National Clean Diesel Rebate Program,
2013 Construction Equipment Funding
Opportunity Program Guide
&EPA
United States
Environmental Protection
Agency
-------
National Clean Diesel Rebate Program,
2013 Construction Equipment Funding
Opportunity Program Guide
Transportation and Climate Division
Office of Transportation and Air Quality
U.S. Environmental Protection Agency
United States
Environmental Protection
Agency
EPA-420-B-13-042
November 2013
-------
Table of Contents
1. Introduction 1
1.1 Rebate Program History 1
1.2 Scope of Work 1
2. Rebate Program Structure 2
2.1 Eligible Applicants 2
2.2 Eligible Construction Equipment Engines 2
2.3 Technology Options 3
2.3.1 Technology Option #1 4
2.3.2 Technology Option #2 4
2.4 Available Funding and Selection Process 5
2.5 Amount of Rebate 5
2.6 Maximum Number of Engines per Applicant 6
3. Rebate Process for Technology Option #1 6
3.1 Step 1 -Application 7
3.2 Step 2 - Selection 9
3.3 Step 3 -Notification and Obligation 9
3.4 Step 4 - Data Logging Results Submittal 9
3.5 Step 5 - Purchase Order Submittal 9
3.6 Step 6 - Diesel Particulate Filter Delivery and Installation 10
3.7 Step 7 - Request for Payment 10
3.8 Step 8 - Payment 10
3.9 Cancellation of Rebate Application 10
4. Rebate Process for Technology Option #2 11
4.1 Step 1 -Application 12
4.2 Step 2 - Selection 14
4.3 Step 3 -Notification and Obligation 14
4.4 Step 4 - Purchase Order Submittal 14
4.5 Step 5 - Engine Delivery and Scrappage 15
4.5.1 -New Engine Delivery and Installation 15
4.5.2 Scrappage/Disposal of Old Engine 15
-------
4.6 Step 6 - Request for Payment 15
4.7 Step 7 - Payment 16
4.8 Cancellation of Rebate Application 16
5. Rebate Program Administration 16
5.1 Terms and Conditions 16
5.1.1 Use of Construction Equipment Engine and/or Retrofits 16
5.1.2 Scrappage of Old Equipment Engine for Replaced Engines Only 17
5.1.3 Ownership and Location of the Retrofitted or Replaced Equipment 17
5.1.4 Restriction for Mandated Measures 17
5.1.5 Documentation Requirement 17
5.2 EPA Responsibilities 17
5.3 Disbursement of Funds 17
5.4 Emission Reductions Reporting 17
5.5 Program Audit 17
5.6 Record Retention Requirements 18
Appendices
A. List of Priority Counties Eligible for 2013 Construction Equipment Funding Opportunity
B. Sample Rebate Applications
C. Rebate Application Checklist
D. Where to Find Your Engine Serial Number, Engine Model Year, and Engine Family Name
E. Technology Option # 1 Eligibility and Rebate Amount Worksheet
F. Technology Option # 2 Eligibility and Rebate Amount Worksheet
11
-------
1. Introduction
The Environmental Protection Agency (EPA) is offering a 2013 Construction Equipment
Funding Opportunity to reduce diesel emissions from existing fleets of nonroad construction
equipment. The Diesel Emission Reduction Act program (DERA) was originally authorized by
Title VII, Subtitle G (Sections 791 to 797) of the Energy Policy Act of 2005 (Public Law 109-
58). DERA was amended by the Diesel Emissions Reduction Act of 2010 (Public Law 111-
364), codified at 42 U.S.C. 16131 et seq, adding, among other provisions, a rebate program
option. These provisions provide the Environmental Protection Agency with the authority to
award rebates, competitive grants and low-cost revolving loans to eligible entities to fund the
costs of a clean diesel strategy that significantly reduces diesel emissions from mobile sources
through implementation of a certified engine configuration or verified technology. The objective
of this program is to achieve significant reductions in diesel emissions in terms of tons of
pollution produced and reductions in diesel emissions exposure, particularly from fleets
operating in areas designated by the Administrator as poor air quality areas.
1.1 Rebate Program History
The National Clean Diesel Rebate Program was authorized by the Diesel Emissions Reduction
Act of 2010. Through the National Clean Diesel Rebate Program, EPA will offer financial
support to eligible applicants to reduce diesel emissions from a variety of mobile sources. EPA's
first rebate program in 2012 focused on the replacement of school buses.
This second round of rebate funding, known as the 2013 Construction Equipment Funding
Opportunity, will provide financial assistance to public and private construction equipment
owners for engine replacements or diesel particulate filters on older construction equipment.
EPA anticipates offering additional rebate opportunities in future years to retrofit, repower, or
replace other types of diesel engines in various sectors. Future rebate funding opportunities will
be based on program goals and available funding, among other factors.
1.2 Scope of Work
The 2013 Construction Equipment Funding Opportunity will provide rebate incentives to
selected eligible applicants to either: 1) retrofit with a diesel particulate filter or 2) replace their
nonroad construction equipment engine. See Section 2.2 for specific information on eligible
equipment engines and Section 2.3 for technology options.
The project parameters for the 2013 Construction Equipment Funding Opportunity ensure that all
projects that receive funding meet the DERA national priorities. The eligible projects maximize
public health benefits, are cost-effective, serve areas that receive a disproportionate quantity of
air pollution from diesel fleets, include a certified engine configuration, maximize the useful life
of the certified engine configuration, and conserve diesel fuel.
In addition, the 2013 Construction Equipment Funding Opportunity supports EPA's 2011 - 2015
Strategic Plan that defines goals, objectives, and sub-objectives for protecting human health and
the environment. Specifically, it supports Goal 1 (Take Action on Climate Change and Improve
Air Quality) and Objective 1.2 (Improve Air Quality). Activities funded will reduce diesel
-------
emissions from the existing fleet of construction equipment, thereby reducing local and regional
air pollution.
This document describes the minimum criteria and requirements of the 2013 Construction
Equipment Funding Opportunity.
2. Rebate Program Structure
2.1 Eligible Applicants
Eligible public sector applicants include regional, state, local, or tribal agencies or port
authorities with jurisdiction over transportation or air quality. Municipalities, metropolitan
planning organizations (MPOs), and counties are all eligible applicants for this rebate program to
the extent that they fall within the definition above.
Private entities that operate nonroad construction equipment under a contract or lease with a
public entity listed above are also eligible. If the applicant is a private entity, the applicant must
certify on the Rebate Application that it has an existing and executed contract or lease to provide
nonroad construction equipment to a specified public entity at the time of the rebate application.
2.2 Eligible Construction Equipment Engines
The eligible engines must meet all of the definitions and requirements listed below.
Nonroad Engine Definition
The EPA definition of the nonroad engine includes engines installed on: (1) self-propelled
equipment; (2) equipment that is propelled while performing its function; or (3) equipment that is
portable or transportable, as indicated by the presence of wheels, skids, carrying handles, dolly,
trailer, or platform. In other words, nonroad engines are all internal combustion engines except
motor vehicle (highway) engines, stationary engines (or engines that remain at one location for
more than 12 months), engines used solely for competition, or engines used in aircraft.
Construction Definition
Eligible construction equipment, for the purpose of the 2013 Construction Equipment Funding
Opportunity, is defined as nonroad (see above) equipment used in the creation or maintenance of
transportation infrastructure, commercial and industrial projects, residential buildings, and heavy
civil construction. The construction equipment must be diesel-powered and have a rated power
between 130-450 kW or 174-603 horsepower. Examples include but are not limited to wheel or
skid loaders, motor graders, and dozers.
Ownership and Annual Usage
At the time of application, the applicant must own and operate the equipment, for which funds
are being requested. Equipment ownership must be documented by providing a copy of the
original bill of sale, original invoice, or other documentation that demonstrates ownership of the
equipment. The equipment must have operated for a minimum of 500 hours in the previous 12
months.
