Diesel Emissions Reduction Program 

(DERA): Technologies, Fleets and 

Projects Information

Working Draft Version 1.0
EPA-420-P-11-001

October 2011

Transportation and Climate Division

Office of Transportation and Air Quality

U.S. Environmental Protection Agency

Diesel Emissions Reduction Program 

(DERA): Technologies, Fleets and 

Projects Information

Working Draft Version 1.0
Working Draft Version 1.0, October 12, 2011 1 

Diesel Emissions Reduction Program: Technologies, Fleets and Projects

Information & Tips for EPA Project Officers & Staff

Introduction 

EPA’s diesel emission reduction program offers grant funding to eligible entities on a 

competitive basis, with the goal of reducing diesel emissions and improving efficiency 

nationwide. Grant funding for this program is typically authorized under the Energy Policy Act 

Subtitle G, commonly referred to as the Diesel Emissions Reduction Act (DERA). This 

document is designed to provide information to EPA Regional Project Officers, EPA Technical 

Staff and Grantees to help manage DERA grants and document important points. 

This document is not a substitute for grant requirements. Project officers and grantees must be 

familiar with the Request for Proposals (RFP), project narrative or work plan, grant terms and 

conditions as well as other grant, programmatic or regulatory requirements. This information is 

intended to emphasize and clarify some important points, provide examples, serve as a quick 

reference for individuals who may not be familiar with clean diesel projects and highlight lessons 

learned for everyone. 

How to Use this Document:

This document is divided into sections, based on the typical types of clean diesel projects 

included in DERA grants. Each section gives general information about that specific technology 

or activity, points out specific items to look for concerning that technology or activity and 

provides checklists that detail the type of documentation that should be kept in either the EPA 

Project Officer’s or Grantee’s files.

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

with DERA grants. 

Table of Contents Page 

1. Vehicle Categorizations 2 

2. Exhaust Controls 3 

3. Crankcase Controls 7 

4. Idle Reduction Technologies 9 

5. Engine Repowers 11 

6. Vehicle and Equipment Replacements 16 

7. Engine Upgrades 19 

8. Aerodynamic Technologies & Low Rolling Resistance Tires 22 

9. Cleaner Fuels Use 24 

10. Appendix A – Sample Invoices 26 

11. Appendix B – On-Highway Engine Emission Standards 29 

12. Appendix C – Nonroad Emission Standards Quick Reference 30 

13. Appendix D – Example EPA Certificate of Conformity 31 

14. Appendix E – Example Engine Emission Control Labels 32 

15. Appendix F – Example Vehicle Inspection Sheet 33 

16. Appendix G – Example Certification of Installation 34 
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This document categorizes diesel vehicles into 4 main types: on-highway, nonroad, marine and 

locomotives. 

1. Vehicle Categorizations

To be eligible for DERA grants, on-highway vehicles must be equipped with medium heavyduty or heavy heavy-duty certified engines. These engines are used in Class 5, 6, 7 and 8 

vehicles, such as school and transit buses, refuse haulers, short haul trucks, long haul trucks, 

emergency and service vehicles. Note: all school buses are eligible for DERA grants, regardless 

of the Class that the particular school bus falls into. See Figure 1 below for examples of all Class 

types. 

Nonroad vehicles include those used in construction, handling of cargo at a port or airport, 

agriculture, mining, or energy production (including stationary generators or pumps). 

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

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

a. General Information 

Exhaust emission controls (often called aftertreatment technologies) include pollution control 

devices installed in the exhaust system. Aftertreatment technologies are some of the most 

common retrofit technologies because many can be added to the exhaust system of a vehicle or 

nonroad machine with little or no impact on engine operation. Common types of exhaust controls 

include: 

• Diesel oxidation catalyst (DOC)

• Diesel particulate filter (DPF)

• Partial flow filter (PFF) 

• Selective catalytic reduction (SCR) system 

Note: Some engines are originally equipped with aftertreatment technologies from the engine 

manufacturer. An engine originally equipped with a DOC may not be used in a DOC retrofit 

project. Additionally, engines originally equipped with a DOC may not be acceptable for some 

PFF or DPF technologies, so you must consult the specific technology verification requirements. 

Many engines produced from 2002 to 2006 for use in school buses were originally equipped with 

a DOC. 

b. Things to look for in these types of projects 

1. Ensure technology is verified: In order for exhaust controls to be eligible for DERA 

funding, the technology must be specifically named on either the EPA Verified 

Technology List or the California Air Resources Board (CARB) Verified Technology 

List. Check to ensure the specific technology (by name, model and manufacturer) is 

on one of these lists AND is specified to be used with the specific vehicle application 

in your project. In addition, confirm the technology is verified to be used on the 

vehicle or equipment type and for the applicable model year. 

EPA Verified Technology List: http://epa.gov/cleandiesel/verification/verif-list.htm

CARB Verified Technology List: http://www.arb.ca.gov/diesel/verdev/vt/cvt.htm

2. Check EPA Verification Letter or CARB Executive Order and Attachment: For each 

technology verified by either EPA or CARB, consult the list for guidance regarding 

use of the technology. When using EPA verified technologies, refer to the EPA 

Verification Letter to confirm applicability and required operating criteria for each 

installation. CARB verified technologies must be used in accordance with the 

Executive Order (EO) letter, and the engine to be retrofitted must be confirmed as 

acceptable with the associated Attachment to the EO. A sample letter for one of the 

Verified Technologies can be found at http://epa.gov/cleandiesel/documents/verifletter-cat2.pdf. For each specific technology, read these documents to ensure the 

technology is intended for use in the specific vehicle application within your project. 

Both of these documents can be accessed through the Verified Technology Lists 

above, by clicking on a specific technology on the list. 
Working Draft Version 1.0, October 12, 2011 4 

3. Ensure datalogging is completed for all proposed vehicles (for DPF and PFF 

projects): It is critically important that passive DPFs and PFF technologies achieve 

exhaust temperatures required for proper operation. All potential vehicles must 

therefore be datalogged to ensure the exhaust temperature is high enough for an 

adequate percentage of time as described for the specific retrofit technology. (Data

logging information on a ‘representative sample’ may not be adequate to ensure the 

specific vehicle will work with this technology.) Active DPFs are a more expensive 

option, but may not require the exhaust to reach a certain temperature. When a DPF 

regenerates, accumulated soot is burned within the filter, but if exhaust temperatures 

are not adequate with a passive filter or if an active filter is not regenerated, a DPF 

may accumulate excessive soot which can lead to engine or filter problems. Note that 

in areas with significantly different seasonal temperatures, it may be advisable to data 

log vehicles during cold seasons or at least make sure adequate consideration is made 

for seasonal differences. For additional information on DPF operation, installation 

and maintenance, see available publications at www.epa.gov/cleandiesel. 

