Diesel Emissions Reduction Program

            (DERA): Technologies, Fleets and
            Projects Information


            Working Draft Version LO
                             ii
     National Clean Diesel Campaign
&EPA
United States
Environmental Protection
Agency

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               Diesel Emissions Reduction Program
                 (DERA): Technologies, Fleets and
                        Projects Information


                     Working Draft Version LO
                           Transportation and Climate Division
                          Office of Transportation and Air Quality
                          U.S. Environmental Protection Agency
&EPA
United States
Environmental Protection
Agency
EPA-420-P-11-001
October 2011

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         Diesel Emissions Reduction Program:  Technologies, Fleets and Projects
                  Information & Tips for EPA Project Officers & Staff

Introduction
EPA's diesel emission reduction program offers grant funding to eligible entities on a
competitive basis, with the goal of reducing diesel emissions and improving efficiency
nationwide. Grant funding for this program is typically authorized under the Energy Policy Act
Subtitle G, commonly referred to as the Diesel Emissions Reduction Act (DERA). This
document is designed to provide information to EPA Regional Project Officers, EPA Technical
Staff and Grantees to help manage DERA grants and document important points.

This document is not a substitute for grant requirements. Project officers and grantees must be
familiar with the Request for Proposals (RFP), project narrative or work plan, grant terms and
conditions as well as other grant, programmatic or regulatory requirements.  This information is
intended to emphasize and clarify some important points, provide examples, serve as a quick
reference for individuals who may not be familiar with clean diesel projects and highlight lessons
learned for everyone.

How to Use this Document:
This document is divided into sections, based on the typical types of clean diesel projects
included in DERA grants. Each section gives general information about that specific technology
or activity, points out specific items to look for concerning that technology or activity and
provides checklists that detail the type of documentation that should be kept in either the EPA
Project Officer's or Grantee's files.

This document should be read and used by  EPA Project Officers and grantees, or others working
with DERA grants.

Table of Contents                                                        Page
1. Vehicle Categorizations                                                 2
2. Exhaust Controls                                                        3
3. Crankcase Controls                                                     7
4. Idle Reduction Technologies                                             9
5. Engine Repowers                                                       11
6. Vehicle and Equipment Replacements                                     16
7. Engine Upgrades                                                        19
8. Aerodynamic Technologies & Low Rolling Resistance Tires                 22
9. Cleaner Fuels Use                                                       24
10. Appendix A - Sample Invoices                                          26
11. Appendix B - On-Highway Engine Emission Standards                     29
12. Appendix C - Nonroad Emission Standards Quick Reference                30
13. Appendix D - Example EPA Certificate of Conformity                     31
14. Appendix E - Example Engine Emission Control Labels                    32
15. Appendix F - Example Vehicle Inspection Sheet                          33
16. Appendix G - Example Certification of Installation                        34
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1.   Vehicle Categorizations
This document categorizes diesel vehicles into 4 main types: on-highway, nonroad, marine and
locomotives.

To be eligible for DERA grants, on-highway vehicles must be equipped with medium heavy-
duty or heavy heavy-duty certified engines. These engines are used in Class 5, 6, 7 and 8
vehicles, such as school and transit buses, refuse haulers, short haul trucks, long haul trucks,
emergency and service vehicles.  Note:  all school buses are eligible for DERA grants, regardless
of the Class that the particular school bus falls into. See Figure 1 below for examples of all Class
types.
          Minivan   Ulility van
                                   CLASS 1
                                 6.0OO Ib & less
                                                     Bucket
       Multi-purpose  Full-size pickup
                             CLASS 5
                         16.001 to 19,500 Ib
                                                  City delivery     Large walk-in
           Minivan
                       Utility van
                                   CLASS 2
                                6,001 to 10.OOO tb
                             CLASS 6
                         19,501 10 26,000 Ib
          Full-size pickup    Step van
School bys
                                                                  Rack
            Walk-in     Conventional van
                                   CLASS 3
                               10,001 to 14,000tt>
          City delivery
                             CLASS?
                         26,001 to 33,000 Ib
                                                     City transit bus
                                                                     Medium convenlional
       Conventional van
                      City delivery    CLASS <1
                               14.001 to 16.000 Ib
   Dump
               Cement
         Large walk-in
                                                                             33,001 Ib &. over
                                                 Heavy conventional
                                                                   CCE sleeper
        Fig.  1. Truck types by gross vehicle Weight (G V\V). Source: Commercial Carrier Journal
    (http:/Avww.ccjmagazine.com),

Nonroad vehicles include those used in construction, handling of cargo at a port or airport,
agriculture, mining, or energy production (including stationary generators or pumps).

Marine vessels may have one or more engines for propulsion and/or auxiliary power.

Locomotives may include line-haul or switcher locomotives.
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2.  Exhaust Controls

a. General Information
Exhaust emission controls (often called aftertreatment technologies) include pollution control
devices installed in the exhaust system. Aftertreatment technologies are some of the most
common retrofit technologies because many can be added to the exhaust system of a vehicle or
nonroad machine with little or no impact on engine operation. Common types of exhaust controls
include:
    •   Diesel oxidation catalyst (DOC)
    •   Diesel particulate filter (DPF)
    •   Partial flow filter (PFF)
    •   Selective catalytic reduction (SCR)  system

Note: Some engines are originally equipped with aftertreatment technologies from the engine
manufacturer.  An engine originally equipped with a DOC may not be used in a DOC retrofit
project. Additionally, engines originally equipped with a DOC may not be acceptable for some
PFF or DPF technologies, so you  must consult the specific technology verification requirements.
Many engines produced from 2002 to 2006 for use in school buses were originally equipped with
a DOC.

b. Things to look for in these types of projects

       1.  Ensure technology is verified: In order for exhaust controls to be eligible for DERA
          funding, the technology must be specifically named on either the EPA Verified
          Technology List or the California Air Resources Board (CARB) Verified Technology
          List.  Check to ensure  the specific technology (by name, model and manufacturer) is
          on one of these lists AND is specified to be used with the specific vehicle application
          in your project. In addition, confirm the technology is verified to be used on the
          vehicle or equipment type and for the applicable model year.

          EPA Verified Technology List: http://epa.gov/cleandiesel/verification/verif-list.htm
          CARB Verified Technology List: http://www.arb.ca.gov/diesel/verdev/vt/cvt.htm

       2.  Check EPA Verification Letter or CARB Executive Order and Attachment: For each
          technology verified by either EPA or CARB,  consult the list for guidance regarding
          use of the technology.  When using EPA verified technologies, refer to the EPA
          Verification Letter to confirm applicability and required operating criteria for each
          installation. CARB verified technologies must be used in accordance with the
          Executive Order (EO)  letter, and the engine to be retrofitted must be confirmed as
          acceptable with the associated Attachment to the EO. A sample letter for one of the
          Verified Technologies can be found at http://epa.gov/cleandiesel/documents/verif-
          Ietter-cat2.pdf. For each specific technology,  read these documents to ensure the
          technology is intended for use in the specific vehicle application within your project.
          Both of these documents can be accessed through the Verified Technology Lists
          above, by clicking on a specific technology on the list.


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       3.  Ensure datalogging is completed for all proposed vehicles (for DPF and PFF
          projects): It is critically important that passive DPFs and PFF technologies achieve
          exhaust temperatures required for proper operation.  All potential vehicles must
          therefore be datalogged to ensure the exhaust temperature is high enough for an
          adequate percentage of time as described for the specific retrofit technology. (Data
          logging information on a 'representative sample' may not be adequate to ensure the
          specific vehicle will work with this technology.)  Active DPFs are a more expensive
          option, but may not require the exhaust to reach a certain temperature. When a DPF
          regenerates, accumulated soot is burned within the filter, but if exhaust temperatures
          are not adequate with a passive filter or if an active filter is not regenerated, a DPF
          may accumulate excessive soot which can lead to engine or filter problems. Note that
          in areas with significantly different seasonal temperatures, it may be advisable to data
          log vehicles during cold seasons or at least make sure adequate consideration is made
          for seasonal differences.  For additional information on DPF operation, installation
          and maintenance, see available publications atwww.epa.gov/cleandiesel.

       4.  Ensure that contract bid requests are written correctly so that an appropriate
          technology is purchased and installed.  Grantees should require bids from technology
          vendors to include copies of the specific verification approval(s) from EPA and/or
          CARB so the grantee may confirm technology eligibility. Contract requirements
          should specify that vendors must provide documentation approving vehicle condition,
          compliance with technology verification criteria and showing data logging results and
          analysis for vehicles to be equipped with devices that have exhaust temperature
          criteria. In addition, the bid specifications should refer back to the specific RFP that
          the project is funded under, to ensure all program requirements are met.  Note:  EPA
          does not approve contracts or contract language.  It is the responsibility of the grantee
          to ensure contracts are written to ensure the success of the project, within program
          requirements.