-------
Location Requirement
The nonroad construction equipment must be located in one of the eligible counties in the List of
Eligible Counties in Appendix A at the time of application and the 3 months prior to the
application. Starting on the date of the rebate payment, following installation of the technology
option, the equipment must operate in the application county for 12 months or 500 hours,
whichever comes first. The term "eligible county" refers to the primary area where the
equipment engines operate, or the primary area where the emissions benefits of the project will
be realized. EPA may conduct audits up to 3 years after the rebate payment to ensure these
conditions are met.
The counties listed in Appendix A were selected as eligible areas for the 2013 Construction
Equipment Funding Opportunity based on data from a number of sources. The sources include
counties:
Designated as PM 2.5 or 8-Hr Ozone Nonattainment Areas or 8-Hr Ozone
Maintenance Areas. Data is sourced from EPA's Green Book of Nonattainment Areas
for Criteria Pollutants.
o www. epa. gov/oaqpsOO 1 /greenbk/
Where all or part of the population is exposed to more than 2.0 ug/m3 of diesel
particulate matter emissions. Data is sourced from the 2005 National-Scale Air
Toxics Assessment.
o www. epa. gov/ttn/atw/nata2005/
Accepted to participate in EPA's Ozone Advance Program or PM Advance Program
by Tuesday, November 19, 2013.
o www.epa.gov/ozoneadvance/basic.html
o www.epa.gov/ozoneadvance/basicPM.html
2.3 Technology Options
There are two options under this Funding Opportunity:
1) Retrofit devices for diesel-powered Tier 2 and Tier 3 emission standard nonroad
construction engines;
2) Engine replacement for diesel-powered unregulated (Tier 0) and Tier 1 emissions
standard nonroad construction engines.
See Table 1 (page 5) and Table 2 (page 6) for specific engine model years and rated power
eligibility requirements.
The existing construction equipment must currently operate on diesel fuel, be in regular use, and
in operational condition to qualify for funding. To be in regular use, construction equipment
engines to be retrofitted or replaced must have accumulated at least 500 annual usage hours over
the most recent 12 months. To be considered operational, the equipment must be able to start,
have all operational parts in working order, and perform its intended function. If the equipment
has more than one engine, all engines are eligible provided the engines on the application meet
annual usage hours and rated power requirements.
-------
EPA reserves the right to request maintenance logs or similar at any time during the rebate
program process. Applicants are required to certify in the Rebate Application that the
construction equipment listed meets these operational requirements.
2.3.1 Technology Option #1 - Engines Eligible for Retrofits with Diesel Particulate Filters
Tier 2 and Tier 3 emission standard nonroad construction engines with engine model years 2001-
2010 and power rating of 225 < kW < 450 (301 < hp < 603) are eligible for rebates on a Diesel
Particulate Filter (DPF). EPA will pay for the full cost of the DPF, up to a maximum of $30,000
perDPF.
Please refer to Table 1 and Appendix E to determine eligibility and available rebate amount.
Only verified Diesel Particulate Filters are eligible under this technology option. A list of
eligible, EPA verified exhaust control technologies is available at:
www.epa.gov/cleandiesel/verification/verif-list.htm: a list of eligible, California Air
Resources Board (CARB) verified exhaust control technologies is available at:
www.arb.ca.gov/diesel/verdev/vt/cvt.htm. Verified technologies proposed for funding under this
category must be specifically named on one of these lists at the time of application to the rebate
program, and must be used only for the vehicle application specified on the list.
If selected, applicants will have 45 days to confirm suitability for a DPF by data logging the
proposed engine. This can be arranged with the Diesel Particulate Filter vendor. The results of
the data logging must be sent to EPA within 45 days of the selection letter.
2.3.2 Technology Option #2 - Engines Eligible for Engine Replacement
Rated Power 130 - 225 kW or 174 - 301 horsepower
Unregulated (Tier 0) and Tier 1 emission standard nonroad construction engines with engine
model years 1990-2002 and power rating between 130 - 225 kW (174 < hp < 301) are eligible
for engine replacements to either Tier 2 or Tier 3 emission standard engines.
Rated Power 225 - 450 kW or 301 - 603 horsepower
Unregulated (Tier 0) and Tier 1 emission standard nonroad construction engines with engine
model years 1990-2000 and power rating between 225 - 450 kW (301 < hp < 603) are eligible
for engine replacements to either Tier 2 or Tier 3 emission standard engines.
Please refer to Table 2 and Appendix F to determine eligibility and available rebate amount.
The Rebate Application must show the pre- and post- project emission standard levels of the
engines to be replaced. The replacement engine must be of the same horsepower or within 10%
of the engine horsepower being replaced and operate in the same manner as the original engine.
All replacement engines must meet Federal safety standards and required warranties. The
applicant takes sole responsibility for ensuring the replacement engine is in operational
condition.
-------
Following installation of the replacement engine, the original engine must be scrapped by
drilling a hole through the engine block and at least one cylinder. See Section 4.5 for specific
engine scrappage requirements.
2.4 Available Funding and Selection Process
For the 2013 Construction Equipment Funding Opportunity, EPA anticipates having
approximately $2,000,000 for rebates, subject to availability of funds. Funding will not be
provided for administrative expenses. EPA reserves the right to partially fund applications,
reject all applications, and make no selections under this program, or to make fewer selections
than anticipated.
Application selections will be determined by a random lottery. Once the lottery list is generated,
EPA will apply the following criteria to the lottery list:
Each of the 10 EPA Regions, with at least one eligible applicant, will have a selected
applicant.
It is anticipated that at least 50% of funds will be allocated to public construction
equipment.
2.5 Amount of Rebate
Tables 1 and 2 specify the rebate amounts for eligible nonroad construction equipment engines.
Table 1: Construction Equipment Rebate Program
Rebate Amount for Technology Option #1
Original
Emissions
Tier
Tier 2 or Tier 3
New
Technology
Diesel
Particulate
Filter
Rated Power
130 < kW < 225
174 < hp < 301
Not Eligible
Rated Power
225 < kW < 450
301 < hp < 603
$30,000 Max
(Eligible Engine Model
Years 2001-2010)
Table 2: Construction Equipment Rebate Program
Rebate Amount for Technology Option #2
Original
Emissions
Tier
Unregulated
(Tier 0) or
Tier 1
Unregulated
(Tier 0) or
Tier 1
New
Technology
Engine
Replacement
to Tier 2
Engine
Replacement
to Tier 3
Rated Power
130 < kW < 225
174 < hp < 301
$12,000
(Eligible Engine Model
Years: 1990-2002)
$15,000
(Eligible Engine Model
Years: 1990-2002)
Rated Power
225 < kW < 450
301 < hp < 603
$49,000
(Eligible Engine Model
Years: 1990-2000)
$69,000
(Eligible Engine Model
Years: 1990-2000)
-------
2.6 Maximum Number of Engines per Applicant
Applicants may submit only one Rebate Application that includes up to five eligible nonroad
construction equipment engines. The five engines can be any combination of the options shown
in the above tables for a total maximum of $120,000 in rebate funding. Applications can include
both technology options on the same application, i.e., an applicant could apply for DPF and a
replacement engine on the same application.
3. Rebate Process for Technology Option #1 - Retrofit with a Diesel Particulate Filter
The 2013 Construction Equipment Funding Opportunity for Technology Option # 1 consists of
the following eight steps, as illustrated in Figure 1. Details of the requirements for each step are
described in Sections 3.1 - 3.9 below.
