“Automatic Engine Stop/Start (AESS)” means the automatic engine shut down/start up system that controls the engine by stopping or starting it without Operator action described in Code of Federal Regulations, title 40, section 1033.115(g) (March 27, 2023), herein incorporated by reference.

“Calendar Year” means the period beginning on January 1 through December 31 of a single year. If not otherwise specified, “year” as used in this Locomotive Regulation refers to Calendar Year.

“California Air Resources Board (CARB)” means the agency of the State of California established and empowered to regulate sources of air emissions.

“Cleaner Locomotive” means any Locomotive or Locomotive Engine with exhaust emission levels that are equal to or less than Tier 4.

“Compliant Equipment” means Cleaner Locomotives, ZE Locomotives, ZE Capable Locomotives, ZE Rail Equipment, components necessary to convert existing fleet Locomotives to Cleaner Locomotives, ZE Locomotives, or ZE Capable Locomotives, and supporting infrastructure.

“Disadvantaged Communities (DAC)” are census tracts or applicable tribal data designated by the California Environmental Protection Agency for the purposes of Senate Bill 535 (Health and Safety Code section 39711) using the most current version of CalEnviroScreen by the Office of Environmental Health Hazard Assessment (OEHHA).

“Enforceable Emission Reductions” means emission reductions for which CARB has authority to hold a particular party or parties liable and to take enforcement action if the emission reductions expected are not achieved.

“Engine Tier” means the Locomotive Engine emission level as defined by the United States Environmental Protection Agency (U.S. EPA) in Code of Federal Regulations, title 40, section 1033.101 (March 27, 2023), herein incorporated by reference, and specifically the tier names set forth in the accompanying Table 1 and Table 2 for that section.

“Executive Officer” means the Executive Officer of CARB, or their designee.

“Fair Market Value” means the amount of money that property would sell for if offered for sale in the open market where the buyer and the seller have access to the same information.

“Five-Year Verification Period” means the span of time an Alternative Compliance Plan may be implemented. The Five-Year Verification Period commences on the start date stated in the Executive Order approving the Alternative Compliance Plan and ends five years later, unless an earlier end date is specified in the Executive Order.

“Freight Line Haul Locomotive” means a Locomotive that does not meet the definition of a Switch, Industrial, Historic, Passenger, or Military Locomotive.

“Good Engineering Judgment” means judgments made consistent with generally accepted scientific and engineering principles and all available relevant information.

“g/bhp-hr” means gram per brake horsepower-hour.

“Greenhouse Gas (GHG)” means carbon dioxide, methane, nitrogen trifluoride, nitrous oxide, sulfur hexafluoride, hydrofluorocarbons, perfluorocarbons, and other fluorinated greenhouse gases.

“Head End Power” means power used for passenger cabin comforts such as heating and cooling.

“Historic Locomotive” means a Locomotive that is owned or Operated by a Historic Railroad and meets all the following requirements:

“Historic Railroad Fleet” means all applicable Historic Locomotives used by a Historic Railroad Operating under a Historic Railroad Low-Use Exemption throughout the reporting period.

“Historic Railroad” means any entity that has the primary purpose of exhibiting or Operating one or more Historic Locomotives.

“Idling” means the Locomotive Engine is running while the Locomotive is stationary.

“Industrial Locomotive” means a Locomotive Operated by an Industrial Operator.

“Industrial Operator” means a Locomotive Operator that Operates Locomotives to move their company products but doesn't provide rail services to other companies or to passengers.

“Locomotive” means a self-propelled piece of on-track equipment designed for moving or propelling Railcars that are designed to carry freight, passengers, or other equipment, but which itself is not designed or intended to carry freight, persons (other than those Operating the Locomotive), or other equipment. This definition does not include on-track equipment designed to also Operate on roads.

“Locomotive Engine” means an engine that propels or provides power to propel a Locomotive.

