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

National Clean Diesel Rebate Program, 

2013 Construction Equipment Funding 

Opportunity Program Guide 

EPA-420-B-13-042

November 2013
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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
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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 
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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 
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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. 
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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/oaqps001/greenbk/ 

• Where all or part of the population is exposed to more than 2.0 μg/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. 
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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 

per DPF. 

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. 
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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

New 

Technology

Rated Power

130 ≤ kW < 225 

174 ≤ hp < 301

Rated Power

225 ≤ kW < 450 

301 ≤ hp < 603

Tier 2 or Tier 3

Diesel 

Particulate 

Filter

Not Eligible

$30,000 Max

(Eligible Engine Model 

Years 2001-2010)

Table 2: Construction Equipment Rebate Program

Rebate Amount for Technology Option #2 

Original 

Emissions

Tier

New 

Technology

Rated Power

130 ≤ kW < 225 

174 ≤ hp < 301

Rated Power

225 ≤ kW < 450 

301 ≤ hp < 603

Unregulated 

(Tier 0) or

Tier 1

Engine 

Replacement 

 to Tier 2 

$12,000

(Eligible Engine Model 

Years: 1990-2002)

$49,000

(Eligible Engine Model 

Years: 1990-2000)

Unregulated 

(Tier 0) or

Tier 1

Engine 

Replacement 

to Tier 3 

$15,000

(Eligible Engine Model 

Years: 1990-2002)

$69,000

(Eligible Engine Model 

Years: 1990-2000)
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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
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Figure 1 – Rebate Program Flow Chart for Technology Option # 1 – Retrofit with a 

Diesel Particulate Filter

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. 

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 3 - Notification and 

Obligation

EPA sends selection letter to 

Selectees notifying them of 

selection status. Funds are 

obligated and held at EPA.

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 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 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.

Step 8- Payment

EPA sends the rebate 

amount to Selectee .
8 

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 
9 

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 
10 

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.
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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
12 

Figure 2 – Rebate Program Flow Chart for Technology Option # 2 – Replacement 

Engine to Tier 2 or Tier 3 Emission Standard Engine 

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. 

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 3 - Notification and Obligation

EPA sends selection letter to Selectees 

notifying them of selection status. 

Funds are obligated and held at EPA.

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 5 - 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.
13 

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 
14 

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. 
15 

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 1⁄2” 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 
16 

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.
17 

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. 

5.1.5 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 
18 

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. 
19 

Appendix A

List of Priority Counties Eligible for 2013 Construction Equipment Funding Opportunity