Step 1 - Application Submission
Step 2 - Selection of Participants
Step 3 - Notification of Selectees
Step 4 - Data Logging Results Submittal
Step 5 - Purchase Order Submittal
Step 6 - Delivery and Installation
Step 7 - Payment Request
Step 8 - Payment
-------
Figure 1 - Rebate Program Flow Chart for Technology Option # 1 - Retrofit with a
Diesel Particulate Filter
Step 1 - Application
Eligible equipment owners submit
applications to EPA from
November 20, 2013 through
January 15, 2014.
Step 2 - Selection
EPA randomly selects from eligible
applicant pool. All other eligible
applicants will be placed on the
waiting list in lottery order.
Step 4 - Data Logging Requirement
Selectees have 45 days from date
of selection letter to submit to
EPA proof of data logging and
compatability of engine with
diesel particulate filter.
Step 3 - Notification and
Obligation
EPA sends selection letter to
Selectees notifying them of
selection status. Funds are
obligated and held at EPA.
Step 5 - Purchase Order Submittal
Selectees have 90 days from date
of selection letter to submit to
EPA a copy of the purchase order
for the new retrofit device.
Step 6 - Delivery and Installation
New retrofit device is delivered
and installed within 12 months of
the selection letter date.
Step 8- Payment
EPA sends the rebate
amount to Selectee .
Step 7- Payment Request
Selectee submits proof of receipt,
installation and compliance with
all other Terms and Conditions
(invoices, etc.) within 12 months
from selection letter date.
3.1 Step 1 - Application
All applicants must submit a Rebate Application (EPA Form 5600-260) and required supporting
documentation to EPA by Wednesday, January 15, 2014, 4:00 pm EST. The application may be
downloaded from www.epa.gov/cleandiesel/documents/2013-clean-diesel-rebate-application.pdf
as a fillable Portable Document File (PDF). See Appendix B for a sample Rebate Application.
-------
You must have Adobe Reader to open and fill in the fields of this form. For more information
about PDFs, please see www.epa.gov/epahome/pdf.html.
Email the completed Rebate Application, along with a scanned copy of the equipment's original
bill of sale, invoice or other ownership documentation to CleanDieselRebate@epa.gov. Include
the subject line: DERA Construction Equipment Rebate Application: [your organization's
name]. If the applicant does not have access to email, please call 202-343-9231 for assistance.
The Rebate Application includes identifying information such as organization name, address,
Dun and Bradstreet (DUNS) number, Employer ID Number (EIN), and the name of the
organization's Authorized Representative, who is able to sign on behalf of the applicant
organization. If an applicant does not have a DUNS or EIN, they must obtain one prior to
applying for a rebate. An organizational Dun and Bradstreet (D&B) Data Universal Number
System (DUNS) number must be included on the rebate form. Organizations may obtain a
DUNS number at no cost by calling the toll-free DUNS number request line at 1-866-705-5711,
or visiting the D&B website at: www.dnb.com.
Applicants must also be registered in the System for Award Management (SAM), prior to
submitting an application (previously known as the Central Contractor Registration). Information
can be found at www.sam.gov.
The Rebate Application requires applicants to supply the following information related to each
of the construction equipment engines to be retrofitted.
1) Equipment Type
2) Technology Option and Emission Standard Tier
3) Engine Serial Number (see Appendix D)
4) Engine Family Name (see Appendix D)
5) Engine Model Year (see Appendix D)
6) Gallons of Diesel Used in Last 12 Months
7) Hours of Use Last 12 Months
8) Horsepower
9) Location of operation of the construction equipment (County and State)
10) Rebate Amount (See Section 2.5 and Appendix E for eligible rebate amounts)
The engine model year of the existing equipment's engine must be between 2001 and 2010, as
described in Section 2.3.1 and Table 1. See Appendix D for additional assistance with
determining the engine serial number, engine model year, or engine family name.
A copy of the equipment's original bill of sale, invoice, or other documentation that proves
ownership must be submitted with the application. See Section 2.2 for additional information.
Annual usage hours should be obtained from maintenance logs or other recordkeeping
information. By signing the Rebate Application, applicants are certifying that the engine serial
number, engine model year, engine family name, horsepower, annual usage hours, and fuel usage
-------
reported are true to the best of their knowledge. EPA reserves the right to request copies of
documentation, such as activity logs, to verify the above information.
EPA may contact an applicant to clarify any information provided by that applicant.
3.2 Step 2 - Selection
All applications that are received by EPA by Wednesday, January 15, 2014, 4:00 pm EST,
will be assigned a unique identification number, and applicants will be selected through a
random number generator. Once the lottery list is generated, EPA will apply the following
criteria to the lottery list:
Each of the 10 EPA Regions, with at least one eligible applicant, will have a selected
applicant.
It is anticipated that at least 50% of funds will be allocated to public construction
equipment.
Eligible applicants who are selected (Selectees) will move on to Step 3 in the Rebate Process.
All other applicants will remain in lottery number order on the wait list. If a Selectee does not
complete the remaining required steps in the rebate process within the required timeframe
(described in Steps 3-8 below), that Selectee will be removed from the program and the next
applicant on the wait list will be selected for participation.
Both the Selectee List and the Applicant Wait List will be posted at
www.epa.gov/cleandiesel/dera-rebate-construction.htm
3.3 Step 3 - Notification and Obligation
EPA will notify Selectees and those applicants that are on the wait list within 30 days of the
application submittal deadline. Each Selectee will be assigned an EPA Rebate Contact person
for the duration of the Rebate Program. Once Selectees receive the selection letter from EPA,
they may purchase the eligible DPFs and complete Steps 4-8 below.
3.4 Step 4 - Data Logging Results Submittal
The Selectee will have 45 days to confirm suitability for a DPF by data logging the proposed
engine for two weeks. This can be arranged with the Diesel Particulate Filter vendor. The
Selectee must submit the results of the data logging process to their Rebate Contact within 45
days of the Selection Letter.
3.5 Step 5 - Purchase Order Submittal
A copy of the purchase order for the new DPF must be submitted to EPA within 90 days of date
of the Selection Letter. The date of the purchase order cannot pre-date the date of the Selection
Letter. The proof of purchase may be a procurement request, purchase order, or any other
document that clearly shows a transaction being initiated between the applicant and a retrofit
vendor for the purchase of an eligible DPF.
Proof of purchase must be on official vendor or purchaser letterhead and include the following
information for each piece of equipment: (1) purchaser name, address, and phone number; (2)
vendor name, address, and phone number; (3) diesel particulate filter model, manufacturer and
-------
purchase price; (4) diesel particulate filter purchase date; (5) delivery date(s), predetermined and
agreed upon by both vendor and purchaser. Selectees that submit false or misleading
information may be barred from future participation in DERA and other federal funding
programs or may face other penalties.
The proof of purchase document should be scanned and saved in PDF format and emailed to:
your assigned EPA Rebate Contact and CleanDieselRebate@epa.gov. Include the subject line:
DERA Construction Equipment Proof of Purchase: [your organization's name].
3.6 Step 6 - Diesel Particulate Filter Delivery and Installation
Selectees must take delivery and install the new DPF within 12 months of the date of the
Selection Letter and prior to submitting the Payment Request to EPA. New DPFs and retrofitted
engines must meet the requirements described in Section 2.3.1.
3.7 Step 7 - Request for Payment
Selectees may request reimbursement from EPA by submitting a Payment Request, a copy of the
invoice, and a copy of the bill of lading (proof of delivery) for the new DPF. The invoice or the
bill of lading should include the following information: Manufacturer and Model of the DPF,
Engine Model Year, Engine Manufacturer, Engine Family Name, and DPF cost. The Payment
Request Form also requires Selectees to provide detailed information on the retrofitted engine
and DPF, such as the Manufacturer and Model of the DPF, Engine Model Year, Engine
Manufacturer, Engine Family Name, and DPF cost. The Payment Request must be submitted to
EPA no later than 12 months after the date of the Selection Letter (see Section 3.3 for
information about the Selection Letter).