       5.  Maintenance:  Exhaust controls may require periodic maintenance,  and there may be
          unique installation criteria for different technologies. Exhaust emission  control
          devices are heavier than conventional muffler systems  and will likely require stronger
          mounting brackets. DPFs will require periodic ash cleaning and it is important to
          monitor maintenance as changes in maintenance needs can be an indication of other
          engine or system problems.  SCR technologies require periodic refilling of diesel
          exhaust fluid (DEF) for proper system operation. DPF and SCR systems include
          driver notification systems that must be monitored for proper system operation and
          potential notice of maintenance needs.

       6.  Document vehicle condition prior to retrofit:  In order  for retrofit devices to operate
          properly, grantees should ensure that the original vehicle is in the proper condition
          prior to installation.  Grantees should get written confirmation from the installer for
          each vehicle that it is in an acceptable condition at the time of retrofit. This
          documentation will also be useful to troubleshoot any technical issues after
          installation. See Appendix F for an  example checklist.
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c. EPA Project Officer File Checklist
In addition to normal grant-management documents, Project Officers should specifically keep
the following documentation in their files for projects which incorporate after-treatment Exhaust
Controls:

   •   Completed Project Fleet Description Spreadsheets: Ensure relevant information is
       accurately completed, including the model name of the device, the year the retrofit takes
       place, the model year of the engine, etc . Note changes to the proposed fleet and, as it
       becomes available, any more detailed vehicle information relative to the RFP and
       technology requirements.
   •   Copies of either the EPA Verification Letter or the CARB Executive Order for the
       specific technologies used in the project (see section 2.b.l above, for reference and the
       website where these documents are located).  A screen shot of the letter from the website
       is acceptable.
   •   Copy of the Request for Proposals, in order to document that the correct percentage
       funding amount for this type of project is applied.

d. Grantee File Checklist
In addition to normal grant-management documents, grantees should specifically keep the
following documentation in their files for projects related to Exhaust Controls:

   •   Completed Project Fleet Description Spreadsheets: Ensure relevant information is
       accurately completed using instructions tab. Ask Project Officer for assistance, if
       needed. At the time of technology installation, grantee should also record the date and
       mileage of the vehicle.
   •   If vehicles are added or changed, the fleet description must be updated. Confirm that
       each new or different vehicle is acceptable meeting the RFP, project and technology
       requirements.
   •   Copies of either the EPA Verification Letter or the CARB Executive Order for the
       specific technologies used in the project.
   •   Documents from vendors regarding inspection of vehicles and acceptability of the engine
       and vehicle condition.
   •   Request for Proposals/Bids for equipment specifying equipment name, model, make,
       year, for which engine family and model years, etc.
   •   For DPF and PFF projects, retain datalogging results and analysis showing that each
       vehicle complies with exhaust temperatures required for the technology.
   •   For DPF projects that utilize active regeneration strategies, maintain instructions and
       records documenting the regeneration schedule as well as any other maintenance with
       copies of vehicle records.
   •   For SCR projects:  Diesel exhaust fluid (DEF or urea) must be used with  SCR systems.
       Records of urea use must be maintained for an ongoing basis. The EPA recommends the
       use of an American Petroleum Institute certified DEF; a local retailer may be found using
       the following link: http://apidef.org/.
   •   Invoices of all completed work. See Appendix A for an example of a good invoice for
       exhaust control technologies. For all technologies  installed, invoices should include:
          o  Technology type

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          o   Technology make
          o   Technology model
       Helpful information and tips are included under the "Technologies - Diesel Retrofit
       Devices" section at http://www.epa.gov/cleandiesel/technologies/retrofits.htm.
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3.  Crankcase Emission Controls

a. General Information
Crankcase emission controls are technologies that filter gasses, particles and oil from the original
crankcase vent tube so they are not released into the atmosphere. Crankcase emission controls
are often called closed crankcase ventilation (CCV) system when the filtered gases are routed
back into the engine intake. EPA and CARB  have only verified closed crankcase emission
control systems, and only verified CCV systems may be used.  CCV systems are verified in
conjunction with other aftertreatment technologies and must be used as a complete verified
system.

b. Things to look for in these types of projects

       1.  Ensure technology is verified:  In order for CCV systems to be eligible for DERA
          funding, the technology must be specifically named on either the EPA Verified
          Technology List or the California Air Resources Board (CARB) Verified Technology
          List. Check to ensure the specific  technology (by name, model and manufacturer) is
          on one of these lists AND is specified to be used with the specific vehicle application
          in your project.

          EPA Verified Technology List: http://epa.gov/cleandiesel/verification/verif-list.htm
          CARB Verified Technology List: http://www.arb.ca.gov/diesel/verdev/vt/cvt.htm

      2.  Check EPA Verification Letter or CARB Executive Order: Like the aftertreatment
          technologies described above, the verified CCV system should be compared to the
          applicable verification documentation.  The CCV and associated aftertreatment
          technology must meet all requirements of the verification letter or EO.

      3.  Ensure that contract bid requests are written correctly so that an appropriate
          technology is purchased and installed.  Only EPA or CARB verified CCV systems
          may be used, and they must be used in conjunction with the applicable verified
          aftertreatment technology. Grantees should require bids from technology vendors to
          include copies of the specific verification approval(s) from EPA and/or CARB so the
          grantee may confirm technology eligibility. Contract requirements should specify
          that vendors must provide documentation; approving vehicle condition, compliance
          with technology verification criteria

      4.  Maintenance: Crankcase devices require periodic maintenance, and there may be
          unique installation criteria for different crankcase emission control systems.  It is
          important to monitor and document engine and crankcase system maintenance as
          changes in maintenance needs can be an indication of other engine or system
          problems.

      5.  Catch bottles: Rather than routing  filtered gasses back to the engine intake, some
          vendors recommend using a "catch bottle" in certain vehicle installations. Catch
          bottles require additional maintenance and have been installed in unsafe locations.

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          The use of "catch bottles" is not currently approved by EPA or CARB, and they may
          not be used in DERA grants until it is explicitly addressed on EPA's or CARB's
          verified technology list.

       6.  Document vehicle condition prior to retrofit:  In order for retrofit devices to operate
          properly, grantees should ensure that the original vehicle is in the proper condition
          prior to installation. This documentation will also be useful to troubleshoot any
          technical issues after installation. Engines with excessive blow-by emissions may be
          in poor condition and not acceptable for retrofit. Also, excessive blow-by emissions
          can overwhelm a CCV system and cause other engine problems.

       7.  Check engine model year to ensure eligibility: All on-highway engines manufactured
          after 2007 incorporate crankcase emission control technologies.

c. EPA Project Officer File Checklist
Because CCV systems are only verified in conjunction with aftertreatment technologies, review
the applicable information above. In addition to normal grant-management documents, Project
Officers should specifically keep the following documentation in their files for projects which
incorporate aftertreatment Exhaust Controls:

   •   Copies of either the EPA Verification Letter or the CARB Executive Order, documenting
       the specific CCV and aftertreatment technology.

d.  Grantee File Checklist
Because CCV systems are only verified in conjunction with aftertreatment technologies, review
the applicable information above. In addition to normal grant-management documents, grantees
should specifically keep the following documentation in their files for projects  related to Exhaust
Controls:

   •   Copies of either the EPA Verification Letter or the CARB Executive Order for the
       specific CCV technologies used in the project.
   •   Helpful information and tips are included under the "Technologies - Diesel Retrofit
       Devices" section at http://www.epa.gov/cleandiesel/technologies/retrofits.htm
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4. Idle Reduction Technologies

a. General Information
Idle reduction technologies reduce unnecessary idling of the main drive engine of diesel vehicles
or equipment and/or are designed to provide services (such as heat, air conditioning, and/or
electricity) to vehicles and equipment that would otherwise require the operation of the main
drive engine while the vehicle is temporarily parked or remains stationary. Common types of
idle reduction technologies include:

   •   Electrified Parking Spaces (truck stop electrification)
   •   Shore Connection Systems and Alternative Maritime Power
   •   Shore Connection Systems for Locomotives
   •   Auxiliary Power Units (APU) and  Generator Sets
   •   Fuel Operated Heaters
   •   Battery Air Conditioning Systems
   •   Thermal Storage Systems
   •   Automatic Shut-down/Start-Up Systems

b. Things to look for in these types of projects

       1.  Ensure technology is verified for the specific application: In order for idle reduction
          technologies to be eligible for DERA funding, the technology must be specifically
          named on the EPA Verified Idle Reduction Technology List. Check to ensure the
          specific technology (by name, model and manufacturer) is on the list AND is
          specified to be used with the specific vehicle application in your project.