4. Ensure that contract bid requests are written correctly so that an appropriate 

technology is purchased and installed. Grantees should require bids from technology 

vendors to include copies of the specific verification approval(s) from EPA and/or 

CARB so the grantee may confirm technology eligibility. Contract requirements 

should specify that vendors must provide documentation approving vehicle condition, 

compliance with technology verification criteria and showing data logging results and 

analysis for vehicles to be equipped with devices that have exhaust temperature 

criteria. In addition, the bid specifications should refer back to the specific RFP that 

the project is funded under, to ensure all program requirements are met. Note: EPA 

does not approve contracts or contract language. It is the responsibility of the grantee 

to ensure contracts are written to ensure the success of the project, within program 

requirements.

5. Maintenance: Exhaust controls may require periodic maintenance, and there may be 

unique installation criteria for different technologies. Exhaust emission control 

devices are heavier than conventional muffler systems and will likely require stronger 

mounting brackets. DPFs will require periodic ash cleaning and it is important to 

monitor maintenance as changes in maintenance needs can be an indication of other 

engine or system problems. SCR technologies require periodic refilling of diesel 

exhaust fluid (DEF) for proper system operation. DPF and SCR systems include 

driver notification systems that must be monitored for proper system operation and 

potential notice of maintenance needs. 

6. Document vehicle condition prior to retrofit: In order for retrofit devices to operate 

properly, grantees should ensure that the original vehicle is in the proper condition 

prior to installation. Grantees should get written confirmation from the installer for 

each vehicle that it is in an acceptable condition at the time of retrofit. This 

documentation will also be useful to troubleshoot any technical issues after 

installation. See Appendix F for an example checklist. 
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c. EPA Project Officer File Checklist

In addition to normal grant-management documents, Project Officers should specifically keep 

the following documentation in their files for projects which incorporate after-treatment Exhaust 

Controls: 

• Completed Project Fleet Description Spreadsheets: Ensure relevant information is 

accurately completed, including the model name of the device, the year the retrofit takes 

place, the model year of the engine, etc . Note changes to the proposed fleet and, as it 

becomes available, any more detailed vehicle information relative to the RFP and 

technology requirements. 

• Copies of either the EPA Verification Letter or the CARB Executive Order for the 

specific technologies used in the project (see section 2.b.1 above, for reference and the 

website where these documents are located). A screen shot of the letter from the website 

is acceptable. 

• Copy of the Request for Proposals, in order to document that the correct percentage 

funding amount for this type of project is applied. 

d. Grantee File Checklist

In addition to normal grant-management documents, grantees should specifically keep the 

following documentation in their files for projects related to Exhaust Controls: 

• Completed Project Fleet Description Spreadsheets: Ensure relevant information is 

accurately completed using instructions tab. Ask Project Officer for assistance, if 

needed. At the time of technology installation, grantee should also record the date and 

mileage of the vehicle.

• If vehicles are added or changed, the fleet description must be updated. Confirm that 

each new or different vehicle is acceptable meeting the RFP, project and technology 

requirements.

• Copies of either the EPA Verification Letter or the CARB Executive Order for the 

specific technologies used in the project. 

• Documents from vendors regarding inspection of vehicles and acceptability of the engine 

and vehicle condition.

• Request for Proposals/Bids for equipment specifying equipment name, model, make, 

year, for which engine family and model years, etc. 

• For DPF and PFF projects, retain datalogging results and analysis showing that each

vehicle complies with exhaust temperatures required for the technology. 

• For DPF projects that utilize active regeneration strategies, maintain instructions and 

records documenting the regeneration schedule as well as any other maintenance with 

copies of vehicle records. 

• For SCR projects: Diesel exhaust fluid (DEF or urea) must be used with SCR systems. 

Records of urea use must be maintained for an ongoing basis. The EPA recommends the 

use of an American Petroleum Institute certified DEF; a local retailer may be found using 

the following link: http://apidef.org/.

• Invoices of all completed work. See Appendix A for an example of a good invoice for 

exhaust control technologies. For all technologies installed, invoices should include:

o Technology type
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o Technology make

o Technology model 

• Helpful information and tips are included under the “Technologies – Diesel Retrofit 

Devices” section at http://www.epa.gov/cleandiesel/technologies/retrofits.htm.
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3. Crankcase Emission Controls

a. General Information 

Crankcase emission controls are technologies that filter gasses, particles and oil from the original 

crankcase vent tube so they are not released into the atmosphere. Crankcase emission controls 

are often called closed crankcase ventilation (CCV) system when the filtered gases are routed 

back into the engine intake. EPA and CARB have only verified closed crankcase emission 

control systems, and only verified CCV systems may be used. CCV systems are verified in 

conjunction with other aftertreatment technologies and must be used as a complete verified 

system. 

b. Things to look for in these types of projects

1. Ensure technology is verified: In order for CCV systems to be eligible for DERA 

funding, the technology must be specifically named on either the EPA Verified 

Technology List or the California Air Resources Board (CARB) Verified Technology 

List. Check to ensure the specific technology (by name, model and manufacturer) is 

on one of these lists AND is specified to be used with the specific vehicle application 

in your project. 

EPA Verified Technology List: http://epa.gov/cleandiesel/verification/verif-list.htm

CARB Verified Technology List: http://www.arb.ca.gov/diesel/verdev/vt/cvt.htm

2. Check EPA Verification Letter or CARB Executive Order: Like the aftertreatment 

technologies described above, the verified CCV system should be compared to the 

applicable verification documentation. The CCV and associated aftertreatment 

technology must meet all requirements of the verification letter or EO.

3. Ensure that contract bid requests are written correctly so that an appropriate 

technology is purchased and installed. Only EPA or CARB verified CCV systems 

may be used, and they must be used in conjunction with the applicable verified 

aftertreatment technology. Grantees should require bids from technology vendors to 

include copies of the specific verification approval(s) from EPA and/or CARB so the 

grantee may confirm technology eligibility. Contract requirements should specify 

that vendors must provide documentation; approving vehicle condition, compliance 

with technology verification criteria

4. Maintenance: Crankcase devices require periodic maintenance, and there may be 

unique installation criteria for different crankcase emission control systems. It is 

important to monitor and document engine and crankcase system maintenance as 

changes in maintenance needs can be an indication of other engine or system 

problems. 