To request reimbursement, email the completed Payment Request, a copy of the DPF invoice,
and a copy of the bill of lading (in PDF format) as attachments to your assigned EPA Rebate
Contact and CleanDieselRebate@epa.gov. Include the subject line: DERA Construction
Equipment Payment Request: [your organization's name].
3.8 Step 8 - Payment
Once EPA has received and approved the Selectee's Payment Request and supporting
documentation, EPA will issue the rebate funds electronically to the Selectee. EPA anticipates
that payment will be issued to the Selectee within approximately 10 business days from the
receipt of the complete payment request package.
3.9 Cancellation of Rebate Application
If a Selectee fails to submit all of the required forms and other documents by the deadlines
established in Section 3.4, 3.5, and 3.7, the rebate application will be cancelled and any reserved
funds will be offered to the next eligible applicant on the waiting list. EPA will notify the
Selectee prior to cancelling any reserved funds.
10
-------
4. Rebate Process for Technology Option # 2 - Replacement Engine to Tier 2 or Tier 3
Emission Standard Engine
The 2013 Construction Equipment Funding Opportunity consists of the following seven steps, as
illustrated in Figure 2. Details of the requirements for each step are described in Sections 4.1-
4.8 below.
Step 1 - Application Submission
Step 2 - Selection of Participants
Step 3 - Notification of Selectees
Step 4 - Purchase Order Submittal
Step 5 - Delivery and Scrappage
Step 6 - Payment Request
Step 7 - Payment
11
-------
Figure 2 - Rebate Program Flow Chart for Technology Option # 2 - Replacement
Engine to Tier 2 or Tier 3 Emission Standard Engine
Step 1 - Application
Eligible equipment owners submit
applications to EPA from November 20,
2013 through January 15, 2014.
Step 2 - Selection
EPA randomly selects from eligible
applicant pool. All other eligible
applicants will be placed on the waiting
list in lottery order.
Step 4- Purchase Order Submittal
Selectees have 90 days from date of
selection letter to submit to EPA a copy
of the purchase order for the new
replacement engine.
Step 3 - Notification and Obligation
EPA sends selection letter to Selectees
notifying them of selection status.
Funds are obligated and held at EPA.
StepS - Delivery and Scrappage
New replacement engine is delivered
and installed. Old engine is scrapped.
Selectees have 12 months from
selection letter date for this step.
Step 6 - Payment Request
Selectee submits proof of receipt,
installation and compliance with all
other Terms and Conditions (invoices,
pictures of scrapped engine, etc.)
within 12 months from selection letter
date.
Step 7- Payment
EPA sends the rebate
amount to Selectee.
4.1 Step 1 - Application
All applicants must submit a Rebate Application (EPA Form 5600-260) and required supporting
documentation to EPA by Wednesday, January 15, 2014, 4:00 pm EST. The application may be
downloaded from www.epa.gov/cleandiesel/documents/2013-clean-diesel-rebate-application.pdf
as a fillable Portable Document File (PDF). See Appendix B for a sample Rebate Application.
12
-------
You must have Adobe Reader to open and fill in the fields of this form. For more information
about PDFs, please see www.epa.gov/epahome/pdf.html.
Email the completed Rebate Application, along with a scanned copy of the equipment's original
bill of sale, invoice or other ownership documentation to: CleanDieselRebate@epa.gov. Include
the subject line: DERA Construction Equipment Rebate Application: [your organization's
name]. If the applicant does not have access to email, please call 202-343-9231 for assistance.
The Rebate Application includes identifying information such as organization name, address,
Dun and Bradstreet (DUNS) number, Employer ID Number (EIN), and the name of the
organization's Authorized Representative, who is able to sign on behalf of the applicant
organization. If an applicant does not have a DUNS or EIN, they must obtain one prior to
applying for a rebate. An organizational Dun and Bradstreet (D&B) Data Universal Number
System (DUNS) number must be included on the rebate form. Organizations may obtain a
DUNS number at no cost by calling the toll-free DUNS number request line at 1-866-705-5711,
or visiting the D&B website at: www.dnb.com.
Applicants must also be registered in the System for Award Management (SAM), prior to
submitting an application (previously known as the Central Contractor Registration). Information
can be found at www.sam.gov.
The Rebate Application requires applicants to supply the following information related to the
construction equipment engine to be replaced.
1) Equipment Type
2) Technology Option and Emission Standard Tier
3) Engine Serial Number (see Appendix D)
4) Engine Family Name (see Appendix D)
5) Engine Model Year (see Appendix D)
6) Gallons of Diesel Used in Last 12 Months
7) Hours of Use Last 12 Months
8) Horsepower
9) Location of operation of the construction equipment (County and State)
10) Rebate Amount (See Section 2.5 and Appendix F for eligible rebate amounts)
The engine model year of the existing equipment's engine must be between 1990 and 2002 for
Unregulated (Tier 0) emission standard engines or between 1990 and 2000 for Tier 1 emission
standard engines, as described in Section 2.3.2 and Table 2. See Appendix D for additional
assistance with determining the engine serial number, engine model year, or engine family name.
A copy of the equipment's original bill of sale, invoice, or other documentation that proves
ownership must be submitted with the application. See Section 2.2 for additional information.
Annual usage hours should be obtained from maintenance logs or other recordkeeping
information. By signing the Rebate Application, applicants are certifying that the engine serial
number, engine model year, engine family name, horsepower, annual usage hours, and fuel usage
13
-------
reported are true to the best of their knowledge. EPA reserves the right to request copies of
documentation, such as activity logs, to verify the above information.
EPA may contact an applicant to clarify any information provided by that applicant.
4.2 Step 2 - Selection
All applications that are submitted to EPA by Wednesday, January 15, 2014, 4:00 pm EST,
will be assigned a unique identification number, and applicants will be selected through a
random number generator. Once the lottery list is generated, EPA will apply the following
criteria to the lottery list:
Each of the 10 EPA Regions, with at least one eligible applicant, will have a selected
applicant.
It is anticipated that at least 50% of funds will be allocated to public construction
equipment.
Eligible applicants who are selected (Selectees) will move on to Step 3 in the Rebate Process.
All other applicants will remain in random number order on the wait list. If a Selectee does not
complete the remaining required steps in the rebate process within the required timeframe
(described in Steps 3-7 below), that Selectee will be removed from the program and the next
applicant on the wait list will be selected for participation.
Both the Selectee List and the Applicant Wait List will be posted at
www.epa.gov/cleandiesel/dera-rebate-construction.htm
4.3 Step 3 - Notification and Obligation
EPA will notify Selectees and those applicants that are on the wait list within 30 days of the
application submittal deadline. Each Selectee will be assigned an EPA Rebate Contact person
for the duration of the Rebate Program. Once Selectees receive the selection letter from EPA,
they may begin the engine replacement process. Once the engine has been ordered, the Selectee
will complete Steps 4-7 below.
4.4 Step 4 - Purchase Order Submittal
A copy of the purchase order(s) for the new replacement engine must be submitted to EPA
within 90 days of date of the selection letter. The date of the purchase order cannot pre-date the
date of the Selection Letter. The proof of purchase may be a procurement request, purchase
order, or any other document that clearly shows a transaction being initiated between the
applicant and an engine vendor for the purchase of an eligible replacement engine.
Proof of purchase must be on official vendor or purchaser letterhead and include the following
information for each engine: (1) purchaser name, address, and phone number; (2) vendor name,
address, and phone number; (3) engine serial number, engine manufacturer, engine model year,
emission standard tier, engine family and engine purchase price; (4) replacement engine
purchase date; (5) delivery date, predetermined and agreed upon by both vendor and purchaser.
Selectees that submit false or misleading information may be barred from future participation in
DERA and other federal funding programs or may face other penalties.