          EPA Verified Idle Reduction Technology List:
          http://www.epa.gov/smartway/technology/

       2.  APU Restrictions: EPA defines APUs as devices that contain an EPA emission-
          certified engine and supply cooling, heating, and electrical power to Class 8 trucks
          and other applications. APUs currently verified for on-highway vehicles are only for
          long-haul class 8 trucks which  means the truck must have specific capabilities and
          have a sleeper cab. At this time APUs and generators are not eligible for FY 2011
          National DERA funding when  used on long haul Class 8 vehicles powered by 2007 or
          newer certified engine configurations.  EPA is currently testing and reviewing the use
          of APUs and generators on long haul Class 8 vehicles powered by 2007 and newer
          certified engine configurations. APUs and generators are eligible for funding when
          used on long haul  Class 8 vehicles powered by 2006 and older certified engine
          configurations.  Note: Battery Air Conditioning Systems and Fuel Operated Heaters
          are not categorized as APUs based on EPA's definition, and are therefore not subject
          to the above APU restrictions.

       3.  Ensure that contract bid requests are written correctly so that an appropriate
          technology is purchased and installed. Bids from technology vendors should include
          the specific technology name from EPA's website so the grantee may confirm

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          technology eligibility. Contract requirements should specify that vendors must
          provide documentation showing the device is verified for the specific vehicle.

c. EPA Project Officer File Checklist
In addition to normal grant-management documents, Project Officers should specifically keep
the following documentation in their files for projects related to Idle Reduction Technologies:

   •   Completed Project Fleet Description  Spreadsheets: Ensure relevant information is
       accurately completed, including the model name of the device, the year the project takes
       place, the model year of the engine, etc.
   •   APUs and generator sets are only eligible for Class 8 long haul trucks with engines that
       are 2006 or older,  if funded with FY11 funds. Confirm the engine year and that the truck
       is a Class 8 long haul.  A Class 8 long haul truck will have a sleeper cab and gross
       vehicle weight rating over 33,000 pounds.
   •   Copy of the Request for Proposals to document that the correct percentage funding
       amount for this type of project is applied.

d. Grantee File Checklist
In addition to normal grant-management documents, grantees should specifically keep the
following documentation  in their files for projects related to Idle Reduction Technologies:

   •   Completed Project Fleet Description  Spreadsheets: Ensure relevant information is
       accurately completed, using instructions tab. Ask your Project Officer for assistance, if
       needed.  At the time of technology installation, grantee should also record the date and
       mileage of the vehicle.
   •   Request for Proposals/Bids for equipment and invoices that specify the  equipment name,
       model, make, year, for which engine  family and model years, etc.
   •   Invoices of all completed work. See  Appendix A for an example of a good invoice for
       exhaust control technologies. For all technologies installed, invoices should include:
          o  Technology type
          o  Technology make
          o  Technology model
   •   It is recommended to install exhaust control technologies before idle reduction
       technologies to confirm acceptable installation and funding level.
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5. Engine Repowers

a. General Information
In an engine repower, the existing engine is removed and replaced with a newer, cleaner engine
configuration that meets a more stringent set of engine emissions standards. Engine repowers
may use new engine configurations certified to emission standards or remanufactured engines
representative of a previously certified engine configuration. Note: Engine Certification data
and information can be found at http://www.epa.gov/otaq/certdata.htm.

b. Things to look for in these types of projects

       1.  Replacement engine selection: All replacement engines MUST be in a certified
          configuration.  If the replacement engine is a remanufactured engine, documentation
          must show the previously certified EPA engine family name represented by the
          certified configuration. If the replacement engine was certified with exhaust
          aftertreatment such as a DOC or DPF, new parts must be installed to complete the
          certified engine configuration.

       2.  Check pre-andpost-emission standard levels for PM and NOx: Newer engines or
          higher tier engines are not necessarily cleaner engines, so it is important to check the
          actual emission standard level of the current (existing) and new  engines to ensure the
          repower product is reducing emissions for PM and NOx. Emission standard levels
          are based on the engine model year for on-highway engines, and for nonroad engines
          the horsepower and model year of the engine will determine the tier level.  Check the
          emissions tables found in the applicable link below to ensure that the proposed
          repower will result in an emissions reduction.

          On-Highway Emissions Standards Tables: See Appendix B for a quick reference or
          http://www.epa.gov/otaq/standards/heavy-duty/hdci-exhaust.htm

          Nonroad Emissions Standards Tables: See Appendix C for a quick reference or
          http ://www. epa.gov/otaq/standards/nonroad/nonroadci. htm

          Locomotive Emissions Standards Tables:
          http://www.epa.gov/otaq/standards/nonroad/locomotives.htm

          Marine Emissions Standards  Tables:
          http ://www. epa.gov/otaq/standards/nonroad/marineci. htm

       3.  Certificates of conformity: Grantees should obtain copies of certificates of conformity
          for existing and new engines  from the engine manufacturers prior to repowering the
          engine. If the existing engine is unregulated, however, it will not have a certificate of
          conformity and  documentation of the engine age is acceptable. Be aware that many
          new and existing vehicles have certified engine configurations that may include
          aftertreatment technologies or other requirements such as aftercooling. When
          conducting a repower, the entire configuration needs to be replaced, which must

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          include a complete engine and emission control system to the design specifications of
          the certified engine configuration.

       4.  Ensure old engine is scrapped or appropriately remanufactured: After repower, the
          old engine must be rendered permanently disabled or returned to the original engine
          manufacturer to be remanufactured to the next lower (cleaner) EPA emission standard
          level.  Evidence of proper disposal (such as engine serial number and vehicle
          identification number) must be provided in the Final Report submitted to the EPA
          Project Officer. Check to ensure that the old engine is indeed returned to the engine
          manufacturer or that it has been retired from use and is no longer operable. If
          components from the old engine are sold for parts, program income requirements will
          apply. Confirm with the RFP for specific scrappage or remanufacturing requirements
          that may be applicable.

       5.  Invoices should be very specific and include all the parts of the certified engine
          configuration:  Sometimes a critical part of the new certified engine is the catalyst
          (from an emissions reduction standpoint). Ensure that the entire configuration is
          installed according to the engine manufacturer's specifications by having the vendor
          document this on the invoice. See Grantee File Checklist section, below, for a list of
          items that should be included on repower invoices.

       6.   Early Repower: Repowers that would have occurred through normal attrition are
          considered to be the result of normal fleet turnover and are not eligible for funding
          under this program. Normal attrition is generally defined as a repower that is
          scheduled to take place before the end of the project period. Normal attrition is
          typically defined by the vehicle or fleet owner's budget plan, operating plan, standard
          procedures, or retirement schedule. For example, if a vehicle fleet typically repowers
          engines after 15 years, an engine that is currently in its 13*  or 14* year of service is
          not eligible for a repower, since it is already scheduled to be repowered within the 2
          year project period. An engine that is currently in its 12th year of service and has 3
          years of normal life remaining before typically scheduled for a repower (as defined
          by the fleet's retirement schedule) is eligible for a repower, since it is not already
          scheduled to be repowered during the 2 year project period; however, it may not be
          the best choice to select an engine so close to the end of its life.  It is important to
          confirm that vehicles and vehicle selection criteria proposed in a workplan are
          followed during the project, and vehicles with a shorter remaining life are not
          substituted.  In addition, the original engine and equipment must be in fully
          operational and performing its intended function to qualify for funding.

       7.  Operating condition:  As described above, to be  eligible for repower projects, the
          original engine must be fully operational and performing its intended function to
          qualify for funding. Vehicles or engines that are not operating in normal service may
          not be used in repower projects.

       8.  Selection of vehicles or equipment: The most cost effective vehicles or equipment
          will have high annual use (>1000 hours or 50,000 miles).


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       9.  Note for on-highway repowers: Some new technology engines may not be acceptable
          for use in older trucks.  For example, a 2005 engine equipped with exhaust gas
          recirculation (EGR) may require additional engine cooling and may have installation
          requirements that prohibit use in older trucks.

       10. Note for nonroad repowers: The phase-in of emission standards for nonroad engines
          is different depending on the power rating of the engine. The standards levels change
          with different Tiers and engine power rating. Consequently, it may be necessary to
          confirm that the original and repower engine falls within the same power rating to
          know the applicable emission standard level and Tier differences.  Further, the
          standard levels between some Tiers may only differ in one pollutant.  Early
          unregulated nonroad engines are referred to as Tier 0 and the cleanest nonroad
          engines are Tier 4. There may be little difference between a Tier 0 and Tier 1 engine.