AL Jefferson

AL Mobile

AL Shelby

AL Walker

AK Anchorage

AK Fairbanks North Star

AZ Maricopa

AZ Pima

AZ Pinal

AZ Santa Cruz

AR Crittenden

AR Pulaski

CA Alameda

CA Butte

CA Calaveras

CA Contra Costa

CA El Dorado

CA Fresno

CA Imperial

CA Kern

CA Kings

CA Los Angeles

CA Madera

CA Marin

CA Mariposa

CA Merced

CA Napa

CA Nevada

CA Orange

CA Placer

CA Riverside

CA Sacramento

CA San Bernardino

CA San Diego

CA San Francisco

CA San Joaquin

CA San Luis Obispo

CA San Mateo

CA Santa Barbara

CA Santa Clara

CA Shasta

CA Solano

CA Sonoma

CA Stanislaus

CA Sutter

CA Tehama

CA Tulare

CA Ventura

CA

Washoe Tribal Lands 

in CA

CA Yolo

CA Yuba

CO Adams

CO Arapahoe

CO Boulder

CO Denver

CO Douglas

CO Jefferson

CO Larimer

CO Weld

CT Fairfield

CT Hartford

CT Litchfield

CT Middlesex

CT New Haven

CT New London

CT Tolland

CT Windham

DE Kent

DE New Castle

DE Sussex

DC District of Columbia

FL Brevard

FL Broward

FL Duval

FL Hillsborough

FL Lee

FL Miami-Dade

FL Orange

FL Palm Beach

FL Sarasota

GA Bartow

GA Bibb

GA Chatham

GA Cherokee

GA Clayton

GA Cobb

GA Coweta

GA Crawford

GA DeKalb

GA Douglas

GA Fayette

GA Forsyth

GA Fulton

GA Gwinnett

GA Henry

GA Houston

GA Jones

GA Monroe

GA Muscogee

GA Newton

GA Paulding

GA Peach

GA Rockdale

GA Twiggs

HI Honolulu

ID Ada

ID Franklin

ID Twin Falls

IL Cook

IL DuPage

IL Grundy

IL Kane

IL Kendall

IL Lake

IL McHenry

IL Madison

IL Monroe

IL Rock Island

IL St. Clair

IL Will

IL Winnebago

IN Clark

IN Dearborn

IN Lake

IN Marion

IN Porter

IA Black Hawk

IA Harrison

IA Johnson

IA Linn

IA Mills

IA Polk

IA Pottawattamie

IA Scott
20 

IA Woodbury

KS Butler

KS Harvey

KS Johnson

KS Leavenworth

KS Miami

KS Sedgwick

KS Sumner

KS Wyandotte

KY Boone

KY Campbell

KY Fayette

KY Jefferson

KY Kenton

LA Ascension

LA Assumption

LA Bossier

LA Caddo

LA Calcasieu

LA Cameron

LA De Soto

LA East Baton Rouge

LA Iberville

LA Jefferson

LA Lafourche

LALafayette

LA Livingston

LA Orleans

LA Plaquemines

LA St. Bernard

LA St. Charles

LA St. James

LA St. John the Baptist

LA St. Tammany

LA Terrebonne

LA West Baton Rouge

ME Cumberland

MD Anne Arundel

MD Baltimore

MD Calvert

MD Carroll

MD Cecil

MD Charles

MD Frederick

MD Harford

MD Howard

MD Montgomery

MD Prince George's

MD Baltimore City

MA Bristol

MA Dukes

MA Middlesex

MA Suffolk

MI Genesee

MI Ingham

MI Kent

MI Livingston

MI Macomb

MI Monroe

MI Oakland

MI St. Clair

MI Washtenaw

MI Wayne

MN Aitkin

MN Anoka

MN Becker

MN Beltrami

MN Benton

MN Big Stone

MN Blue Earth

MN Brown

MN Carlton

MN Carver

MN Cass

MN Chippewa

MN Chisago

MN Clay

MN Clearwater

MN Cook

MN Cottonwood

MN Crow Wing

MN Dakota

MN Dodge

MN Douglas

MN Faribault

MN Fillmore

MN Freeborn

MN Goodhue

MN Grant

MN Hennepin

MN Houston

MN Hubbard

MN Isanti

MN Itasca

MN Jackson

MN Kanabec

MN Kandiyohi

MN Kittson

MN Koochiching

MN Lac qui Parle

MN Lake

MN Lake of the Woods

MN Le Sueur

MN Lincoln

MN Lyon

MN McLeod

MN Mahnomen

MN Marshall

MN Martin

MN Meeker

MN Mille Lacs

MN Morrison

MN Mower

MN Murray

MN Nicollet

MN Nobles

MN Norman

MN Olmsted

MN Otter Tail