14
-------
The proof of purchase document should be scanned and saved in PDF format and emailed to:
your assigned EPA Rebate Contact and CleanDieselRebate@epa.gov. Include the subject line:
DERA Construction Equipment Proof of Purchase: [your organization's name].
4.5 Step 5 - Vehicle Delivery and Scrappage
4.5.1 - New Engine Delivery and Installation
Within 12 months of the Selection Letter date, Selectees must take delivery of and install the
new engine prior to submitting the Payment Request to EPA. New engines must meet the
requirements described in Section 2.3.2.
4.5.2 Scrappage/Disposal of Old Engine
Each engine being replaced must be scrapped or rendered permanently disabled prior to Selectee
submitting the Payment Request to EPA. The older engine being replaced must be scrapped and
permanently disabled by drilling a minimum Va" diameter hole completely through the engine
block and at least one cylinder and cutting through the intake manifold.
Proof of scrappage must be provided with the Payment Request. Scrappage documentation
includes photos of:
1. Side profile of the equipment
2. The engine tag that includes:
a. Engine serial number
b. Engine family identifier
3. Engine block, prior to hole being drilled
4. Engine block, after hole has been drilled
The Selectee must also provide a letter confirming the scrappage requirements have been met.
The letter must be signed by the authorized representative listed on the rebate application forms.
The letter should include:
1. The date the engines were scrapped.
2. A listing of the scrapped engines with engine model year, engine serial number,
horsepower and emission standard tier level.
3. The name and contact information for the entity that scrapped the equipment, if other
than the applicant.
All scrappage documentation should be submitted, with the Payment Request, in PDF format or
as JPEG image files.
Scrappage may be completed by the Selectee or by a salvage yard, or similar service, provided
all scrappage requirements have been met and all necessary documentation is provided. The
engine may be sold for scrap metal, provided that the engine is disposed of in accordance with
federal and state requirements for disposal.
4.6 Step 6 - Request for Payment
Selectees may request reimbursement from EPA by submitting a Payment Request, proof of
scrappage (see Section 4.5.2), a copy of the invoice for the new engine, and a copy of the bill of
15
-------
lading (proof of delivery) for the new engine. The invoice or bill of lading for the replacement
engine should include the following information: Engine Serial Number, Engine Model Year,
Engine Manufacturer, Engine Family Name, Emission Standard Tier, Horsepower and Engine
Cost.
The Payment Request requires Selectees to provide detailed information on the new engine, such
as the Engine Serial Number, Engine Model Year, Engine Manufacturer, Engine Family Name,
Emission Standard Tier, Horsepower and Cost. The Payment Request must be submitted to EPA
no later than 12 months after the date of the Selection Letter (see Section 4.3 for information
about the Selection Letter).
To request reimbursement, email the completed Payment Request, proof of scrappage, a copy of
the replacement engine invoice, and a copy of the bill of lading (in PDF format) as attachments
to: your assigned EPA Rebate Contract and CleanDieselRebate@epa.gov. Include the subject
line: DERA Construction Equipment Payment Request: [your organization's name]
4.7 Step 7 - Payment
Once EPA has received and approved the Selectee's Payment Request and supporting
documentation, EPA will issue the rebate funds electronically to the Selectee. EPA anticipates
that payment will be issued to the Selectee within approximately 10 business days from the
receipt of the complete payment request package.
4.8 Cancellation of Rebate Application
If a Selectee fails to submit all of the required forms and other documents by the deadlines
established in Sections 4.4 and 4.6, the rebate application will be cancelled and any reserved
funds will be offered to the next eligible applicant on the waiting list. EPA will notify the
Selectee prior to cancelling any reserved funds.
5. Rebate Program Administration
5.1 Terms and Conditions
Applicants are required to comply with the following terms and conditions. By signing the
Rebate Application (see Appendix B for example), applicants certify that they have read and
agree to the requirements of this Program Guide document and the program terms and
conditions.
5.1.1 Use of Construction Equipment Engine and/or Retrofits
The equipment engine must operate in a similar manner as the engine prior to retrofit or
replacement. In addition, the Selectee agrees that they will:
1. Not make modifications to the emission control system on the replacement engine or the
retrofit device; and,
2. Be available for follow-up inspection of the piece of equipment for 3 years after receipt
of the rebate, if requested by EPA or its designee. EPA anticipates auditing of a random
sample of rebate recipients.
16
-------
5.1.2 Scrappage of Old Equipment Engine for Replaced Engines Only
Selectees must scrap the engine being replaced in accordance with Section 4.5.2
(Scrappage/Disposal of Old Engine).
5.1.3 Ownership and Location of the Retrofitted or Replaced Engines
Selectees must maintain ownership of the retrofitted or replaced engine for 12 months following
payment of the rebate. If the equipment is sold or moved outside of the priority county before
the end of the 12 month period or 500 hours of operation, whichever comes first, the Selectee
may be required to return up to the full amount of the rebate to EPA. The amount required to be
returned is at the discretion of EPA, and will be determined on a case-by-case basis.
5.1.4 Restriction for Mandated Measures
Pursuant to 42 U.S.C. 16132(d)(2), no funds awarded under the 2013 Construction Equipment
Funding Opportunity shall be used to fund the costs of emission reductions that are mandated
under federal law. In addition, these federal funds for construction equipment engines must not
be used in combination with any other federal funding.
5.7.5 Documentation Requirement
If an applicant is selected, that Selectee is responsible for providing the Payment Request and
required supporting documentation to EPA. Selectees are responsible for maintaining copies of
all submitted forms and documents, and EPA responses, for a period of 3 years from the date of
payment.
5.2 EPA Responsibilities
EPA will review rebate applications for eligibility within the timelines established in Section 3.3
and 4.3. EPA will promptly notify Selectees by email and post the waiting list to our website
within 30 days of the close of the open application period.
5.3 Disbursement of Funds
EPA will issue rebate funds within 10 business days of determining that a Selectee has submitted
a completed Payment Request and all supporting documents, including proof of scrappage of the
old engine (for engine replacements only) and proof of the new technology installation and
delivery. If necessary, EPA may request additional documentation from a Selectee prior to
issuing funds if EPA determines that any required information is missing or incomplete. In such
a case, EPA will provide the Selectee with a reasonable amount of time to submit additional
information.
5.4 Emission Reductions Reporting
EPA will use the equipment information supplied by applicants to calculate emissions reductions
attributable to the 2013 Construction Equipment Funding Opportunity for the purposes of
program evaluation and reporting to Congress on the effectiveness of the program.
5.5 Program Audit
EPA will conduct random reviews of Selectees' documentation to protect against waste, fraud,
and abuse. As part of this process, EPA may request copies of rebate documents from prior
Selectees who have received rebates, or may request documentation from current Selectees to
17
-------
verify statements made on the application and payment forms. Selectees are expected to comply
with recordkeeping requirements (see Section 5.1.5), and must supply EPA with any requested
documents for 3 years from date of rebate issuance, or risk cancellation of an active rebate
application or other enforcement action.
5.6 Record Retention Requirements
Selectees must retain all financial records, supporting documents, accounting books, and other
evidence of Rebate Program activities for 3 years. The retention period starts on the day the
Applicant is notified that their application has been selected for funding. If any litigation, claim,
or audit is started before the expiration of the three year period, the recipient must maintain all
appropriate records until these actions are completed and all issues resolved.