       11. Note for locomotive and marine repowers: Depending on the availability of certified
          engine rebuild kits, regulations may require that marine engines at or above  600 kW
          and locomotive engines be upgraded to a lower emission level at the time of rebuild.
          Consequently, a repower project in a marine or locomotive application may  overlap
          with an operator's requirement to install  a certified engine upgrade kit at the time of
          rebuild. In this case, the project could be considered a mandated measure, and may
          not be fundable under the DERA program. It is appropriate to confirm that a marine
          or locomotive  engine replacement project is not simply going to achieve the same
          benefit already required with a certified engine upgrade kit. Identify when the
          original locomotive or marine engine was rebuilt last, when it is due for rebuild next,
          and if a certified rebuild kit is available.  For additional information, ask your Project
          Officer for assistance.

       12. Note for alternative fuel repowers, including hybrid, plug-in and electric vehicles:
          Conventional original equipment manufacturer (OEM) vehicles  altered to operate on
          propane, natural gas, methane gas, ethanol, or electricity are classified as aftermarket
          alternative fuel vehicle (AFV) conversions. In the United States, all vehicle
          conversions (except pure battery electric vehicles) must meet applicable U.S.
          Environmental Protection Agency (EPA) standards. Vehicles operating in California
          must follow conversion rules issued by the California Air Resources Board (CARB).
          EPA issues Certificates of Conformity that cover a "test group"—specific vehicle or
          engine models for certain model years that are modified to operate on an alternative
          fuel. An aftermarket conversion may only be performed on a vehicle if a Certificate
          of Conformity or CARB certification has been issued for that vehicle's test group.
          The EPA refers to a vehicle converter as a "small volume manufacturer." The vehicle
          converter holds the Certificate of Conformity. An individual or entity wishing to
          convert a vehicle to operate on an alternative fuel must go through a company or
          organization associated with a certificate holder, and the work must be performed by
          a licensed technician associated with that company. It is the responsibility of the
          certificate holder to ensure the equipment is properly installed. Only certified
          alternative fueled engines are acceptable, the EPA engine family must be


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          documented, and all applicable regulatory procedures must be followed in the
          conversion.

          If the conversion is accomplished by applying a certified conversion "kit" to an
          existing diesel engine, the project is considered an engine upgrade. If the conversion
          is accomplished by removing and scrapping the existing diesel engine and fueling
          system and replacing it with a certified AFV engine configuration, the project is
          considered a repower. If the entire diesel vehicle is scrapped and replaced with an
          entire new AFV, the project is considered a vehicle replacement.
          Technologies for the electrification of engines/vehicles/equipment other than those
          specifically listed in the RFP as idle-reduction technologies may be eligible as a
          Repower (removal of a diesel engine and its replacement with an electric power
          source) or a Replacement (replacement of a diesel powered vehicle/equipment with
          an eligible electric vehicle/equipment). All -electric (zero emission) conversions do
          not require EPA or CARB certification.

          There are currently no verified hybrid  drive train retrofits or certified hybrid
          upgrade/conversion kits, therefore hybrid conversions are not eligible for funding.
          Hybrid vehicles are eligible as vehicle replacements.

          Straight vegetable oil (SVO) is not an  EPA-registered fuel and is not eligible for
          funding. Conversion kits to run an engine on SVO are not certified and are not
          eligible for funding. New vehicles/engines and unverified equipment that run on SVO
          are not eligible for funding.

c. EPA Project Officer File Checklist
In addition to normal grant-management documents, Project Officers should specifically keep
the following documentation in their files for projects related to Engine Repowers:

   •   Completed Project Fleet Description Spreadsheets: Ensure relevant information is
       accurately completed.  Pay special attention to engine details (not to be confused with
       vehicle details), including but not limited to: make, model, rating, engine family, and
       horsepower.
   •   Confirm the fleet description documents the original standard or tier level and that the
       repower achieves the proposed level of reduction described in the project description.
   •   Documentation of original engine being scrapped  (e.g., written documents and photos)
       should be provided by the grantee in its Final Report.

d. Grantee File Checklist
In addition to normal grant-management documents, grantees should specifically keep the
following documentation in their files for projects related to Engine Repowers:

   •   Completed Project Fleet Description Spreadsheets: Ensure relevant information is
       accurately completed using instructions tab.  Ask Project Officer for assistance, if
       needed.
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       Document that each vehicle is performing its intended function and that the original
       engine(s) are fully operational and not already due for replacement or rebuild. This
       should include documentation of daily miles driven or hours of operation.
       When requesting bids for replacement engines, require documentation that a certified
       engine configuration will be installed, including all components such as after treatment
       devices and emission control technologies.
       Invoices of all completed work.  See Appendix A for an example of a good invoice.
       Invoices for repowers should include:
          o   The specific engine configuration installed, including the model year or tier level
          o   A list of all parts included in the repower, especially any exhaust controls.
       Copies of EPA certificates of conformity for existing and new engine configurations, and
       confirm the EPA engine family names match the certificates.
       Evidence that the old engine was rendered permanently disabled or returned to the
       original engine manufacturer to be remanufactured to the next EPA standard. Refer to the
       RFP for specific remanufacturing instructions. Documentation should include the engine
       serial number and vehicle identification number, and may also include photos illustrating
       how the engine was disabled.  If returned to the engine manufacturer, obtain a letter
       documenting that the engine is remanufactured to a more stringent EPA standard.
       For locomotive or marine engine projects, fully address and document the points in
       section b.9., above, regarding the original engine, rebuild history, and availability of
       rebuild kits.
       For marine and locomotive engine projects, print current lists of certified rebuild kits to
       document that no kits are currently available.  If a kit is available, document how the
       project is acceptable according to RFP requirements.
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6. Vehicle and Equipment Replacements

a. General Information
Vehicle or equipment replacement is designed to obtain emission reductions by removing old,
high-emitting vehicles or equipment from service and replacing them with newer, cleaner
vehicles or equipment.

b. Things to look for in these types of projects

       1.  Early Replacement: Replacements that would have occurred through normal attrition
          are considered to be the result of normal fleet turnover and are not eligible for
          funding under this program. Normal attrition is generally defined as a replacement
          that is scheduled to take place before the end of the project period. Normal attrition is
          typically defined by the vehicle or fleet owner's budget plan, operating plan, standard
          procedures, or retirement schedule.  For example, if a school bus fleet typically retires
          vehicles after 20 years, a bus that is currently in its 18th or 19th year of service is not
          eligible for replacement, since it is already scheduled to be replaced within the 2 year
          project period. A bus that is currently in its 17* year of service and has 3 years of
          normal life remaining (as defined by the fleet's retirement schedule) is eligible for
          replacement, since it is not already scheduled to be replaced during the 2 year project
          period; however such a short time before normal fleet turnover would not be a most
          desirable project. Keep in mind that projects may be delayed and a short time before
          normal fleet turnover may quickly be exceeded by a delay in delivering new
          equipment. In addition, original equipment must be in operational condition to
          qualify for funding.
          The most cost effective vehicles or equipment will have high annual use (>1000
          hours or 50,000 miles), and the replacement would occur well in advance of the
          normal fleet turnover.

       2.  Replacement Requirements: The replacement vehicle or equipment must serve the
          same function as the original vehicle or equipment. The replacement vehicle or
          equipment must have the same gross vehicle weight rating and similar horsepower as
          the original vehicle or equipment.  In addition, the vehicle/equipment must be
          maintained in accordance with manufacturer specifications.

       3.  The original vehicle or equipment must be performing its intended function:  Vehicles
          and equipment must be working properly and performing normal duty service to be
          eligible for replacement. Vehicles or equipment with reduced operation from normal
          fleet service are not eligible.

       4.  Ensure old vehicle or equipment is scrapped or remanufactured: When the original
          vehicle/equipment is retired, it must be rendered permanently disabled or the engine
          must be returned to the original engine manufacturer to be remanufactured to the next
          EPA standard.  Drilling a hole in the engine block and manifold and disabling the
          chassis while retaining possession of the vehicle/equipment is an acceptable
          scrapping method.  Evidence of proper disposal (such as engine serial number and

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          vehicle identification number) must be provided. Check to make sure that the old
          vehicle/equipment is indeed retired from use and the vehicle/equipment is no longer
          operable.  Equipment and vehicle components that are not part of the engine or
          chassis may be salvaged from the unit being replaced (e.g. plow blades, shovels,
          seats, tires, etc.)  If scrapped or salvaged vehicles/parts are to be sold,  program
          income requirements will apply. Note: refer to the award terms and conditions for
          specifications regarding scrapping and remanufacturing requirements.