“Locomotive Operator (Operator)” means the Person that is responsible for Operating in California one or more Locomotives. A Locomotive Owner, lessee, or rentee is a Locomotive Operator if they are responsible for Operating in California one or more Locomotives.

“Locomotive Owner” means the Person that is identified as the owner of the Locomotive by the records that demonstrate ownership for that Locomotive. These records include: bill of sale, title of ownership, or record of Surface Transportation Board filing of security agreement.

“Military Locomotive” means a Locomotive owned by the United States government and Operated by a branch of the military.

“MWh” means the electrical energy unit of measure equal to one million watts of power supplied to, or taken from, an electric circuit steadily for one hour.

“MWh meter” or “MW-hr meter” means a device installed on a Locomotive used to read and record the electrical work output of the Locomotive, consistent with the requirements set forth in Code of Federal Regulations, title 40, sections 1033.140(d) (July 7, 2008) and 1033.115(h) (March 27, 2023), herein incorporated by reference.

“NOx Emission Factor (EF)” is the Locomotive Oxides of Nitrogen (NOx) certification level as shown in the U.S. EPA Locomotive Engine Certification Data.

“Operate” means to start, cause to function or otherwise control, fuel, or keep in use. This definition is inclusive of the terms “Operation,” “Operated,” “Operating,” and “Operations.”

“Original Engine Build Date” means the date of final assembly of the Locomotive Engine, prior to any Remanufacture of the Locomotive Engine. If the Locomotive is propelled by more than one Locomotive Engine, the Original Engine Build Date shall be based on the oldest Locomotive Engine.

“Oxides of Nitrogen (NOx)” means compounds of nitric oxide, nitrogen dioxide, and other oxides of nitrogen. Nitrogen oxides are typically created during combustion processes and are major contributors to smog formation and acid deposition.

“Particulate Matter (PM)” means any airborne finely divided material, except uncombined water, which exists as a liquid or solid at standard conditions (e.g., dust, smoke, mist, fumes, or smog).

“Passenger Locomotive” means a Locomotive designed and constructed for the primary purpose of propelling passenger Trains and providing power to the passenger Railcars of the Train for such functions as heating, lighting, and air conditioning as set forth in Code of Federal Regulations, title 40, section 1033.901 (March 27, 2023), herein incorporated by reference.

“Person” includes all of the following:

“PM Emission Factor (EF)” is the Locomotive Particulate Matter (PM) certification level as shown in the U.S. EPA Locomotive Engine Certification Data.

“Pre-Tier 0” means relating to Locomotives that do not follow Tier 0 or higher emission standards under the Code of Federal Regulations, title 40, section 1033.101 (March 27, 2023), herein incorporated by reference.

“Quantifiable Emission Reductions” means reductions in emissions measured and calculated in a reliable and replicable manner.

“Railcar” means a rail-mounted container also known as a “car” designed to carry freight or passengers.

“Rated Power” has the meaning set forth in Code of Federal Regulations, title 40, section 1033.140 (July 7, 2008), herein incorporated by reference.

“Remanufacture” has the meaning set forth in Code of Federal Regulations, title 40, section 1033.901 (March 27, 2023), herein incorporated by reference.

“Repower” has the meaning set forth in Code of Federal Regulations, title 40, section 1033.901 (March 27, 2023), herein incorporated by reference.

“Responsible Official” means an individual with the authority to certify that the Locomotive complies with the requirements of this Locomotive Regulation.

“Spending Account” means a trust where all funds, including any interest earned on those funds, remain in the possession and control of the Locomotive Operator; are dedicated solely to compliance with the Spending Account requirements; and are not comingled with any other funding source.

“Spending Account Owner” means an individual with the authority to access and control data and funds in the Spending Account.

“Switch Locomotive” or “Switcher” means a Locomotive that is powered by an engine with a maximum Rated Power (or a combination of engines having a total Rated Power) of 2,300 hp or less, as defined in Code of Federal Regulations, title 40, section 1033.901 (March 27, 2023), herein incorporated by reference, and that does not meet the definition of Industrial or Passenger Locomotive.