MN Pennington

MN Pine

MN Pipestone

MN Polk

MN Pope

MN Ramsey

MN Red Lake

MN Redwood

MN Renville

MN Rice

MN Rock

MN Roseau

MN St. Louis

MN Scott

MN Sherburne

MN Sibley

MN Stearns

MN Steele

MN Stevens

MN Swift

MN Todd

MN Traverse

MN Wabasha

MN Wadena

MN Waseca
21 

MN Washington

MN Watonwan

MN Wilkin

MN Winona

MN Wright

MN Yellow Medicine

MS DeSoto

MS Hancock

MS Harrison

MS Hinds

MS Jackson

MS Warren

MS Washington

MO Barry

MO Barton

MO Bollinger

MO Cape Girardeau

MO Cass

MO Cedar

MO Christian

MO Clay

MO Dade

MO Dallas

MO Franklin

MO Greene

MO Iron

MO Jackson

MO Jasper

MO Jefferson

MO Lawrence

MO McDonald

MO Madison

MO Newton

MO Perry

MO Platte

MO Polk

MO Ray

MO St. Charles

MO Ste. Genevieve

MO St. Francois

MO St. Louis

MO Stone

MO Taney

MO Webster

MO St. Louis City

MT Lewis and Clark

MT Silver Bow

NE Cass

NE Douglas

NE Lancaster

NE Sarpy

NE Saunders

NE Washington

NV Clark

NV

Washoe Tribal Lands 

in NV

NJ Atlantic

NJ Bergen

NJ Burlington

NJ Camden

NJ Cape May

NJ Cumberland

NJ Essex

NJ Gloucester

NJ Hudson

NJ Hunterdon

NJ Mercer

NJ Middlesex

NJ Monmouth

NJ Morris

NJ Ocean

NJ Passaic

NJ Salem

NJ Somerset

NJ Sussex

NJ Union

NJ Warren

NM Bernalillo

NY Albany

NY Bronx

NY Chautauqua

NY Kings

NY Monroe

NY Nassau

NY New York

NY Onondaga

NY Orange

NY Queens

NY Richmond

NY Rockland

NY Suffolk

NY Westchester

NC Cabarrus

NC Cumberland

NC Gaston

NC Iredell

NC Lincoln

NC Mecklenburg

NC Rowan

NC Union

OH Ashtabula

OH Butler

OH Clark

OH Clermont

OH Clinton

OH Cuyahoga

OH Darke

OH Delaware

OH Fairfield

OH Franklin

OH Geauga

OH Greene

OH Hamilton

OH Jefferson

OH Knox

OH Lake

OH Licking

OH Lorain

OH Lucas

OH Madison

OH Medina

OH Miami

OH Montgomery

OH Portage

OH Preble

OH Stark

OH Summit

OH Warren

OK Canadian

OK Cleveland

OK Creek

OK Grady

OK Lincoln

OK Logan

OK McClain

OK Oklahoma

OK Okmulgee

OK Osage

OK Pawnee

OK Rogers

OK Tulsa

OK Wagoner

OR Clackamas

OR Klamath

OR Lake
22 

OR Lane

OR Multnomah

OR Washington

PA Allegheny

PA Armstrong

PA Beaver

PA Berks

PA Bucks

PA Butler

PA Cambria

PA Carbon

PA Chester

PA Cumberland

PA Dauphin

PA Delaware

PA Fayette

PA Greene

PA Indiana

PA Lancaster

PA Lawrence

PA Lebanon

PA Lehigh

PA Montgomery

PA Northampton

PA Philadelphia

PA Washington

PA Westmoreland

PA York

SC Abbeville

SC Aiken

SC Allendale

SC Anderson

SC Bamberg

SC Barnwell

SC Beaufort

SC Berkeley

SC Calhoun

SC Charleston

SC Cherokee

SC Chester

SC Chesterfield

SC Clarendon

SC Colleton

SC Darlington

SC Dillon

SC Dorchester

SC Edgefield

SC Fairfield

SC Florence

SC Georgetown

SC Greenville

SC Greenwood

SC Hampton

SC Horry

SC Jasper

SC Kershaw

SC Lancaster

SC Laurens

SC Lee

SC Lexington

SC McCormick

SC Marion

SC Marlboro

SC Newberry

SC Oconee

SC Orangeburg

SC Pickens

SC Richland

SC Saluda

SC Spartanburg

SC Sumter

SC Union

SC Williamsburg

SC York

TN Anderson

TN Blount

TN Davidson

TN Hamilton

TN Knox

TN Loudon

TN Roane

TN Shelby

TX Atascosa

TX Bastrop

TX Bexar

TX Bosque

TX Bowie

TX Brazoria

TX Brazos

TX Caldwell

TX Chambers

TX Collin

TX Comal