       5.  Certificates of conformity: Grantees should obtain copies of EPA certificates of
          conformity for existing and new engines from the engine manufacturers prior to
          replacing the vehicle.  However, if the existing engine is unregulated,  it will not have
          a certificate of conformity. The certificate of conformity lists the engine family name
          and the engine model year. The EPA engine family name is displayed on  the emission
          control information label on the engine. By checking the engine family names and
          engine model year emission standards, one can confirm the applicable emission
          standard or tier level.

c. EPA Project Officer File Checklist
In addition to normal grant-management documents, Project Officers should specifically keep
the following documentation in their files for projects related to vehicle or equipment
replacements:

   •   Completed Project Fleet Description Spreadsheets: Ensure relevant information is
       accurately completed.  Pay special attention to engine details (not to be confused with
       vehicle details), including but not limited to: make, model, rating, engine family, and
       horsepower.
   •   Documentation of original vehicle being scrapped (e.g., written documents and photos)
       should be provided by the grantee in its Final Report.
   •   Document and confirm the original and replacement engine standard levels achieve the
       reduction proposed.

d. Grantee File Checklist
In addition to normal grant-management documents, grantees should specifically keep the
following documentation  in their files for projects related to vehicle and  equipment
replacements:

   •   Completed Project Fleet Description Spreadsheets: Ensure relevant information is
       accurately completed, using instructions tab. Ask Project Officer for assistance, if
       needed.
   •   Document that each vehicle is performing its intended function and that the original
       vehicle(s) are fully operational and not already due for replacement.
   •   Document fleet turn-over practices through historic records. Document age of vehicles to
       be replaced and period for early retirement.
   •   Invoices of all completed work. See Appendix A for examples of a good invoice.
       Invoices for replacements should include:
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          o  The vehicle components and specific engine configuration installed, including the
             model year or tier level
          o  A list of all parts, including engine exhaust controls
       Copies of EPA certificates of conformity for existing and new engine configurations, and
       confirm the EPA engine family names match the certificates.
       Evidence that the engine of the old vehicle or equipment was rendered permanently
       disabled or returned to the original engine manufacturer to be remanufactured to the  next
       EPA standard. Documentation should include the engine serial number and vehicle
       identification  number, and may also include photos illustrating how the engine and
       chassis was disabled.  If returned to the engine manufacturer, obtain a letter documenting
       that the engine is remanufactured to a more stringent EPA standard.
       Documentation of any program income earned, including the sale of original vehicle or
       equipment parts and record of program income generated by sale thereof. Refer to the
       Award Terms and Conditions for Program Income requirements.
       Confirm the level of emission reduction achieved by the vehicle replacement matches or
       exceeds the level described in the grant work plan's project narrative. Emission reduction
       is based on period associated with early retirement, so include a final comparison with
       normal fleet turn over and the in-service date for the replacement vehicle or machine.
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7. Engine Upgrades

a. General Information
Generally, an engine upgrade involves the removal of parts on a certified engine configuration
and replacement with parts that cause the engine to represent an engine configuration which is
certified to meet more stringent federal emission standards.

Some engines are able to be upgraded to reduce their emissions by applying manufacturer
upgrades that are retrofits verified by EPA or CARB as a package of components demonstrated
to achieve specific levels of emission reductions.  Some engines are  able to be upgraded to a
cleaner EPA certified configuration through the application of a "kit" (the "kit" may not
necessarily be verified as a retrofit by EPA or CARB, but the "kit" must be used to rebuild the
engine to an engine configuration which is certified to meet more stringent federal emission
standards. For example, a Tier 0 nonroad engine could be upgraded to a certified Tier 1 nonroad
configuration).  A kit used to represent a cleaner engine configuration must include full
documentation of exactly what components are included to represent the specific certified engine
configuration. All emission control components and design specifications must match a certified
engine configuration.

b. Things to look for in these types  of projects

    1. If your project is using the verified Emissions Upgrade Group from Caterpillar, please
      note that the EPA approval document for the Engine Upgrades states the fuel requirement
      maximum sulfur content is 500 ppm, however, nonroad applications are required to use
      fuel no more than 15 ppm sulfur content effective June 2010. Also for projects using the
      verified Emissions Upgrade Group from Caterpillar, the servicing dealer must follow
      specific installation instructions approved by Caterpillar and  validate that the upgraded
      engine has the necessary Tier 1 components installed and has been tested to ensure  the
      proper fuel delivery, power, torque and  speed. The dealer must submit a validation form
      to Caterpillar in  order to receive a label  for the upgraded engine and be in compliance
      with this verification.  Check the EPA Verified Technology  List at
      http://epa.gov/cleandiesel/verification/verif-list.htm to ensure the Emissions Upgrade
      Group from Caterpillar is specified to be used with the specific vehicle or equipment type
      in your project, and for the applicable model year.

   2. Check pre-andpost-emission standard levels for PM and NOx: Engine upgrades may not
      be available for all engines, and not all upgrades may achieve an emission benefit, so it is
      important to check the  actual emission standard level of the current and upgraded engines
      to ensure the upgrade product is reducing emissions.  Emission standard levels are based
      on the engine model year for highway engines, and for nonroad engines the horsepower
      and model year of the  engine are needed to determine the tier level. Check the emissions
      tables found in the link below to ensure that the proposed upgrade will result in an
      emissions reduction.

          On-Highway Emissions Standards Tables:
          http://www.epa.gov/otaq/standards/heavv-duty/hdci-exhaust.htm

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          Nonroad Emissions Standards Tables:
          http ://www. epa.gov/otaq/standards/nonroad/nonroadci. htm

          Locomotive Emissions Standards Tables:
          http://www.epa.gov/otaq/standards/nonroad/locomotives.htm

          Marine Emissions Standards Tables:
          http ://www. epa.gov/otaq/standards/nonroad/marineci. htm

   3.  Certificates of conformity: Grantees should obtain relevant copies of certificates of
       conformity for existing and upgraded engines from the engine manufacturers prior to
       upgrading the engine. When conducting an upgrade, the entire configuration needs to be
       included, which must include a complete engine and emission control system to the
       design specifications of the certified engine configuration. The bid proposal should
       request a letter from the engine manufacturer confirming that the upgraded engine will
       meet the design specifications of the certified engine. Note: for verified engine upgrades,
       the verification letter is used in lieu of the certificate of conformity.

   4.  Invoices should be very specific and include all the parts of the certified engine
       configuration: Sometimes a critical part of the upgraded certified engine is the catalyst
       (from an emissions reduction standpoint). Aftercooling may also be critical and the
       engine manufacturer should affirm the new configuration will meet the applicable
       cooling requirements. Ensure that the entire configuration is installed according to the
       invoice. See Grantee File Checklist section, below, for a list of items that should be
       included on repower invoices.

   5.  Note for locomotive and marine upgrades: Depending on the availability of certified
       engine rebuild kits, regulations may require that marine engines at or above 600 kW and
       locomotive engines be upgraded to a lower emission level at the time of rebuild.
       Consequently, an upgrade project in a marine or locomotive application may overlap with
       an operator's requirement to install a certified engine upgrade kit at the time of rebuild.
       In this case, the project could be considered a mandated measure and may not be
       fundable under the DERA program. It is appropriate to confirm that a  marine or
       locomotive engine upgrade project is not simply going to achieve the same benefit
       already required with a certified engine upgrade kit. Identify when the original
       locomotive or marine engine was rebuilt last, when it is due for rebuild next, and if a
       certified rebuild kit is available. See available guidance on the web at
       www.epa.gov/cleandiesel or ask your Project Officer for assistance, if  needed.

   6.  Selection of vehicles or equipment: The most cost effective vehicles or equipment will
       have high annual use (>1000 hours or 50,000 miles).

   7.  Operating condition: To be eligible for upgrade projects, the original engine must be
       fully operational and performing its intended function to qualify for funding.  Vehicles or
       engines that  are not operating in normal service may not be used in upgrade projects.