18
-------
Appendix A
List of Priority Counties Eligible for 2013 Construction Equipment Funding Opportunity
AL
AL
AL
AL
AK
AK
AZ
AZ
AZ
AZ
AR
AR
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
Jefferson
Mobile
Shelby
Walker
Anchorage
Fairbanks North Star
Maricopa
Pima
Final
Santa Cruz
Crittenden
Pulaski
Alameda
Butte
Calaveras
Contra Costa
El Dorado
Fresno
Imperial
Kern
Kings
Los Angeles
Madera
Marin
Mariposa
Merced
Napa
Nevada
Orange
Placer
Riverside
Sacramento
San Bernardino
San Diego
San Francisco
San Joaquin
San Luis Obispo
San Mateo
Santa Barbara
Santa Clara
Shasta
Solano
Sonoma
Stanislaus
Sutter
CA
CA
CA
CA
CA
CA
CO
CO
CO
CO
CO
CO
CO
CO
CT
CT
CT
CT
CT
CT
CT
CT
DE
DE
DE
DC
FL
FL
FL
FL
FL
FL
FL
FL
FL
GA
GA
GA
GA
GA
GA
GA
GA
GA
Tehama
Tulare
Ventura
Washoe Tribal Lands
in CA
Yolo
Yuba
Adams
Arapahoe
Boulder
Denver
Douglas
Jefferson
Larimer
Weld
Fairfield
Hartford
Litchfield
Middlesex
New Haven
New London
Tolland
Windham
Kent
New Castle
Sussex
District of Columbia
Brevard
Broward
Duval
Hillsborough
Lee
Miami-Dade
Orange
Palm Beach
Sarasota
Bartow
Bibb
Chatham
Cherokee
Clayton
Cobb
Coweta
Crawford
DeKalb
GA
GA
GA
GA
GA
GA
GA
GA
GA
GA
GA
GA
GA
GA
GA
HI
ID
ID
ID
IL
IL
IL
IL
IL
IL
IL
IL
IL
IL
IL
IL
IL
IN
IN
IN
IN
IN
IA
IA
IA
IA
IA
IA
IA
IA
Douglas
Fayette
Forsyth
Fulton
Gwinnett
Henry
Houston
Jones
Monroe
Muscogee
Newton
Paulding
Peach
Rockdale
Twiggs
Honolulu
Ada
Franklin
Twin Falls
Cook
DuPage
Grundy
Kane
Kendall
Lake
McHenry
Madison
Monroe
Rock Island
St. Clair
Will
Winnebago
Clark
Dearborn
Lake
Marion
Porter
Black Hawk
Harrison
Johnson
Linn
Mills
Polk
Pottawattamie
Scott
19
-------
IA
KS
KS
KS
KS
KS
KS
KS
KS
KY
KY
KY
KY
KY
LA
LA
LA
LA
LA
LA
LA
LA
LA
LA
LA
LA
LA
LA
LA
LA
LA
LA
LA
LA
LA
LA
ME
MD
MD
MD
MD
MD
MD
MD
MD
MD
MD
MD
Wood bury
Butler
Harvey
Johnson
Leavenworth
Miami
Sedgwick
Sumner
Wyandotte
Boone
Campbell
Fayette
Jefferson
Kenton
Ascension
Assumption
Bossier
Caddo
Calcasieu
Cameron
De Soto
East Baton Rouge
Iberville
Jefferson
Lafourche
Lafayette
Livingston
Orleans
Plaquemines
St. Bernard
St. Charles
St. James
St. John the Baptist
St. Tammany
Terrebonne
West Baton Rouge
Cumberland
Anne Arundel
Baltimore
Calvert
Carroll
Cecil
Charles
Frederick
Harford
Howard
Montgomery
Prince George's
MD
MA
MA
MA
MA
Ml
Ml
Ml
Ml
Ml
Ml
Ml
Ml
Ml
Ml
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
Baltimore City
Bristol
Dukes
Middlesex
Suffolk
Genesee
Ingham
Kent
Livingston
Macomb
Monroe
Oakland
St. Clair
Washtenaw
Wayne
Aitkin
An oka
Becker
Beltrami
Benton
Big Stone
Blue Earth
Brown
Carlton
Carver
Cass
Chippewa
Chisago
Clay
Clearwater
Cook
Cottonwood
Crow Wing
Dakota
Dodge
Douglas
Faribault
Fillmore
Freeborn
Goodhue
Grant
Hennepin
Houston
Hubbard
Isanti
Itasca
Jackson
Kanabec
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
MN
Kandiyohi
Kittson
Koochiching
Lac qui Parle
Lake
Lake of the Woods
Le Sueur
Lincoln
Lyon
McLeod
Mahnomen
Marshall
Martin
Meeker
Mille Lacs
Morrison
Mower
Murray
Nicollet
Nobles
Norman
Olmsted
Otter Tail
Pennington
Pine
Pipestone
Polk
Pope
Ramsey
Red Lake
Redwood
Renville
Rice
Rock
Roseau
St. Louis
Scott
Sherburne
Sibley
Stearns
Steele
Stevens
Swift
Todd
Traverse
Wabasha
Wadena
Waseca
20
-------
MN
MN
MN
MN
MN
MN
MS
MS
MS
MS
MS
MS
MS
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MO
MT
MT
NE
Washington
Watonwan
Wilkin
Winona
Wright
Yellow Medicine
DeSoto
Hancock
Harrison
Hinds
Jackson
Warren
Washington
Barry
Barton
Bellinger
Cape Girardeau
Cass
Cedar
Christian
Clay
Dade
Dallas
Franklin
Greene
Iron
Jackson
Jasper
Jefferson
Lawrence
McDonald
Madison
Newton
Perry
Platte
Polk
Ray
St. Charles
Ste. Genevieve
St. Francois
St. Louis
Stone
Taney
Webster
St. Louis City
Lewis and Clark
Silver Bow
Cass
NE
NE
NE
NE
NE
NV
NV
NJ
NJ
NJ
NJ
NJ
NJ
NJ
NJ
NJ
NJ
NJ
NJ
NJ
NJ
NJ
NJ
NJ
NJ
NJ
NJ
NJ
NM
NY
NY
NY
NY
NY
NY
NY
NY
NY
NY
NY
NY
NY
NY
NC
NC
NC
NC
NC
Douglas
Lancaster
Sarpy
Saunders
Washington
Clark
Washoe Tribal Lands
inNV
Atlantic
Bergen
Burlington
Camden
Cape May
Cumberland
Essex
Gloucester
Hudson
Hunterdon
Mercer
Middlesex
Monmouth
Morris
Ocean
Passaic
Salem
Somerset
Sussex
Union
Warren
Bernalillo
Albany
Bronx
Chautauqua
Kings
Monroe
Nassau
New York
Onondaga
Orange
Queens
Richmond
Rockland
Suffolk
Westch ester
Cabarrus
Cumberland
Gaston
Iredell
Lincoln
NC
NC
NC
OH
OH
OH
OH
OH
OH
OH
OH
OH
OH
OH
OH
OH
OH
OH
OH
OH
OH
OH
OH
OH
OH
OH
OH
OH
OH
OH
OH
OK
OK
OK
OK
OK
OK
OK
OK
OK
OK
OK
OK
OK
OK
OR
OR
OR
Mecklenburg
Rowan
Union
Ashtabula
Butler
Clark
Clermont
Clinton
Cuyahoga
Darke
Delaware
Fairfield
Franklin
Geauga
Greene
Hamilton
Jefferson
Knox
Lake
Licking
Lorain
Lucas
Madison
Medina
Miami
Montgomery
Portage
Preble
Stark
Summit
Warren
Canadian
Cleveland
Creek
Grady
Lincoln
Logan
McClain
Oklahoma
Okmulgee
Osage
Pawnee
Rogers
Tulsa
Wagoner
Clackamas
Klamath
Lake
21
-------
OR
OR
OR
PA
PA
PA
PA
PA
PA
PA
PA
PA
PA
PA
PA
PA
PA
PA
PA
PA
PA
PA
PA
PA
PA
PA
PA
PA
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
Lane
Multnomah
Washington
Allegheny
Armstrong
Beaver
Berks
Bucks
Butler
Cambria
Carbon
Chester
Cumberland
Dauphin
Delaware
Fayette
Greene
Indiana
Lancaster
Lawrence
Lebanon
Lehigh
Montgomery
Northampton
Philadelphia
Washington
Westmoreland
York
Abbeville
Aiken
Allendale
Anderson
Bam berg
Barnwell
Beaufort
Berkeley
Calhoun
Charleston
Cherokee
Chester
Chesterfield
Clarendon
Colleton
Darlington
Dillon
Dorchester
Edgefield
Fairfield
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
SC
TN
TN
TN
TN
TN
TN
TN
TN
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
Florence
Georgetown
Greenville
Greenwood
Hampton
Horry
Jasper
Kershaw
Lancaster
Laurens
Lee
Lexington
McCormick
Marion
Marlboro
Newberry
Oconee
Orangeburg
Pickens
Richland
Saluda
Spartanburg
Sumter
Union
Williamsburg
York
Anderson
Blount
Davidson
Hamilton
Knox
Loudon
Roane
Shelby
Atascosa
Bastrop