5. Catch bottles: Rather than routing filtered gasses back to the engine intake, some 

vendors recommend using a “catch bottle” in certain vehicle installations. Catch 

bottles require additional maintenance and have been installed in unsafe locations. 
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The use of “catch bottles” is not currently approved by EPA or CARB, and they may 

not be used in DERA grants until it is explicitly addressed on EPA’s or CARB’s 

verified technology list. 

6. Document vehicle condition prior to retrofit: In order for retrofit devices to operate 

properly, grantees should ensure that the original vehicle is in the proper condition 

prior to installation. This documentation will also be useful to troubleshoot any 

technical issues after installation. Engines with excessive blow-by emissions may be 

in poor condition and not acceptable for retrofit. Also, excessive blow-by emissions 

can overwhelm a CCV system and cause other engine problems. 

7. Check engine model year to ensure eligibility: All on-highway engines manufactured 

after 2007 incorporate crankcase emission control technologies. 

c. EPA Project Officer File Checklist

Because CCV systems are only verified in conjunction with aftertreatment technologies, review 

the applicable information above. In addition to normal grant-management documents, Project 

Officers should specifically keep the following documentation in their files for projects which 

incorporate aftertreatment Exhaust Controls:

• Copies of either the EPA Verification Letter or the CARB Executive Order, documenting 

the specific CCV and aftertreatment technology. 

d. Grantee File Checklist

Because CCV systems are only verified in conjunction with aftertreatment technologies, review 

the applicable information above. In addition to normal grant-management documents, grantees 

should specifically keep the following documentation in their files for projects related to Exhaust 

Controls: 

• Copies of either the EPA Verification Letter or the CARB Executive Order for the 

specific CCV technologies used in the project. 

• Helpful information and tips are included under the “Technologies – Diesel Retrofit 

Devices” section at http://www.epa.gov/cleandiesel/technologies/retrofits.htm
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4. Idle Reduction Technologies

a. General Information 

Idle reduction technologies reduce unnecessary idling of the main drive engine of diesel vehicles 

or equipment and/or are designed to provide services (such as heat, air conditioning, and/or 

electricity) to vehicles and equipment that would otherwise require the operation of the main 

drive engine while the vehicle is temporarily parked or remains stationary. Common types of 

idle reduction technologies include: 

• Electrified Parking Spaces (truck stop electrification)

• Shore Connection Systems and Alternative Maritime Power

• Shore Connection Systems for Locomotives 

• Auxiliary Power Units (APU) and Generator Sets

• Fuel Operated Heaters

• Battery Air Conditioning Systems

• Thermal Storage Systems

• Automatic Shut-down/Start-Up Systems

b. Things to look for in these types of projects 

1. Ensure technology is verified for the specific application: In order for idle reduction 

technologies to be eligible for DERA funding, the technology must be specifically 

named on the EPA Verified Idle Reduction Technology List. Check to ensure the 

specific technology (by name, model and manufacturer) is on the list AND is 

specified to be used with the specific vehicle application in your project. 

EPA Verified Idle Reduction Technology List: 

http://www.epa.gov/smartway/technology/

2. APU Restrictions: EPA defines APUs as devices that contain an EPA emissioncertified engine and supply cooling, heating, and electrical power to Class 8 trucks 

and other applications. APUs currently verified for on-highway vehicles are only for 

long-haul class 8 trucks which means the truck must have specific capabilities and 

have a sleeper cab. At this time APUs and generators are not eligible for FY 2011 

National DERA funding when used on long haul Class 8 vehicles powered by 2007 or 

newer certified engine configurations. EPA is currently testing and reviewing the use 

of APUs and generators on long haul Class 8 vehicles powered by 2007 and newer 

certified engine configurations. APUs and generators are eligible for funding when 

used on long haul Class 8 vehicles powered by 2006 and older certified engine 

configurations. Note: Battery Air Conditioning Systems and Fuel Operated Heaters 

are not categorized as APUs based on EPA’s definition, and are therefore not subject 

to the above APU restrictions. 

3. Ensure that contract bid requests are written correctly so that an appropriate 

technology is purchased and installed. Bids from technology vendors should include 

the specific technology name from EPA’s website so the grantee may confirm 
Working Draft Version 1.0, October 12, 2011 10 

technology eligibility. Contract requirements should specify that vendors must 

provide documentation showing the device is verified for the specific vehicle. 

c. EPA Project Officer File Checklist

In addition to normal grant-management documents, Project Officers should specifically keep 

the following documentation in their files for projects related to Idle Reduction Technologies: 

• Completed Project Fleet Description Spreadsheets: Ensure relevant information is 

accurately completed, including the model name of the device, the year the project takes 

place, the model year of the engine, etc. 

• APUs and generator sets are only eligible for Class 8 long haul trucks with engines that 

are 2006 or older, if funded with FY11 funds. Confirm the engine year and that the truck 

is a Class 8 long haul. A Class 8 long haul truck will have a sleeper cab and gross 

vehicle weight rating over 33,000 pounds. 

• Copy of the Request for Proposals to document that the correct percentage funding 

amount for this type of project is applied. 

d. Grantee File Checklist

In addition to normal grant-management documents, grantees should specifically keep the 

following documentation in their files for projects related to Idle Reduction Technologies: 

• Completed Project Fleet Description Spreadsheets: Ensure relevant information is 

accurately completed, using instructions tab. Ask your Project Officer for assistance, if 

needed. At the time of technology installation, grantee should also record the date and 

mileage of the vehicle.

• Request for Proposals/Bids for equipment and invoices that specify the equipment name, 

model, make, year, for which engine family and model years, etc. 

• Invoices of all completed work. See Appendix A for an example of a good invoice for 

exhaust control technologies. For all technologies installed, invoices should include:

o Technology type

o Technology make

o Technology model 

• It is recommended to install exhaust control technologies before idle reduction 

technologies to confirm acceptable installation and funding level. 
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5. Engine Repowers

a. General Information 

In an engine repower, the existing engine is removed and replaced with a newer, cleaner engine

configuration that meets a more stringent set of engine emissions standards. Engine repowers 

may use new engine configurations certified to emission standards or remanufactured engines 

representative of a previously certified engine configuration. Note: Engine Certification data 

and information can be found at http://www.epa.gov/otaq/certdata.htm. 

b. Things to look for in these types of projects 

1. Replacement engine selection: All replacement engines MUST be in a certified

configuration. If the replacement engine is a remanufactured engine, documentation 

must show the previously certified EPA engine family name represented by the 

certified configuration. If the replacement engine was certified with exhaust 

aftertreatment such as a DOC or DPF, new parts must be installed to complete the 

certified engine configuration. 