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c. EPA Project Officer File Checklist
In addition to normal grant-management documents, Project Officers should specifically keep
the following documentation in their files for projects which incorporate Engine Upgrades:

   •   Completed Project Fleet Description Spreadsheets: Ensure relevant information is
       accurately completed, including the year the upgrade takes place, the model year of the
       engine, etc .
   •   If the project uses the EPA verified Emissions Upgrade Group from Caterpillar, include a
       copy of the EPA Verification Letter.
   •   Document and confirm the original standard level compared to the emission level
       represented by the engine upgrade.

d. Grantee File Checklist
In addition to normal grant-management documents, grantees should specifically keep the
following documentation in their files for projects related to Engine Upgrades:

   •   Completed Project Fleet Description Spreadsheets: Ensure relevant information is
       accurately completed using instructions tab. Ask Project Officer for assistance, if
       needed.
   •   If the project uses the EPA verified Emissions Upgrade Group from Caterpillar, include
       copies of the EPA Verification Letter and copies of the validation forms, including
       documentation that the upgraded engine has the necessary components installed and has
       been tested to ensure the proper fuel delivery, power, torque and speed. Request a copy of
       documents from Caterpillar indicating the dealer installed the upgrade accordance with
       the EPA verification.
   •   Request for Proposals/Bids for equipment that specify the equipment name, model, make,
       year, for which engine family and model years, etc.
   •   Invoices of all completed work. See Appendix A for examples of a good invoice.
       Invoices for engine upgrades should include:
          o  All parts installed, including any exhaust controls
          o  Model year and family engine label of the upgraded engine
   •   Confirm the level of reduction achieved by the upgrade matches the grant work plan's
       project narrative.
   •   When requesting bids for upgrades, require documentation of the specific certified engine
       family and emission level to be achieved, and that the upgrade represented  certified
       engine configuration will include all emission control components and operating
       characteristics of the certified engine configuration.
   •   Copies of relevant EPA certificates of conformity for existing and new engine
       configurations, and confirm the EPA engine family names match the certificates, if
       applicable. Confirm and document the original engine emission level compared to the
       emission level represented by the engine upgrade.
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8. Aerodynamic Technologies & Low Rolling Resistance Tires

a. General Information
Aerodynamic technologies help minimize drag and smooth out air flow over Class 8 tractor-
trailer vehicles.  Aerodynamic devices include gap fairings that reduce the gap between the
tractor and the trailer to reduce turbulence, trailer side skirts that minimize wind under the trailer,
and trailer rear fairings that reduce turbulence and pressure drop at the rear of the trailer. This
decrease in drag can help reduce fuel usage for a long haul Class 8 truck.

Low rolling resistance tires decrease the rolling friction between the tires and the road during
operation. EPA determined that certain tire models can provide a reduction in NOx emissions
and fuel savings when used on all five axles of long haul Class 8 trucks.

The options offered include both dual tires and single wide tires (single wide tires replace the
double tire on each end of a drive or trailer axle, in effect turning an "18" wheeler into a "10"
wheeler).  Low rolling resistance tires can be used with lower-weight aluminum wheels to
further improve fuel savings; however, wheels may not be purchased with grant funds.

b. Things to look for in these types of projects

    1. Ensure technology is verified: In order to be eligible for DERA funding, the aerodynamic
      devices and low rolling resistance tires must be specifically listed on EPA's Verified
      Aerodynamic Technologies list or EPA's Verified Low Rolling Resistance Tires list.
      Check to ensure the specific technology (by name,  model, and manufacturer) is on the list
      AND the technology description provided by the vendor matches what is on the list.

      EPA Verified Aerodynamic  Technologies List
      http://www.epa.gov/smartwav/technologv/aerodynamics.htm

      EPA Verified Low Rolling Resistance Tires List
      http://www.epa.gov/smartway/technology/tires.htm

   2. Request all installation details for Aerodynamic Devices: Sometimes these devices need
      to be modified in size and/or shape for specific vehicles. While this may be allowed, be
      sure to ask the vendor to supply written document on these modifications and show that
      they are approved by the EPA Verification team.

   3. Restrictions for tires:  Low rolling resistance tires are verified for use on line-haul class 8
      trucks.  Only verified tires for use and installed on line-haul class 8 trucks (over 33,001
      with a sleeper cab) are eligible for funding.

   4. Scrappage Requirements: For tire replacement projects, the original tires should be
      scrapped according to local or state requirements, or the tires can be salvaged for reuse or
      retreading. If salvaged tires  are sold, please refer to the award Terms and Conditions for
      program income requirements.
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c. EPA Project Officer File Checklist
In addition to normal grant-management documents, Project Officers should specifically keep
the following documentation in their files for projects related to Aerodynamic and/or Low
Rolling Resistance Tire technologies:

   •   Completed Project Fleet Description Spreadsheets: Ensure relevant information is
       accurately completed.
   •   Confirm only Class 8 long haul trucks are included in the fleet description.
   •   Confirm no rims are purchased with DERA funds.
   •   Confirm only verified tires and/or aerodynamic technologies are used.

d. Grantee File Checklist
In addition to normal grant-management documents, grantees should specifically keep the
following documentation in their files for projects related to Aerodynamic and/or Low Rolling
Resistance Tire technologies:

   •   Completed Project Fleet Description Spreadsheets: Ensure relevant information is
       accurately completed to document the truck is a long-haul Class 8 truck. Ask your
       Project Officer for assistance, if needed.
   •   Information documenting that technology is listed on either EPA's Verified Aerodynamic
       Technologies list or EPA's Verified Low Rolling Resistance Tires list.
   •   Request for Proposals/Bids for equipment that specify the equipment name, model,  make,
       year, for which engine family and model years, etc.
   •   Invoices of all completed work. See Appendix A for examples of a good invoice.
       Invoices for aerodynamic technologies and low rolling resistance tires should include:
          o   Specific technology type
          o   Technology make
          o   Technology model
   •   Evidence that the old tires were either scrapped according to local or state requirements,
       or salvaged for reuse or retreading.
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9. Cleaner Fuels Use

a. General Information
Cleaner fuels include, but are not limited to, ultra-low sulfur diesel (ULSD) fuel (for nonroad
vehicles, engines and equipment prior to EPA or State mandates), biodiesel, diesel emulsions or
additives verified by EPA or CARB, compressed natural gas (CNG), propane, and other
approved alternative fuels. For new or expanded use of a cleaner fuel, EPA will fund the cost
differential between the eligible cleaner fuels and conventional diesel fuels.

b. Things to look for in these types of projects

       1.  Compressed Natural Gas and Propane Gas Engines: In order for CNG or propane
          engines to be eligible for DERA funding, the engine must be EPA certified (and
          CARB certified if used in California) with the use of the alternative fuel.
          Infrastructure costs to support CNG or propane may not be funded.

       2.  Cost Differential: Funding may only be used for the cost differential between the
          normally required commercially available fuel and the clean fuel.

       3.  Fuel Type: Projects may only use clean fuels verified by EPA or CARB or as
          required with a certified engine such as with CNG or propane.  The alternative fuel
          must be fully described and approved in the project description.

       4.  Marine and Locomotive Engines: Effective in 2012, marine and locomotive engines
          will be required to use ULSD. Thus, there will be no more cost-differential funding
          for these projects.

c. EPA Project Officer File Checklist
In addition to normal grant-management documents, Project Officers should specifically keep
the following documentation in their files for projects related to Cleaner Fuels Use:

   •   Confirm the alternative fuels are acceptable: EPA or CARB verified or, for CNG or
       propane, required with the engine certification.
   •   Completed Project Fleet Description Spreadsheets: Confirm vehicles using alternative
       fuels are specified.
   •   Confirm that vehicles using CNG or propane are certified to operate on the applicable
       fuel.
   •   Confirm vehicles proposed for alternative fuels are covered by the scope of verification
       with the applicable EPA verification letter or CARB EO.
   •   Confirm infrastructure costs are not included in the project.
   •   Confirm new or expanded use (refer to RFP).

d. Grantee File Checklist
In addition to normal grant-management documents, grantees should specifically keep the
following documentation in their files, for projects related to the use of cleaner fuels:


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       Invoices of all completed work. See Appendix A for examples of a good invoice.
       Invoices for cleaner fuels use should include:
          o   Invoices of all fuel deliveries documenting the fuel type and properties
       If CNG or propane is used, obtain a copy of the EPA certificate of conformity for each
       applicable engine in the project.
       Copies of all fuel analyses.
       Document quantity of fuel used, the cost of the alternative fuel and cost of the normally
       required commercially available fuel to determine the eligible funding.
       Records of fueling (quantity of each fuel, vehicle mileage, date, etc.)
       Documentation of any vehicle maintenance or eligible additional costs associated with
       the use of the alternative fuel. For example, using biodiesel may require additional fuel
       filter changes and the associated parts and labor should be documented.
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Appendix A
Sample Invoices

1. Example of an exhaust control invoice: This invoice for a Purifilter DPF includes the
model of the technology - Purifilter system - and can therefore be identified as an EPA verified
technology listed on EPA's website. While this can be acceptable, it is appropriate to list the
specific technology name and model as described in verification documents.  The VIN number
of the vehicle is also provided, to ensure that the technology was installed on the intended
vehicle. (Identifying information for the contractor and grantee has been intentionally removed).
                                     '•>_« ,' ' '.. '' "IV "UFI
  i ! ' ' J •- 1   I  •*.'!'  F " !• r  - "= 1 TM
     i_    _,'. I--L  * «\' : c rr.TfiT'
        i C^-T* '  "•  I  1'F  Kll
        1 '-Ul".'  -  1 -'1  'N-. !/•• I
     ri ••",•; L   .- •'R'-'  Mr;  I-F^T^I
                                  CUSTQMHR COPY
                                                     H 4 f!     I * 'i ',T
                                                    TOTAL LINE A =
                                                       tfcJ I f !• Vl