“Tier 0” means relating to the Tier 0 emission standards, as shown in Code of Federal Regulations, title 40, section 1033.101 (March 27, 2023), herein incorporated by reference.

“Tier 1” means relating to the Tier 1 emission standards, as shown in Code of Federal Regulations, title 40, section 1033.101 (March 27, 2023), herein incorporated by reference.

“Tier 2” means relating to the Tier 2 emission standards, as shown in Code of Federal Regulations, title 40, section 1033.101 (March 27, 2023), herein incorporated by reference.

“Tier 3” means relating to the Tier 3 emission standards, as shown in Code of Federal Regulations, title 40, section 1033.101 (March 27, 2023), herein incorporated by reference.

“Tier 4” means relating to the Tier 4 emission standards, as shown in Code of Federal Regulations, title 40, section 1033.101 (March 27, 2023), herein incorporated by reference.

“Train” means the combination of Locomotive(s) pulling freight or passenger Railcars, or non-Operational Locomotives.

“United States Environmental Protection Agency Locomotive Engine Certification Data (U.S. EPA Locomotive ECD)” means the duty cycle weighted emission test results after deterioration factor and all other applicable adjustments have been applied, used by the U.S. EPA to certify the Locomotive.

“Usage” means the total MWh a Locomotive was Operated in California for the applicable Calendar Year. Usage shall be determined by either:

Table 1: Fuel Consumption Conversion Table

“Verifiable Emission Reductions” means statements of emission reductions that are accurate, truthfully documented, and transparent such that one is able to objectively review and reproduce such statements.

“Wayside Power” means an electric utility supplied power system designed to provide power from the electric utility to a Locomotive, while the Locomotive is stationary.

“Zero Emission (ZE) Capable Locomotive” means a Locomotive that can be Operated in a Zero Emission Configuration and that can also be Operated using a fuel that produces emissions. To qualify as a ZE Capable Locomotive for a given Calendar Year, the Operator shall demonstrate that the Locomotive was only Operated in a ZE Configuration when Operating in California during that Calendar Year. A ZE Capable Locomotive that has been Operated outside of a ZE Configuration within California at any point during a Calendar Year shall not qualify as a ZE Capable Locomotive for that Calendar Year and shall be treated as an emitting Locomotive based on the U.S. EPA Tier of its engine for the purposes of this Locomotive Regulation.

“Zero Emission (ZE) Configuration” is a Locomotive configuration that Operates in a zero emission capacity. ZE Locomotives always Operate in a ZE Configuration. To be considered as Operating in a ZE Configuration, the Locomotive shall not emit any criteria pollutant, toxic pollutant, or greenhouse gas from any onboard source of power at any power setting when Operated in a ZE Configuration, including any propulsion power that is connected to and moves with the Locomotive when it is in motion.

“Zero Emission (ZE) Infrastructure” means infrastructure that provides the appropriate fuel type or power to support the Operation of a ZE Locomotive or ZE equipment. ZE Infrastructure shall not use a local (on-site or near-site) combustion engine or combustion generator for main power or for backup power.

“Zero Emission (ZE) Locomotive” means a Locomotive that never emits any criteria pollutant, toxic pollutant, or greenhouse gas from any onboard source of power at any power setting, including any propulsion power that is connected to and moves with the Locomotive when it is in motion.

“Zero Emission (ZE) Rail Equipment” means equipment capable of on-track Operation whose main function is the same as a Freight Line Haul, Switch, Industrial, or Passenger Locomotive, but does not meet the definition of a Locomotive and that never emits any criteria pollutant, toxic pollutant, or greenhouse gas from any onboard source of power at any power setting, including any propulsion power that is connected to and moves with the ZE Rail Equipment when it is in motion.