2. Check pre-and post-emission standard levels for PM and NOx: Newer engines or 

higher tier engines are not necessarily cleaner engines, so it is important to check the 

actual emission standard level of the current (existing) and new engines to ensure the 

repower product is reducing emissions for PM and NOx. Emission standard levels 

are based on the engine model year for on-highway engines, and for nonroad engines 

the horsepower and model year of the engine will determine the tier level. Check the 

emissions tables found in the applicable link below to ensure that the proposed 

repower will result in an emissions reduction.

On-Highway Emissions Standards Tables: See Appendix B for a quick reference or 

http://www.epa.gov/otaq/standards/heavy-duty/hdci-exhaust.htm

Nonroad Emissions Standards Tables: See Appendix C for a quick reference or 

http://www.epa.gov/otaq/standards/nonroad/nonroadci.htm

Locomotive Emissions Standards Tables: 

http://www.epa.gov/otaq/standards/nonroad/locomotives.htm

Marine Emissions Standards Tables: 

http://www.epa.gov/otaq/standards/nonroad/marineci.htm

3. Certificates of conformity: Grantees should obtain copies of certificates of conformity 

for existing and new engines from the engine manufacturers prior to repowering the 

engine. If the existing engine is unregulated, however, it will not have a certificate of 

conformity and documentation of the engine age is acceptable. Be aware that many 

new and existing vehicles have certified engine configurations that may include 

aftertreatment technologies or other requirements such as aftercooling. When 

conducting a repower, the entire configuration needs to be replaced, which must 
Working Draft Version 1.0, October 12, 2011 12 

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

the certified engine configuration. 

4. Ensure old engine is scrapped or appropriately remanufactured: After repower, the 

old engine must be rendered permanently disabled or returned to the original engine 

manufacturer to be remanufactured to the next lower (cleaner) EPA emission standard

level. Evidence of proper disposal (such as engine serial number and vehicle 

identification number) must be provided in the Final Report submitted to the EPA 

Project Officer. Check to ensure that the old engine is indeed returned to the engine 

manufacturer or that it has been retired from use and is no longer operable. If 

components from the old engine are sold for parts, program income requirements will 

apply. Confirm with the RFP for specific scrappage or remanufacturing requirements 

that may be applicable. 

5. Invoices should be very specific and include all the parts of the certified engine 

configuration: Sometimes a critical part of the new certified engine is the catalyst 

(from an emissions reduction standpoint). Ensure that the entire configuration is 

installed according to the engine manufacturer’s specifications by having the vendor 

document this on the invoice. See Grantee File Checklist section, below, for a list of 

items that should be included on repower invoices. 

6. Early Repower: Repowers that would have occurred through normal attrition are 

considered to be the result of normal fleet turnover and are not eligible for funding 

under this program. Normal attrition is generally defined as a repower that is 

scheduled to take place before the end of the project period. Normal attrition is 

typically defined by the vehicle or fleet owner’s budget plan, operating plan, standard 

procedures, or retirement schedule. For example, if a vehicle fleet typically repowers 

engines after 15 years, an engine that is currently in its 13th or 14th year of service is 

not eligible for a repower, since it is already scheduled to be repowered within the 2 

year project period. An engine that is currently in its 12th year of service and has 3 

years of normal life remaining before typically scheduled for a repower (as defined 

by the fleet’s retirement schedule) is eligible for a repower, since it is not already 

scheduled to be repowered during the 2 year project period; however, it may not be 

the best choice to select an engine so close to the end of its life. It is important to 

confirm that vehicles and vehicle selection criteria proposed in a workplan are 

followed during the project, and vehicles with a shorter remaining life are not 

substituted. In addition, the original engine and equipment must be in fully 

operational and performing its intended function to qualify for funding. 

7. Operating condition: As described above, to be eligible for repower projects, the 

original engine must be fully operational and performing its intended function to 

qualify for funding. Vehicles or engines that are not operating in normal service may 

not be used in repower projects. 

8. Selection of vehicles or equipment: The most cost effective vehicles or equipment 

will have high annual use (>1000 hours or 50,000 miles). 
Working Draft Version 1.0, October 12, 2011 13 

9. Note for on-highway repowers: Some new technology engines may not be acceptable 

for use in older trucks. For example, a 2005 engine equipped with exhaust gas 

recirculation (EGR) may require additional engine cooling and may have installation 

requirements that prohibit use in older trucks. 

10. Note for nonroad repowers: The phase-in of emission standards for nonroad engines 

is different depending on the power rating of the engine. The standards levels change 

with different Tiers and engine power rating. Consequently, it may be necessary to 

confirm that the original and repower engine falls within the same power rating to 

know the applicable emission standard level and Tier differences. Further, the 

standard levels between some Tiers may only differ in one pollutant. Early 

unregulated nonroad engines are referred to as Tier 0 and the cleanest nonroad 

engines are Tier 4. There may be little difference between a Tier 0 and Tier 1 engine.

11. Note for locomotive and marine repowers: Depending on the availability of certified 

engine rebuild kits, regulations may require that marine engines at or above 600 kW 

and locomotive engines be upgraded to a lower emission level at the time of rebuild. 

Consequently, a repower project in a marine or locomotive application may overlap 

with an operator’s requirement to install a certified engine upgrade kit at the time of 

rebuild. In this case, the project could be considered a mandated measure, and may 

not be fundable under the DERA program. It is appropriate to confirm that a marine 

or locomotive engine replacement project is not simply going to achieve the same 

benefit already required with a certified engine upgrade kit. Identify when the 

original locomotive or marine engine was rebuilt last, when it is due for rebuild next, 

and if a certified rebuild kit is available. For additional information, ask your Project 

Officer for assistance.

12. Note for alternative fuel repowers, including hybrid, plug-in and electric vehicles:

Conventional original equipment manufacturer (OEM) vehicles altered to operate on 

propane, natural gas, methane gas, ethanol, or electricity are classified as aftermarket 

alternative fuel vehicle (AFV) conversions. In the United States, all vehicle 

conversions (except pure battery electric vehicles) must meet applicable U.S. 

Environmental Protection Agency (EPA) standards. Vehicles operating in California 

must follow conversion rules issued by the California Air Resources Board (CARB). 

EPA issues Certificates of Conformity that cover a "test group"—specific vehicle or 

engine models for certain model years that are modified to operate on an alternative 

fuel. An aftermarket conversion may only be performed on a vehicle if a Certificate 

of Conformity or CARB certification has been issued for that vehicle's test group. 

The EPA refers to a vehicle converter as a "small volume manufacturer." The vehicle 

converter holds the Certificate of Conformity. An individual or entity wishing to 

convert a vehicle to operate on an alternative fuel must go through a company or 

organization associated with a certificate holder, and the work must be performed by 

a licensed technician associated with that company. It is the responsibility of the 

certificate holder to ensure the equipment is properly installed. Only certified 

alternative fueled engines are acceptable, the EPA engine family must be 
Working Draft Version 1.0, October 12, 2011 14 

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

conversion. 