                                                      !,'!<•   (-A*-:
                                                                 T
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2. Example of an idle reduction technology invoice:  This invoice for a Webasto Scolastic
Fuel Operated Heater includes the specific make and model of the technology, and can therefore
be identified from EPA's website as a technology that is verified for use on school buses. The
vehicle number is also provided to ensure that the technology was installed on the intended
vehicle. (Identifying information for the contractor and grantee has been intentionally removed).
                                                         ACCOUNT NUMBER:
                                                         INVOICE NUMBER:
                                                         INVOICE DATE:
                                                         INVOICE TERMS:
                                                         PURCHASE ORDER*:
                                                         VEHICLE*:
                                                                                   Paye 3  o f 3
                  10/28/2010
                                       SERVICE INVOICE
Oust. L'nit #:
V.I.N: I"
Engine S/N:
Tran S/N:
Reefer S/N:
API) S/N:

Make: 711OMAS
Model «:
Model #:
Model #:
Nf ode] #:
APU Gen S/N:

Model:
In Serv Date:
In Serv Date:
In Sen Dale:
In Serv Date:
In Sen Dale:
BOM/Spee:
SCHOOL BUS Tag*:
1 2/3 J. '9999 Year:
Mileage:
Eng Hrs:
Warr ID:

2009
30, MIX
0

Date Create: 10/12/2010


             INSTALL SCHOOLASTIC  HEBATO HEATER
  lOty
             PUT BRACKET ON HEATSR. INSTALL OK  FRAM3 .  INSTALL FUSL FILTER HEAD. START HOCKING
             1 UP EXHAUST. REMOVED FUEL TANK AMD  ALL BRACKETS AND REMOVED BUNGS FOR FUEL TANK.
             INSTALLED STAND PIPS. MADS BRACK3T FOR FUEL FILTER MOUSING. MOUNTED FUEL FILT3R
             HOUSING. HOOK UP KXaAUST RUN PCWiR CORD RKKOVK SEAT IN I'RONT ON iMSIDK liliATiR.
             DRILL HOLES IN FLOOR FOR COOLANT PIPES. MAKE PIPES AND INSTALL. RUN 3TAT WIRES
             AND INSTALL PROGRAMMER. INSTALL STAND PIPE AND HUNG FUEL TANK.  RUN T-3'i'A'I WIRING
             INTO CAB. HAD TO REMOVE T-STAT AND SHIM OUT FOR CLEARANCE. GET  HOSES HOOKED UP.
             INSTALL  KOSE FROM HiATER TO FT.BOK. PURGE, COOLING SYSTEM. TRY TO START UNIT.  ONLY
             COOLANT  PUMP RUNS. PRIME FUEL SYSTEM. WILL MOT START.  ONLY COOLANT PUMP IS
             RUNNING. TAKE A BUNCH OF MEASUREMENTS AND FOUND THE INTERNAL STAT IS NOT MAKING
             CONTACT. OPEN UP HOUSING AMD CCULD NOT SEE ANYTHING.  OPEN UP NSW ONE.  REMOVE TOP
             COVER AND FOUND CONNECTOR UNPLUGGED.  OPEN UP UNIT ON  BUS AND FOUND SAME CONKECTOR
             UNPLUGGED. PLUG IN AND UNIT STARTED RIGHT UP. LET RUN.  CHECKED  FOR COOLANT LEAKS.
             INSTALL  TRIM PANEL, SEAT,  FUEL TANK.  CHECK FOR LEAKS  AND INSTALL WABASTO COVER.
             ASSEMBLE HEW UNIT.
                                                                   Pi ice Each
                                                                                  Extended!
                              INSTALL  SCHOOLASTIC  HEBATO HEATER
                              TIMER 7  DAY DIGITAL WHITE
                              SFT OK 2 AN6M-: MTG - WB3ASTO
                              SCHOLASTIC 12V D SB KIT
                              FITTING
                              u bolt
                              1"BLK KOSE
                              tlS H/CLAMP
                             Total
                             Parts
 Total
Sub/Misc
           i INSTALL SCHOOLASTIC WEBASTO HEATER

          . .1 ;      '- SCHOOL BUS V1N#1- " '
Working Draft Version 1.0, October 12, 2011
                                       27

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3.  Example of a repower invoice: This invoice for a repower includes the specific engine
configuration installed, including the model year or tier level.  In addition, it lists all parts
involved in the repower to ensure the entire certified engine configuration is being installed in
the chassis.
ACME Manufacturer
1234 Happy Lane
Ann Arbor, MI 48105
Sample Customer Invoice
Sold To
DERA Grantee
INVOICE NUMBER
SF040957482
MAKE
Caterpillar
INVOICE DATE
5/17/2011
MODEL
950FII
ORDER NUMBER
WP - 4595288
SERIAL NUMBER
08FL82145
PAGE
1 of 1
METER READING
15256
                              INVOICE DETAILS
Replace Tier 0 750 horsepower engine with Tier 1 750 horsepower engine, including parts and
labor necessary to facilitate removal of existing engine and install new Tier I certified engine
configuration.

ACTION: BROUGHT MACHINE INSIDE, WASHED ENGINE COMPARTMENT. REMOVED HOOD AND
SIDE PANELS. REMOVED EXISTING TIER 0 ENGINE AND REPLACED WITH NEW CERTIFIED TIER
1 ENGINE SYSTEM.
FILLED RADIATOR SYSTEM WITH ALL NEW ELC. CHECKED ENGINE SPECS AND
ADJUSTED AS NEEDED. CHECKED FOR ENGINE OIL PRESSURE AND FLUID LEVELS. RAN
MACHINE, CHECKED FOR LEAKS AND WASHED OIL FROM MACHINE.
            SEGMENT 1         TOTAL LABOR (FLAT-RATE)
                              SEGMENT TOTAL

                                   TIER I Engine
                                   Core Charge
                                   Full Core Credit
                                   HOSE
                                   SEAL-0-RING
                                   RING
                                   ELBOW
                                   MUFFLER A
                                   PIPE
                                   SUPPORT
                                   CLAMP
                                   10w30 DEO Quarts
                              SEGMENT TOTAL (FLAT-RATE)
                        SUBTOTAL

                        PAY THIS AMOUNT
                        3,760.00
                        3,760.00
SEGMENT 2
1.00
1.00
1.00
1.00
1.00
2.00
1.00
1.00
1.00
1.00
2.00
32.00

OR8760


1031998
1558899
6p00056
1067850
6I2408
6I2409
612615
8X48294
2889948q
                        13,622.71
                        17,382.71

                        17,382.71
Working Draft Version 1.0, October 12, 2011
                                 28

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             Appendix B - On-highway Engine Emission Standards

Note: See the Code of Federal Regulations (CFR) for the official standards or reference
          http://www.epa.gov/otaq/standards/heavv-duty/hdci-exhaust.httn
                                On-HighwayHD Diesel Standards
DNox
• PM
12 -
10 -
8 -
1
re
-o
| 6-
35
X
O
Z
4 -
2 -
o -
Family Na

























0.7 NOx


/ Consent Decree \
\ pull ahead /
6 NOx \ /






i — i r~


PI F


_ . — .


n


. — i




n
f.




1
NO




n
X




D
4 NOx /
n »
V HC+NOx St

flflflflflflflflfl
|g||||s||||||||85§S§|§
me Begins with KLMNPRSTVWXY123456
Model Year

J

Dnnra
r-. co o o
o o o -*-
CS OJ CM CM
7 8 9 A
- 1.2
• 1
- 0.8
w
T3
(B
-o
-°-6l
55
£
Q.
- 0.4
- 0.2
"2007 Rule'
0.01 PM&
0.20 NOx
- 0

Working Draft Version 1.0, October 12, 2011
29

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Appendix C - Nonroad Engine Standards Quick Reference (see CFR for official stds.)
Standard