TX Dallas

TX Denton

TX Ellis

TX El Paso

TX Falls

TX Fort Bend

TX Freestone

TX Galveston

TX Gregg

TX Guadalupe

TX Harris

TX Harrison

TX Hays

TX Hill

TX Hood

TX Jefferson

TX Johnson

TX Kaufman

TX Kendall

TX Liberty

TX Limestone

TX Lubbock

TX McLennan

TX Montgomery

TX Nueces

TX Parker

TX Potter

TX Randall

TX Rockwall

TX Rusk

TX San Patricio

TX Smith

TX Tarrant

TX Taylor

TX Travis

TX Upshur

TX Waller

TX Webb

TX Wichita

TX Williamson

TX Wilson

TX Wise

UT Box Elder

UT Cache

UT Davis

UT Duchesne

UT Salt Lake

UT Tooele

UT Uintah

UT

Uintah and Ouray 

Reservation

UT Utah
23 

UT Weber

VA Arlington

VA Caroline

VA Charles City

VA Chesterfield

VA Fairfax

VA Gloucester

VA Hanover

VA Henrico

VA Isle of Wight

VA James City

VA Loudoun

VA Prince George

VA Prince William

VA Spotsylvania

VA Stafford

VA York

VA Alexandria

VA Charlottesville

VA Chesapeake City

VA Colonial Heights

VA Fairfax City

VA Falls Church

VA Hampton

VA Hopewell

VA Manassas

VA Manassas Park

VA Newport News

VA Norfolk

VA Petersburg

VA Poquoson

VA Portsmouth City

VA Richmond City

VA Roanoke City

VA Suffolk

VA Virginia Beach

VA Williamsburg

WA Clark

WA King

WA Pierce

WA Snohomish

WA Yakima

WV Brooke

WV Hancock

WV Kanawha

WV Putnam

WV Wayne

WI Brown

WI Dane

WI Kenosha

WI Milwaukee

WI Racine

WI Sheboygan

WI Waukesha

WY Lincoln

WY Sublette

WY Sweetwater

PR Bayamon

PR Mayaguez

PR San Juan
24 

Appendix B

Sample Rebate Application – Public Equipment Owner
25 

Sample Rebate Application – Private Equipment Owner
26 

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 (DUNS) 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.
27 

Appendix D

How to Find Your Engine Serial Number, Engine Model Year, and Engine Family Name

D.1 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/420b10025.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/420b10025.pdf
28 

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

Current Engine Model 

Year

Current 

Emission 

Standard Tier

174-300 2003-2005 Tier 2

174-300 2006-2010 Tier 3

301- 603 2001-2005 Tier 2

301- 603 2006-2010 Tier 3

3. Use the below table to determine Rebate Amount

Current Emission 

Standard Tier

Current Engine 

Horsepower

Rebate Amount

Tier 2 174-300 Not Eligible

Tier 3 174-300 Not Eligible

Tier 2 301- 603 $30,000 

Tier 3 301- 603 $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.
29 

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 Current Engine Model Year

Current 

Tier

174-300 1990-1995 Unregulated

174-300 1996-2002 Tier 1

301- 603 1990-1995 Unregulated

301- 603 1996-2000 Tier 1

3. Circle the Replacement Engine Tier 

Tier 2 Tier 3

4. Select the Replacement Tier and Determine Rebate Amount

Current Tier Replacement Tier Rebate Amount

Unregulated (UR) Tier 2 (174-300hp) $12,000 

Unregulated (UR) Tier 3 (174-300hp) $15,000 

Tier 1 Tier 2 (174-300hp) $12,000 

Tier 1 Tier 3 (174-300hp) $15,000 

Unregulated (UR) Tier 2 (301- 603hp) $49,000 

Unregulated (UR) Tier 3 (301- 603hp) $69,000 

Tier 1 Tier 2 (301- 603hp) $49,000 

Tier 1 Tier 3 (301- 603hp) $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.