If the conversion is accomplished by applying a certified conversion “kit” to an 

existing diesel engine, the project is considered an engine upgrade. If the conversion 

is accomplished by removing and scrapping the existing diesel engine and fueling 

system and replacing it with a certified AFV engine configuration, the project is 

considered a repower. If the entire diesel vehicle is scrapped and replaced with an 

entire new AFV, the project is considered a vehicle replacement.

Technologies for the electrification of engines/vehicles/equipment other than those 

specifically listed in the RFP as idle-reduction technologies may be eligible as a 

Repower (removal of a diesel engine and its replacement with an electric power 

source) or a Replacement (replacement of a diesel powered vehicle/equipment with 

an eligible electric vehicle/equipment). All -electric (zero emission) conversions do 

not require EPA or CARB certification. 

There are currently no verified hybrid drive train retrofits or certified hybrid 

upgrade/conversion kits, therefore hybrid conversions are not eligible for funding. 

Hybrid vehicles are eligible as vehicle replacements. 

Straight vegetable oil (SVO) is not an EPA-registered fuel and is not eligible for 

funding. Conversion kits to run an engine on SVO are not certified and are not 

eligible for funding. New vehicles/engines and unverified equipment that run on SVO 

are not eligible for funding. 

c. EPA Project Officer File Checklist

In addition to normal grant-management documents, Project Officers should specifically keep 

the following documentation in their files for projects related to Engine Repowers: 

• Completed Project Fleet Description Spreadsheets: Ensure relevant information is 

accurately completed. Pay special attention to engine details (not to be confused with 

vehicle details), including but not limited to: make, model, rating, engine family, and 

horsepower. 

• Confirm the fleet description documents the original standard or tier level and that the 

repower achieves the proposed level of reduction described in the project description.

• Documentation of original engine being scrapped (e.g., written documents and photos) 

should be provided by the grantee in its Final Report. 

d. Grantee File Checklist

In addition to normal grant-management documents, grantees should specifically keep the 

following documentation in their files for projects related to Engine Repowers: 

• Completed Project Fleet Description Spreadsheets: Ensure relevant information is 

accurately completed using instructions tab. Ask Project Officer for assistance, if 

needed. 
Working Draft Version 1.0, October 12, 2011 15 

• Document that each vehicle is performing its intended function and that the original 

engine(s) are fully operational and not already due for replacement or rebuild. This 

should include documentation of daily miles driven or hours of operation. 

• When requesting bids for replacement engines, require documentation that a certified 

engine configuration will be installed, including all components such as after treatment 

devices and emission control technologies.

• Invoices of all completed work. See Appendix A for an example of a good invoice. 

Invoices for repowers should include:

o The specific engine configuration installed, including the model year or tier level

o A list of all parts included in the repower, especially any exhaust controls. 

• Copies of EPA certificates of conformity for existing and new engine configurations, and 

confirm the EPA engine family names match the certificates. 

• Evidence that the old engine was rendered permanently disabled or returned to the 

original engine manufacturer to be remanufactured to the next EPA standard. Refer to the 

RFP for specific remanufacturing instructions. Documentation should include the engine 

serial number and vehicle identification number, and may also include photos illustrating 

how the engine was disabled. If returned to the engine manufacturer, obtain a letter 

documenting that the engine is remanufactured to a more stringent EPA standard. 

• For locomotive or marine engine projects, fully address and document the points in 

section b.9., above, regarding the original engine, rebuild history, and availability of 

rebuild kits. 

• For marine and locomotive engine projects, print current lists of certified rebuild kits to 

document that no kits are currently available. If a kit is available, document how the 

project is acceptable according to RFP requirements. 
Working Draft Version 1.0, October 12, 2011 16 

6. Vehicle and Equipment Replacements

a. General Information 

Vehicle or equipment replacement is designed to obtain emission reductions by removing old, 

high-emitting vehicles or equipment from service and replacing them with newer, cleaner 

vehicles or equipment. 

b. Things to look for in these types of projects 

1. Early Replacement: Replacements that would have occurred through normal attrition 

are considered to be the result of normal fleet turnover and are not eligible for 

funding under this program. Normal attrition is generally defined as a replacement 

that is scheduled to take place before the end of the project period. Normal attrition is 

typically defined by the vehicle or fleet owner’s budget plan, operating plan, standard 

procedures, or retirement schedule. For example, if a school bus fleet typically retires 

vehicles after 20 years, a bus that is currently in its 18th or 19th year of service is not 

eligible for replacement, since it is already scheduled to be replaced within the 2 year 

project period. A bus that is currently in its 17th year of service and has 3 years of 

normal life remaining (as defined by the fleet’s retirement schedule) is eligible for 

replacement, since it is not already scheduled to be replaced during the 2 year project 

period; however such a short time before normal fleet turnover would not be a most 

desirable project. Keep in mind that projects may be delayed and a short time before 

normal fleet turnover may quickly be exceeded by a delay in delivering new 

equipment. In addition, original equipment must be in operational condition to 

qualify for funding. 

The most cost effective vehicles or equipment will have high annual use (>1000 

hours or 50,000 miles), and the replacement would occur well in advance of the 

normal fleet turnover. 

2. Replacement Requirements: The replacement vehicle or equipment must serve the 

same function as the original vehicle or equipment. The replacement vehicle or 

equipment must have the same gross vehicle weight rating and similar horsepower as 

the original vehicle or equipment. In addition, the vehicle/equipment must be 

maintained in accordance with manufacturer specifications.

3. The original vehicle or equipment must be performing its intended function: Vehicles 

and equipment must be working properly and performing normal duty service to be 

eligible for replacement. Vehicles or equipment with reduced operation from normal 

fleet service are not eligible.

4. Ensure old vehicle or equipment is scrapped or remanufactured: When the original 

vehicle/equipment is retired, it must be rendered permanently disabled or the engine 

must be returned to the original engine manufacturer to be remanufactured to the next 

EPA standard. Drilling a hole in the engine block and manifold and disabling the 

chassis while retaining possession of the vehicle/equipment is an acceptable 

scrapping method. Evidence of proper disposal (such as engine serial number and 
Working Draft Version 1.0, October 12, 2011 17 

vehicle identification number) must be provided. Check to make sure that the old 

vehicle/equipment is indeed retired from use and the vehicle/equipment is no longer 

operable. Equipment and vehicle components that are not part of the engine or 

chassis may be salvaged from the unit being replaced (e.g. plow blades, shovels, 

seats, tires, etc.) If scrapped or salvaged vehicles/parts are to be sold, program 

income requirements will apply. Note: refer to the award terms and conditions for 

specifications regarding scrapping and remanufacturing requirements.