Bexar
Bosque
Bowie
Brazoria
Brazos
Caldwell
Chambers
Collin
Comal
Dallas
Denton
Ellis
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
TX
UT
UT
UT
UT
UT
UT
UT
UT
UT
El Paso
Falls
Fort Bend
Freestone
Galveston
Gregg
Guadalupe
Harris
Harrison
Hays
Hill
Hood
Jefferson
Johnson
Kaufman
Kendall
Liberty
Limestone
Lubbock
McLennan
Montgomery
Nueces
Parker
Potter
Randall
Rockwall
Rusk
San Patricio
Smith
Tarrant
Taylor
Travis
Upshur
Waller
Webb
Wichita
Williamson
Wilson
Wise
Box Elder
Cache
Davis
Duchesne
Salt Lake
Tooele
Uintah
Uintah and Ouray
Reservation
Utah
22
-------
UT
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
Weber
Arlington
Caroline
Charles City
Chesterfield
Fairfax
Gloucester
Hanover
Henrico
Isle of Wight
James City
Loudoun
Prince George
Prince William
Spotsylvania
Stafford
York
Alexandria
Charlottesville
Chesapeake City
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
WA
WA
WA
Colonial Heights
Fairfax City
Falls Church
Hampton
Hopewell
Manassas
Manassas Park
Newport News
Norfolk
Petersburg
Poquoson
Portsmouth City
Richmond City
Roanoke City
Suffolk
Virginia Beach
Williamsburg
Clark
King
Pierce
WA
WA
WV
WV
WV
WV
WV
Wl
Wl
Wl
Wl
Wl
Wl
Wl
WY
WY
WY
PR
PR
PR
Snohomish
Yakima
Brooke
Hancock
Kanawha
Putnam
Wayne
Brown
Dane
Kenosha
Milwaukee
Racine
Sheboygan
Waukesha
Lincoln
Sublette
Sweetwater
Bayamon
Mayaguez
San Juan
23
-------
Appendix B
Sample Rebate Application - Public Equipment Owner
v>EPA
United Slates Environmental Protection Agency
National Clean Diesel Rebate Program
Rebate Application
OMB Number 2060-0686
Expiration Date: 10/31/2015
Applicant Information
Funding Year|2013 [ Target Fleet [construction | Rebate Type|Retrofit/Replacement
Organization Name [Washtenaw County Road Commission
Address J456 Easy Street
City Pleasantville
County/Parish Washtenaw
ZIP 48108
Employer/Taxpayer No. (EIN/TIN) 596001009
Organizational DUNS Code 85440782
Elidible Entity Information (Private Equipment Owner Applicants Only)
Private equipment owners are 8t>le to apply for funding from the National Clean Diesel Rebate Program if the equipment, for which funding is being
requested, is currently contracted or leased tc an eligible entity An eligible entity is a federal, regional. State, local, or tribal agency or port authority with
junsdiction over transportation or air quality. For additional information regarding private equipment owner applicants and eligible entitles, please refer to
the Program Guide.
Eligible Entity Type
Eligible Entity Name
Eligible Entity Location (City. State)
Dl certify the equipment, for which rebate funds are being requested, meet the requirements for private equipment owners as described
above and in the terms and conditions within the Program Guide
Original Equipment
1
2
3
4
5
Equipment
Type
BffiMMV
Cm*
Tractor/toader/Bacxhoe
Boring and Drilling Rig
Crane
'Example
Technology "
TtnT3
nuteer
T1BT3
T3 ado DPF
URBT2
Engine Serial
Number
6SC1364I
VWOCW2
C4E06J8J
iĞ[T1E.'
HSX05066
Engine
Family Name
TCPXL1CSMSF
HCP*!.-
aPKXL* 4NJ1
BPKXLQ4 4NJ1
SCPXI.1l 1ESK
Engine
Model
Year
2OB
2008
1996
2010
2001
Gals
Used
Last
12MOS
3758
ĞK
6744
5223
4985
Hrsof
Use
Last
12MOS
900
goo
851
664
6007
HP
225
3ğ
523
456
185
" UR = unregulated, also referred to as Tier 0
vxl I certify that the engines listed for retrofit or replacement are operational and meet
^-^ the eligibility requirements defined in the Program Guide.
E Replacements only I certify that the engines listed for replacement will be properly
disposed of according to Ihe requirements defined in the Program Guide
Location of
Operation:
County State
Uftg
Co*
WasNensw
Washtenaw
Washtenaw
Total
tN
Ml
Ml
Ml
S
Rebate
Amount
SH.KB
I V ?-:
S69.000
530,000
51?, 000
111.000
Applicant Signature
By Si9nin9' I certify the statements and information provided In this application are true and accurate to the best of my knowledge. If
selected for funding. I agree to provide Ihe required documentation and assurances necessary for funding.
Funding for the National Clean Diesel Rebate Program is subject to continuing federal appropriations. Please see the Program Guide for
additional funding information
Authorized Representative Name | Jane Smith
Title
Director
E-mail jsmith@washtenawcountyroadcommission.gov
Phone | (734)687-2584
Authorized Representative Signature
EPA Form 5600-260 (9-12)
Date 1/5/2014
24
-------
Sample Rebate Application - Private Equipment Owner
f/EPA
United States Environmental Protection Agency
National Clean Diesel Rebate Program
Rebate Application
OMB Number: 2060-0686
Expiration Date: 10/31/2015
Applicant Information
Funding Year|2013 | Target Fleet [Construction | Rebate Type [Retrofit/Replacement
Organization Name |Best Construction Company
Address 1123 Easy Street
City Pleasantville
County/Parish Washtenaw
ZIP 48108
Employer/Taxpayer No. (EIN/TIN) 138-2677401
Organizational DUNS Code|926722823
EIigible Entity Information (Private Equipment Owner Applicants Only)
Private equipment owners are able to apply for funding from the National Clean Diesel Rebate Program if the equipment, for which funding is being
requested, is currently contracted or leased to an eligible entity. An eligible entity is a federal, regional. State, local, or tribal agency or port authority with
junsdiction over transportation or air quality. For additional information regarding private equipment owner applicants and eligible entities, please refer to
the Program Guide.
Eligible Entity Type
Local Govt/Agency
Eligible Entity Name
Washtenaw County Road Commission
Eligible Entity Location (City, State)
Nice City, Ml
vx| I certify the equipment, for which rebate funds are being requested, meet the requirements for private equipment owners as described
I above and in the terms and conditions within the Program Guide.
