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

Detail iflower than average emitting replacements can/will be utilized. 

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

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

reports. 

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

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

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

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

to selection are not reimbursable and are the responsibility ofthe applicant. 

For more information and/or to submit proposals, 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 

Air Protection 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 ~ppnca t wn S ummary 

Total number of conversions 

Total funding requested 

Total match proposed 

Total project cost 

Authorized Official 

Name and Title 

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

that all of the minimum requirements have been or will be met. Additionally, I understand the 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, ifl were to be selected, would occur later. 

Signature: Date: _______________ _ 
Request for Applications. 

Railroad-Related Emission 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) 

GA Environmental Protection Division 

Air Protection Branch 

Planning and SupportProgram 

The Georgia Environmental Protection Division (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. 'Gensel' 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 within railyard limits. Priority will be given to switch-duty locomotives operating 

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

(Figures 1 and 2). 

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

Transportation to the GA EPD through the U.S. Department of Transportation'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% of the cost of converting older, more emissive locomotives 

currently performing switch duties to lower emitting locomotives, requiring a minimum 30% match. 

Conversions must be completed within 24 months of the execution of funding 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 of this project are (I) to protect human health in the Atlanta area by reducing exposure 

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

matter of2.5 microns in diameter and smaller), and (2) to facilitate attainment and maintenance of the 

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

this project will incorporate any guidance received from the US EPA regarding necessmy actions to 

ensure the applicability of the emission reductions resulting from this project to the Atlanta PM2.5 State 

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

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

1 
locomotive to be converted/replaced, (c) the estimated length of remaining service of the 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

proposal. 

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

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

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

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

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

conversion of the number of!ocomotives included in the award. 

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

contract in accordance with applicable requirements. 

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

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

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

funds without recourse from EPD. In addition, in the event the funding contract offered to 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 

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 of the conversion(s), 

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

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

3 
cycles are considered too erratic to estimate, please describe the range of possible cycles for the 

specific rail yard with data supporting this assertion in the grant application (see Application 

Components section 2. ii(h) below). 

This activity and fuel use information is important for determining if and how the main goals of this air 

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

available for switch locomotives are outdated and designed to represent a very large, nationwide 

distribution of rail yards and locomotives rather than specific in-use engines and conditions, a tailored 

estimate to location and locomotive, even if approximate, will be a much better indicator of historic 

emission levels and achieved improvement from this program. In addition, this information will aid in 

supporting the use of equipment and technologies that result in actual in-use emission reductions with 

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

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

operational requirements. 

Description or Confirmation of Operating Patterns 

All reports beginning with the first 6-month report of the first year of the converted locomotives 

operation, must confirm the use of the 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 if there have been significant performance or unanticipated maintenance 

difficulties. 

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

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 of area' operation time, they 

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

grant application, specifying both in and out of area operations as expected to reduce repotting 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 of Proper Equipment Operation and Maintenance 

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

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

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

The report must detail if unexpected maintenance or repair 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 by the EPD, and any questions, reasonable requests for data, or 

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

must be reported. 

5 
(h) Description of normal and occasional operation cycles/duties, with a description of 

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

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

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

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

detriments of using each method. 

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

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

particulate filters.) 

G) Cost of conversion, including labor and materials 

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

(l) Proposed percent of annual operating time commitment to specified railyard(s) or 

areas 

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

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

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

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

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

conversion 

( o) Description of any additional emission reductions or other benefits. 

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

locomotive(s), including when locomotive(s) will be removed, when and ifreplacements 

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

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

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

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

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

reports. 

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

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

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

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

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

For more information and/or to submit proposals, 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 

Air Protection Branch 

Application Cover Page 

Company Name 

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 

Phone Number 

E-mail 

Contact In:f 

Name 

Mailing Address 

ormation- Additional Contact (optional) 

Phone Number 

E-mail 

A I lppnca t Ion S ummary 

Total number of conversions 

Total funding requested 

Total match proposed 

Total project cost 

Authorized Official 

Name and Title 

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

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

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

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

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

Signature: Date: ________________ __