5. Certificates of conformity: Grantees should obtain copies of EPA certificates of 

conformity for existing and new engines from the engine manufacturers prior to 

replacing the vehicle. However, if the existing engine is unregulated, it will not have 

a certificate of conformity. The certificate of conformity lists the engine family name 

and the engine model year. The EPA engine family name is displayed on the emission 

control information label on the engine. By checking the engine family names and 

engine model year emission standards, one can confirm the applicable emission 

standard or tier level. 

c. EPA Project Officer File Checklist

In addition to normal grant-management documents, Project Officers should specifically keep 

the following documentation in their files for projects related to vehicle or equipment 

replacements:

• Completed Project Fleet Description Spreadsheets: Ensure relevant information is 

accurately completed. Pay special attention to engine details (not to be confused with 

vehicle details), including but not limited to: make, model, rating, engine family, and 

horsepower. 

• Documentation of original vehicle being scrapped (e.g., written documents and photos) 

should be provided by the grantee in its Final Report. 

• Document and confirm the original and replacement engine standard levels achieve the 

reduction proposed. 

d. Grantee File Checklist

In addition to normal grant-management documents, grantees should specifically keep the 

following documentation in their files for projects related to vehicle and equipment 

replacements:

• Completed Project Fleet Description Spreadsheets: Ensure relevant information is 

accurately completed, using instructions tab. Ask Project Officer for assistance, if 

needed. 

• Document that each vehicle is performing its intended function and that the original 

vehicle(s) are fully operational and not already due for replacement.

• Document fleet turn-over practices through historic records. Document age of vehicles to 

be replaced and period for early retirement. 

• Invoices of all completed work. See Appendix A for examples of a good invoice. 

Invoices for replacements should include:
Working Draft Version 1.0, October 12, 2011 18 

o The vehicle components and specific engine configuration installed, including the 

model year or tier level 

o A list of all parts, including engine exhaust controls 

• Copies of EPA certificates of conformity for existing and new engine configurations, and 

confirm the EPA engine family names match the certificates.

• Evidence that the engine of the old vehicle or equipment was rendered permanently 

disabled or returned to the original engine manufacturer to be remanufactured to the next 

EPA standard. Documentation should include the engine serial number and vehicle 

identification number, and may also include photos illustrating how the engine and 

chassis was disabled. If returned to the engine manufacturer, obtain a letter documenting 

that the engine is remanufactured to a more stringent EPA standard.

• Documentation of any program income earned, including the sale of original vehicle or 

equipment parts and record of program income generated by sale thereof. Refer to the 

Award Terms and Conditions for Program Income requirements. 

• Confirm the level of emission reduction achieved by the vehicle replacement matches or 

exceeds the level described in the grant work plan’s project narrative. Emission reduction 

is based on period associated with early retirement, so include a final comparison with 

normal fleet turn over and the in-service date for the replacement vehicle or machine. 
Working Draft Version 1.0, October 12, 2011 19 

7. Engine Upgrades

a. General Information 

Generally, an engine upgrade involves the removal of parts on a certified engine configuration 

and replacement with parts that cause the engine to represent an engine configuration which is 

certified to meet more stringent federal emission standards.

Some engines are able to be upgraded to reduce their emissions by applying manufacturer 

upgrades that are retrofits verified by EPA or CARB as a package of components demonstrated 

to achieve specific levels of emission reductions. Some engines are able to be upgraded to a 

cleaner EPA certified configuration through the application of a “kit” (the “kit” may not 

necessarily be verified as a retrofit by EPA or CARB, but the “kit” must be used to rebuild the 

engine to an engine configuration which is certified to meet more stringent federal emission 

standards. For example, a Tier 0 nonroad engine could be upgraded to a certified Tier 1 nonroad 

configuration). A kit used to represent a cleaner engine configuration must include full 

documentation of exactly what components are included to represent the specific certified engine 

configuration. All emission control components and design specifications must match a certified 

engine configuration. 

b. Things to look for in these types of projects 

1. If your project is using the verified Emissions Upgrade Group from Caterpillar, please 

note that the EPA approval document for the Engine Upgrades states the fuel requirement 

maximum sulfur content is 500 ppm, however, nonroad applications are required to use 

fuel no more than 15 ppm sulfur content effective June 2010. Also for projects using the 

verified Emissions Upgrade Group from Caterpillar, the servicing dealer must follow 

specific installation instructions approved by Caterpillar and validate that the upgraded 

engine has the necessary Tier 1 components installed and has been tested to ensure the 

proper fuel delivery, power, torque and speed. The dealer must submit a validation form 

to Caterpillar in order to receive a label for the upgraded engine and be in compliance 

with this verification. Check the EPA Verified Technology List at 

http://epa.gov/cleandiesel/verification/verif-list.htm to ensure the Emissions Upgrade 

Group from Caterpillar is specified to be used with the specific vehicle or equipment type 

in your project, and for the applicable model year. 

2. Check pre-and post-emission standard levels for PM and NOx: Engine upgrades may not 

be available for all engines, and not all upgrades may achieve an emission benefit, so it is 

important to check the actual emission standard level of the current and upgraded engines 

to ensure the upgrade product is reducing emissions. Emission standard levels are based 

on the engine model year for highway engines, and for nonroad engines the horsepower 

and model year of the engine are needed to determine the tier level. Check the emissions 

tables found in the link below to ensure that the proposed upgrade will result in an 

emissions reduction.

On-Highway Emissions Standards Tables: 

http://www.epa.gov/otaq/standards/heavy-duty/hdci-exhaust.htm
Working Draft Version 1.0, October 12, 2011 20 

Nonroad Emissions Standards Tables: 

http://www.epa.gov/otaq/standards/nonroad/nonroadci.htm

Locomotive Emissions Standards Tables: 

http://www.epa.gov/otaq/standards/nonroad/locomotives.htm

Marine Emissions Standards Tables: 

http://www.epa.gov/otaq/standards/nonroad/marineci.htm

3. Certificates of conformity: Grantees should obtain relevant copies of certificates of 

conformity for existing and upgraded engines from the engine manufacturers prior to 

upgrading the engine. When conducting an upgrade, the entire configuration needs to be 

included, which must include a complete engine and emission control system to the 

design specifications of the certified engine configuration. The bid proposal should 

request a letter from the engine manufacturer confirming that the upgraded engine will 

meet the design specifications of the certified engine. Note: for verified engine upgrades, 

the verification letter is used in lieu of the certificate of conformity. 