Original Equipment
*
1
2
3
4
5
Equipment
Type
Excavator
Crane
Tractor/La ader/Backhoe
Boring and Drilling Rig
Crane
'Example
Technology **
T1 toT3
TSgtMDFF
T1 to T3
T3 add DPF
URIOT3
Engine Serial
Number
6NC13641
MHXC2S.12
C4E06383
4*407163
RSX05086
Engine
Family Name
YCPXL10SMRF
5CPXL12 5ESK
BPKXL4.4NJ1
9PKXLQ44NJ1
6CPXL11.IE5K
Engine
Model
Year
2000
2008
1996
2010
2001
Gals
Used
Last
12Mos
3759
4632
6744
5223
4985
Mrs of
Use
Last
12 Mas
500
600
851
664
6007
HP
225
386
523
456
185
** UR = unregulated, also referred to as Tier 0
Ei certify that the engines 'listed for retrofit or replacement are operational and meet
the eligibility requirements defined in the Program Guide.
E Replacements only: I certify lhat the engines listed for replacement will be properly
disposed of according to the requirements defined in the Program Guide.
Location of
Operation:
County State
Lake
cook
Washtenaw
Washtenaw
Washtenaw
Total
IN
IL
Ml
Ml
M!
s
Rebate
Amount
515.000
$30.000
S69,000
530,000
115,000
114,000
Applicant Signature
By signing, I certify the statements and information provided in this application are true and accurate to the best of my knowledge. If
selected for funding. I agree to provide the required documentation and assurances necessary for funding.
Funding for the National Clean Diesel Rebate Program is subject to continuing federal appropriations. Please see the Program Guide for
additional funding information.
Authorized Representative Name
Lindsey Vitikainen
Title Director of Equipment.
E-mail lindseyv@bestconstructoincompany.com
Phi
one | (734) 687-2584
Authorized Representative Signature
EPA Form 5600-260 (9-12)
Date 1/5/2014
25
-------
Appendix C
Rebate Application Checklist
The following information is required in order for an application to be considered eligible and
therefore entered into the random selection pool to potentially receive funds through the 2013
Construction Equipment Funding Opportunity.
EPA must receive the Rebate Application by Wednesday, January 15, 2014, 4:00 pm EST.
1) Review eligibility to apply (Section 2.1).
2) Review and determine equipment and engine eligibility including (sections 2.2, 2.3.1 and
2.3.2):
a. Ownership
b. Location Requirements
c. Eligible Construction Equipment Engines
d. Eligible Equipment Engine Model Year
e. Eligible Equipment Engine Emission Standard Tier
f Eligible Equipment Engine Rated Power (Horsepower)
3) Certify Eligible Entity Information (Private Equipment Owner Applicants only).
4) Complete Rebate Application (EPA Form 5600-260) available for download at
www.epa.gov/cleandiesel/dera-rebate-construction.htm
a. Complete Equipment and Engine Information required on the rebate application
for each engine to be retrofitted or replaced (up to five).
b. Include Dun and Bradstreet (DIMS) and Employer ID Number (EIN).
c. Provide name, title, contact information, and obtain the signature of the
applicant's Authorized Representative.
5) Attach a scanned copy of the equipment's original bill of sale, invoice, or other
ownership documentation for each engine to be retrofitted or replaced. Note: Equipment
with an active lien-holder does not qualify to participate in this program.
6) Email the completed Rebate Application to: CleanDieselRebate@epa.gov Include in the
subject line: DERA Construction Equipment Rebate Application: [your organization's
name].
7) Selected applicants must be registered in the System for Award Management (SAM),
(previously known as the Central Contractor Registration) prior to submitting an
application. Information can be found at www.sam.gov.
26
-------
Appendix D
How to Find Your Engine Serial Number, Engine Model Year, and Engine Family Name
D.I Where to find the Engine Serial Number
The engine serial number is typically found in one of the following locations on Nonroad
Engines:
1. Above air filter
2. Above the pulley, or on belt guard if present
3. Fuel pump or manifold
4. Engine block on the side of engine
5. On intake manifold
6. On/near starter
7. On cylinder head
8. On flange
9. On valve cover
10. Rear of engine block
11. On compressed air tank
The engine serial number may also be located on the original invoice or bill of lading. Detailed
photographs of potential locations for the engine serial numbers can be found in Appendix H of
the Construction Fleet Inventory Guide: www.epa.gov/cleandiesel/documents/420bl0025.pdf
D.2 Where to find the Engine Model Year and Engine Family Name
The engine model year can be found on the label which is affixed to the engine itself. Do not be
confused with the Equipment Model. The engine model year can differ from the equipment
model year.
The EPA engine family name is an 11 or 12 character number/letter designation included on the
engine nameplate for all nonroad engines sold in the United States. The engine family name is a
12-digit alpha-numeric code used by the U.S. EPA to classify vehicles and engines for the
purpose of emissions certification. An engine may have an exhaust engine family name and an
evaporative engine family name, depending on the year the engine was manufactured. The
engine family name can also be located on a label or plate in the engine compartment in a visible
position such as the hood underside, shock tower, radiator support, fan shroud, or firewall.
If the engine label does not list the EPA-issued engine family name or is difficult to read, the
manufacturer of your engine may be able to assist you in determining the engine family name if
you are able to supply information on the model year and make of the engine, or the engine serial
number. Some manufacturers also have online tools where their customer can enter engine serial
numbers and determine the engine family name.
Detailed photographs of potential locations where the Family Engine name may be found are in
Appendix H of the Construction Fleet Inventory Guide. The Construction Fleet Inventory Guide
is available at:
www.epa.gov/cleandiesel/documents/420bl0025.pdf
27
-------
Appendix E
Technology Option # 1 Eligibility and Rebate Amount Worksheet
Retrofit with a Diesel Particulate Filter
1. Equipment Type:
2. Fill in the blanks below, then use the table to determine current engine emission standard
tier level. Please note that engine model year may differ from equipment model year.
Horsepower:
Engine Model Year:
Enter Current Engine
Emission Standard Tier:
Current Engine
Horsepower
174-300
174-300
301-603
301-603
Current Engine Model
Year
2003-2005
2006-2010
2001-2005
2006-2010
Current
Emission
Standard Tier
Tier 2
Tier3
Tier 2
Tier3
3. Use the below table to determine Rebate Amount
Current Emission
Standard Tier
Tier 2
Tier3
Tier 2
Tier3
Current Engine
Horsepower
174-300
174-300
301-603
301-603
Rebate Amount
Not Eligible
Not Eligible
$30,000
$30,000
Rebate Amount:
4. Select the above amount in the drop-down Rebate Amount Box on the Rebate
Application.
This worksheet does not need to be submitted with the Rebate Application.
28
-------
Appendix F
Technology Option # 2 Eligibility and Rebate Amount Worksheet
Engine Replacement
1. Equipment Type:
2. Fill in the blanks below, then use the table to determine current engine emission standard
tier level. Please note that engine model year may differ from equipment model year.
Horsepower:
Engine Model Year:
Enter Current Engine
Emission Standard Tier:
Current Engine
HP
174-300
174-300
301-603
301-603
Current Engine Model Year
1990-1995
1996-2002
1990-1995
1996-2000
Current
Tier
Unregulated
Tier 1
Unregulated
Tier 1
3. Circle the Replacement Engine Tier
Tier 2 Tier 3
4. Select the Replacement Tier and Determine Rebate Amount
Current Tier
Unregulated (UR)
Unregulated (UR)
Tierl
Tierl
Unregulated (UR)
Unregulated (UR)
Tierl
Tierl
Replacement Tier
Tier 2 (174-300hp)
TierS (174-300hp)
Tier 2 (174-300hp)
TierS (174-300hp)
Tier 2 (301-603hp)
TierS (301-603hp)
Tier 2 (301-603hp)
TierS (301-603hp)
Rebate Amount
$12,000
$15,000
$12,000
$15,000
$49,000
$69,000
$49,000
$69,000
Rebate Amount $
5. Select the above amount in the drop-down Rebate Amount Box on the Rebate
Application.
This worksheet does not need to be submitted with the Rebate Application.
29
------- |