Federal





Rated
Power
(hp)
hp<10.7
10.7 < hp
<25.5
25.5 1207
Rated
Power
(kW)
kW<8
8< kW<
19
19 < kW <
37
37 < kW <
56
56 < kW <
75
75 < kW <
130
130 < kW
<225
225 < kW
<450
450 < kW
<560
560 < kW
<900
kW>900
Tier
1
2
4
1
2
4
1
2
4
1
2
3f
4 (Option
1)E
4 (Option
2)E
4
1
2
3
4
1
2
3
4
1
2
3
4
1
2
3
4
1
2
3
4
1
2
4
1
2
4
Model
Year
2000-
2004
2005-
2007
2008+
2000-
2004
2005-
2007
2008+
1999-
2003
2004-
2007
2008-
2012
2013+
1998-
2003
2004-
2007
2008-
2011
2008-
2012
2012
2013+
1998-
2003
2004-
2007
2008-
2011
2012-
2013h
2014+'
1997-
2002
2003-
2006
2007-
2011
2012-
2013h
2014+
1996-
2002
2003-
2005
2006-
2010
2011-
2013h
2014+'
1996-
2000
2001-
2005
2006-
2010
2011-
2013h
2014+'
1996-
2001
2002-
2005
2006-
2010
2011-
2013h
2014+'
2000-
2005
2006-
2010
2011-
2014
2015+'
2000-
2005
2006-
2010
2011-
2014
2015+'
NMHC
(gAw-
hr)




















0.19




0.19
1.3'



0.19
1.3'



0.19
1.3'



0.19
1.3'

0.4
0.19
1.3'

0.4
0.19
NMHC +
NOx
(g/kW-
hr)
10.5
7.5
7.5
9.5
7.5
7.5
9.5
7.5
7.5
4.7

7.5
4.7
4.7
4.7
4.7

7.5
4.7
4.7


6.6
4
4


6.6
4
4


6.4
4
4


6.4
4
4


6.4



6.4


NOx
(g/kW-
hr)










9.2





9.2



0.4
9.2



0.4
9.2



0.4
9.2



0.4
9.2



0.4
9.2

3.5
3.5k
9.2

3.5k
3.5k
PM
(g/kW-
hr)
1
0.8
0.40C
0.8
0.8
0.4
0.8
0.6
0.3
0.03

0.4
0.4
0.3
0.03
0.03

0.4
0.4
0.02
0.02

0.3
0.3
0.02
0.02
0.54
0.2
0.2
0.02
0.02
0.54
0.2
0.2
0.02
0.02
0.54
0.2
0.2
0.02
0.02
0.54
0.2
0.1
0.041
0.54
0.2
0.1
0.041
CO
(g/kW-
hr)
8
8
8
6.6
6.6
6.6
5.5
5.5
5.5
5.5

5
5
5
5
5

5
5
5
5

5
5
5
5
11.4
3.5
3.5
3.5
3.5
11.4
3.5
3.5
3.5
3.5
11.4
3.5
3.5
3.5
3.5
11.4
3.5
3.5
3.5
11.4
3.5
3.5
3.5
Smoke"
(Percent
age)
20/15/
50
Useful
Life
(hours/y
ears)b
3,000/5
3,000/5
5,000/7d
8,000/10
Warranty
Period
(hours/y
ears)"
1,500/2
1,500/2
3,000/5e
3,000/5

Working Draft Version 1.0, October 12, 2011
30

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Appendix D - Example EPA Certificate of Conformity
                                       UNOTD STATES ENVIRONMENTAL PROTECTION AGENCY
                                                       WASHINGTON, DC 20460

                                                2000 Model Year Certificate of Conformity

                          Manufacturer:         Cummins Engine Company, Inc.
                          Certificate Number:    CEX-lTRB-flO-27
                          Effective Dale:        12/20/99
                          Date Issued:           12/20/99
                          Gregory A. Green, Director, VPCD
                          Office Of Mobile Sources

                          Pursuant to Section 206 of the Clean Air Act (42 U.S.C. section 7525), 40 CFR Part 86, and the
                          Consent Decree (Civil Action No. 98-02546) entered and approved by the U.S. District Court for
                          the District of Columbia on Jury I, 1999, this certificate of conformity is hereby issued witb
                          respect to the test engines which represent the following motor vehicle engines, by engine
                          family, and is subject to the terms and conditions prescribed in those provisions and the Consent
                          Decree.

                          Heavy Duty (Urban Bus) Diesel Engine Family:            YCEXHOSOSCAF    (413M}

                          This certificate of conformity covers only those new motor vehicle engines which conform, in all
                          material respects, to the design specifications that applied to those engines described in the
                          documentation required by 40 CFR Part 86 and the Consent Decree.

                          This certificate of conformity covers those new motor vehicle engines produced by Cummins
                          Engine Company during that production period of the model year stated on this certificate
                          (model year as defined in 40 CFR Part 86).

                          It is a term of this certificate that the manufacturer shall consent to all inspections described in
                          40 CFR 86.096-7, 86.606, and 86.1006 and authorized in a warrant or court order.  Failure to
                          comply with the requirements of such a warrant or court order may lead to revocation or
                          suspension of this certificate for reasons  specified in 40 CER Part 86 including 40 CFR 86.095-
                          30, or render the certificate void ab initio as specified in 86.096-7.  It is also a terra of this
                          certificate that this certificate may be revoked or suspended or rendered void ab kutio for other
                          reasons specified in 40 CFR Part S6, including 40 CFR 86,095-30, 86.612, 86.096-7, and
                          86.1012.

                          This certificate does not cover vehicles or engines sold, offered for sale, or introduced, or
                          delivered for introduction, into commerce in the U.S. prior to toe effective date of the certificate.
                          This certificate does not cover vehicles or engines imported prior to the effective date of the
                          certificate.
Working Draft Version  1.0, October 12,  2011                                                              31

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Appendix E - Example Engine Emission Control Labels

Note: The label may be hard to see or read. These are actual pictures from engines and illustrate
how you should be able to find the EPA engine family name on the label.
                                                     Engine Family Name
                                                           Engine Family Name
Working Draft Version 1.0, October 12, 2011
32

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Appendix F - Example Vehicle Inspection Sheet

Diesel Retrofit Project Pre-lnstallation Checklist

The following list outlines the key technical aspects of a diesel retrofit project that should be checked prior to
installation of a verified emission control device on a vehicle.

	     Engine characteristics must meet all terms and conditions of retrofit device verification letter (model
        year, engine family, engine configuration)

	     Intake air filter condition

	     Absence of air intake system leaks (including charge air cooler)

	     Exhaust peak opacity (over the SAE J1667 protocol):  	
        •    Certain Mack engines:  <30% limit
        •   All other  engines: <20% limit
         (Note:  There should be no  signs of blue smoke or white smoke; most MY 1994 and newer engines were
        certified with OE peak opacities <10%. It is the right of the technology provider and its distributors to reject a
        vehicle even if the opacity value is below the limit if, in their opinion, the vehicle presents an atypical opacity
        value.)

	     Exhaust system integrity

	     Absence of visual signs of engine oil or diesel fuel present in exhaust system

	     Absence of turbocharger seal leaks

	     Absence of audible combustion problems

        Absence of excessive crankcase vent tube emissions.  Flow if measured:
	     Engine mileage accumulation: 	
        If the engine mileage accumulation exceeds the following values, the technology provider advises the owner
        that the higher rate of occurrence of spontaneous engine component failures may result in unwarranted
        failure of the emission control device:
        •   Class 8 (>33,000 Ibs.):  >600,000 miles
        •   Class6& 7 (19,501-33,000 Ibs.):  >200,000 miles
        •   Class4&5 (14,001-19,500 Ibs.):  >150,000 miles

	     Diesel fuel used must comply with terms and conditions of retrofit device verification letter (sulfur level,
        biodiesel specification, fuel additives)

	     Application duty-cycle must comply with terms and conditions of retrofit device verification letter

	     Documented data logging results and analysis provided to the owner - if exhaust temperature criteria are
        applicable.

	     Conduct safety analysis of retrofit device installation (visibility, location of device relative to fuel lines,
        structural framework, heat issues)
Working Draft Version 1.0, October 12, 2011                                                      33

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Appendix G - Example Certification of Installation
Equipment Installation Firm:
Contact Name and Telephone Number:
Fleet / Vehicle Owner:
Contact Name and Telephone Number:
Vehicle Information:
Vehicle Manufacturer:
Vehicle VEST Number:
Vehicle ID Number:
Vehicle Make, Model & Year
Emission Reduction Equipment Information:

Equipment Type:               	
Equipment Manufacturer:        	
Equipment Model:              	
     Equipment Type:
     DOC: Diesel Oxidation Catalyst   CCV: Closed Crankcase Ventilation     DPF: Diesel Particulate Filter
     FOH: Fuel Operated Heater     APU: Auxiliary Power Unit          BAC: Battery Air Conditioner
We certify that we have installed the above-referenced emissions reduction equipment in
accordance with the manufacturer's specifications and warranty requirements. We certify
that the equipment installed is a "Verified Technology" by the USEPA or California Air
Resources Board for the subject vehicle. We further certify that we have assessed the
operation of such equipment, to the extent possible, and it is functioning as intended:
Printed Name                                                           Work Order Number
Signature                                                               Invoice Number
Date
Working Draft Version 1.0, October 12, 2011                                              34

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