4. Invoices should be very specific and include all the parts of the certified engine 

configuration: Sometimes a critical part of the upgraded certified engine is the catalyst 

(from an emissions reduction standpoint). Aftercooling may also be critical and the 

engine manufacturer should affirm the new configuration will meet the applicable 

cooling requirements. Ensure that the entire configuration is installed according to the 

invoice. See Grantee File Checklist section, below, for a list of items that should be 

included on repower invoices. 

5. Note for locomotive and marine upgrades: Depending on the availability of certified 

engine rebuild kits, regulations may require that marine engines at or above 600 kW and 

locomotive engines be upgraded to a lower emission level at the time of rebuild. 

Consequently, an upgrade project in a marine or locomotive application may overlap with 

an operator’s requirement to install a certified engine upgrade kit at the time of rebuild. 

In this case, the project could be considered a mandated measure and may not be 

fundable under the DERA program. It is appropriate to confirm that a marine or 

locomotive engine upgrade project is not simply going to achieve the same benefit 

already required with a certified engine upgrade kit. Identify when the original 

locomotive or marine engine was rebuilt last, when it is due for rebuild next, and if a 

certified rebuild kit is available. See available guidance on the web at 

www.epa.gov/cleandiesel or ask your Project Officer for assistance, if needed.

 

6. Selection of vehicles or equipment: The most cost effective vehicles or equipment will 

have high annual use (>1000 hours or 50,000 miles). 

7. Operating condition: To be eligible for upgrade projects, the original engine must be 

fully operational and performing its intended function to qualify for funding. Vehicles or 

engines that are not operating in normal service may not be used in upgrade projects. 
Working Draft Version 1.0, October 12, 2011 21 

c. EPA Project Officer File Checklist

In addition to normal grant-management documents, Project Officers should specifically keep 

the following documentation in their files for projects which incorporate Engine Upgrades: 

• Completed Project Fleet Description Spreadsheets: Ensure relevant information is 

accurately completed, including the year the upgrade takes place, the model year of the 

engine, etc . 

• If the project uses the EPA verified Emissions Upgrade Group from Caterpillar, include a 

copy of the EPA Verification Letter.

• Document and confirm the original standard level compared to the emission level 

represented by the engine upgrade.

d. Grantee File Checklist

In addition to normal grant-management documents, grantees should specifically keep the 

following documentation in their files for projects related to Engine Upgrades:

• Completed Project Fleet Description Spreadsheets: Ensure relevant information is 

accurately completed using instructions tab. Ask Project Officer for assistance, if 

needed. 

• If the project uses the EPA verified Emissions Upgrade Group from Caterpillar, include 

copies of the EPA Verification Letter and copies of the validation forms, including 

documentation that the upgraded engine has the necessary components installed and has 

been tested to ensure the proper fuel delivery, power, torque and speed. Request a copy of 

documents from Caterpillar indicating the dealer installed the upgrade accordance with 

the EPA verification.

• Request for Proposals/Bids for equipment that specify the equipment name, model, make, 

year, for which engine family and model years, etc. 

• Invoices of all completed work. See Appendix A for examples of a good invoice. 

Invoices for engine upgrades should include:

o All parts installed, including any exhaust controls 

o Model year and family engine label of the upgraded engine 

• Confirm the level of reduction achieved by the upgrade matches the grant work plan’s 

project narrative. 

• When requesting bids for upgrades, require documentation of the specific certified engine 

family and emission level to be achieved, and that the upgrade represented certified 

engine configuration will include all emission control components and operating 

characteristics of the certified engine configuration. 

• Copies of relevant EPA certificates of conformity for existing and new engine 

configurations, and confirm the EPA engine family names match the certificates, if 

applicable. Confirm and document the original engine emission level compared to the 

emission level represented by the engine upgrade.
Working Draft Version 1.0, October 12, 2011 22 

8. Aerodynamic Technologies & Low Rolling Resistance Tires

a. General Information 

Aerodynamic technologies help minimize drag and smooth out air flow over Class 8 tractortrailer vehicles. Aerodynamic devices include gap fairings that reduce the gap between the 

tractor and the trailer to reduce turbulence, trailer side skirts that minimize wind under the trailer, 

and trailer rear fairings that reduce turbulence and pressure drop at the rear of the trailer. This 

decrease in drag can help reduce fuel usage for a long haul Class 8 truck. 

Low rolling resistance tires decrease the rolling friction between the tires and the road during 

operation. EPA determined that certain tire models can provide a reduction in NOx emissions 

and fuel savings when used on all five axles of long haul Class 8 trucks. 

The options offered include both dual tires and single wide tires (single wide tires replace the 

double tire on each end of a drive or trailer axle, in effect turning an "18" wheeler into a "10" 

wheeler). Low rolling resistance tires can be used with lower-weight aluminum wheels to 

further improve fuel savings; however, wheels may not be purchased with grant funds. 

b. Things to look for in these types of projects 

1. Ensure technology is verified: In order to be eligible for DERA funding, the aerodynamic 

devices and low rolling resistance tires must be specifically listed on EPA’s Verified 

Aerodynamic Technologies list or EPA’s Verified Low Rolling Resistance Tires list. 

Check to ensure the specific technology (by name, model, and manufacturer) is on the list 

AND the technology description provided by the vendor matches what is on the list. 

EPA Verified Aerodynamic Technologies List

http://www.epa.gov/smartway/technology/aerodynamics.htm

EPA Verified Low Rolling Resistance Tires List

http://www.epa.gov/smartway/technology/tires.htm

2. Request all installation details for Aerodynamic Devices: Sometimes these devices need 

to be modified in size and/or shape for specific vehicles. While this may be allowed, be 

sure to ask the vendor to supply written document on these modifications and show that 

they are approved by the EPA Verification team. 

3. Restrictions for tires: Low rolling resistance tires are verified for use on line-haul class 8 

trucks. Only verified tires for use and installed on line-haul class 8 trucks (over 33,001 

with a sleeper cab) are eligible for funding. 

4. Scrappage Requirements: For tire replacement projects, the original tires should be 

scrapped according to local or state requirements, or the tires can be salvaged for reuse or 

retreading. If salvaged tires are sold, please refer to the award Terms and Conditions for 

program income requirements.
Working Draft Version 1.0, October 12, 2011 23 

c. EPA Project Officer File Checklist

In addition to normal grant-management documents, Project Officers should specifically keep 

the following documentation in their files for projects related to Aerodynamic and/or Low 

Rolling Resistance Tire technologies:

• Completed Project Fleet Description Spreadsheets: Ensure relevant information is 

accurately completed. 

• Confirm only Class 8 long haul trucks are included in the fleet description. 

• Confirm no rims are purchased with DERA funds. 

• Confirm only verified tires and/or aerodynamic technologies are used. 

d. Grantee File Checklist

In addition to normal grant-management documents, grantees should specifically keep the 

following documentation in their files for projects related to Aerodynamic and/or Low Rolling 

Resistance Tire technologies:

• Completed Project Fleet Description Spreadsheets: Ensure relevant information is 

accurately completed to document the truck is a long-haul Class 8 truck. Ask your 

Project Officer for assistance, if needed. 

• Information documenting that technology is listed on either EPA’s Verified Aerodynamic 

Technologies list or EPA’s Verified Low Rolling Resistance Tires list. 

• Request for Proposals/Bids for equipment that specify the equipment name, model, make, 

year, for which engine family and model years, etc. 

• Invoices of all completed work. See Appendix A for examples of a good invoice. 

Invoices for aerodynamic technologies and low rolling resistance tires should include:

o Specific technology type

o Technology make

o Technology model

• Evidence that the old tires were either scrapped according to local or state requirements, 

or salvaged for reuse or retreading. 
Working Draft Version 1.0, October 12, 2011 24 

9. Cleaner Fuels Use

a. General Information 

Cleaner fuels include, but are not limited to, ultra-low sulfur diesel (ULSD) fuel (for nonroad 

vehicles, engines and equipment prior to EPA or State mandates), biodiesel, diesel emulsions or 

additives verified by EPA or CARB, compressed natural gas (CNG), propane, and other 

approved alternative fuels. For new or expanded use of a cleaner fuel, EPA will fund the cost 

differential between the eligible cleaner fuels and conventional diesel fuels.

b. Things to look for in these types of projects 

1. Compressed Natural Gas and Propane Gas Engines: In order for CNG or propane 

engines to be eligible for DERA funding, the engine must be EPA certified (and 

CARB certified if used in California) with the use of the alternative fuel. 

Infrastructure costs to support CNG or propane may not be funded.

2. Cost Differential: Funding may only be used for the cost differential between the 

normally required commercially available fuel and the clean fuel.

3. Fuel Type: Projects may only use clean fuels verified by EPA or CARB or as 

required with a certified engine such as with CNG or propane. The alternative fuel 

must be fully described and approved in the project description. 

4. Marine and Locomotive Engines: Effective in 2012, marine and locomotive engines 

will be required to use ULSD. Thus, there will be no more cost-differential funding 

for these projects.

c. EPA Project Officer File Checklist

In addition to normal grant-management documents, Project Officers should specifically keep 

the following documentation in their files for projects related to Cleaner Fuels Use:

• Confirm the alternative fuels are acceptable: EPA or CARB verified or, for CNG or 

propane, required with the engine certification. 

• Completed Project Fleet Description Spreadsheets: Confirm vehicles using alternative 

fuels are specified.

• Confirm that vehicles using CNG or propane are certified to operate on the applicable 

fuel.

• Confirm vehicles proposed for alternative fuels are covered by the scope of verification 

with the applicable EPA verification letter or CARB EO. 

• Confirm infrastructure costs are not included in the project. 

• Confirm new or expanded use (refer to RFP). 

d. Grantee File Checklist

In addition to normal grant-management documents, grantees should specifically keep the 

following documentation in their files, for projects related to the use of cleaner fuels:
Working Draft Version 1.0, October 12, 2011 25 

• Invoices of all completed work. See Appendix A for examples of a good invoice. 

Invoices for cleaner fuels use should include:

o Invoices of all fuel deliveries documenting the fuel type and properties

• If CNG or propane is used, obtain a copy of the EPA certificate of conformity for each 

applicable engine in the project.

• Copies of all fuel analyses.

• Document quantity of fuel used, the cost of the alternative fuel and cost of the normally 

required commercially available fuel to determine the eligible funding. 

• Records of fueling (quantity of each fuel, vehicle mileage, date, etc.) 

• Documentation of any vehicle maintenance or eligible additional costs associated with 

the use of the alternative fuel. For example, using biodiesel may require additional fuel 

filter changes and the associated parts and labor should be documented. 
Working Draft Version 1.0, October 12, 2011 26 

Appendix A

Sample Invoices

1. Example of an exhaust control invoice: This invoice for a Purifilter DPF includes the 

model of the technology – Purifilter system – and can therefore be identified as an EPA verified 

technology listed on EPA’s website. While this can be acceptable, it is appropriate to list the 

specific technology name and model as described in verification documents. The VIN number 

of the vehicle is also provided, to ensure that the technology was installed on the intended 

vehicle. (Identifying information for the contractor and grantee has been intentionally removed). 
Working Draft Version 1.0, October 12, 2011 27 

2. Example of an idle reduction technology invoice: This invoice for a Webasto Scolastic 

Fuel Operated Heater includes the specific make and model of the technology, and can therefore 

be identified from EPA’s website as a technology that is verified for use on school buses. The 

vehicle number is also provided to ensure that the technology was installed on the intended 

vehicle. (Identifying information for the contractor and grantee has been intentionally removed). 
Working Draft Version 1.0, October 12, 2011 28 

3. Example of a repower invoice: This invoice for a repower includes the specific engine 

configuration installed, including the model year or tier level. In addition, it lists all parts 

involved in the repower to ensure the entire certified engine configuration is being installed in 

the chassis. 

ACME Manufacturer Sample Customer Invoice

1234 Happy Lane 

Ann Arbor, MI 48105 

Sold To

DERA Grantee

INVOICE NUMBER

SF040957482

INVOICE DATE

5/17/2011

ORDER NUMBER

WP - 4595288

PAGE

1 of 1

MAKE

Caterpillar

MODEL

950FII

SERIAL NUMBER

08FL82145

METER READING

15256

INVOICE DETAILS

Replace Tier 0 750 horsepower engine with Tier 1 750 horsepower engine, including parts and 

labor necessary to facilitate removal of existing engine and install new Tier I certified engine 

configuration. 

ACTION: BROUGHT MACHINE INSIDE, WASHED ENGINE COMPARTMENT. REMOVED HOOD AND 

SIDE PANELS. REMOVED EXISTING TIER 0 ENGINE AND REPLACED WITH NEW CERTIFIED TIER 

1 ENGINE SYSTEM. 

FILLED RADIATOR SYSTEM WITH ALL NEW ELC. CHECKED ENGINE SPECS AND

ADJUSTED AS NEEDED. CHECKED FOR ENGINE OIL PRESSURE AND FLUID LEVELS. RAN 

MACHINE, CHECKED FOR LEAKS AND WASHED OIL FROM MACHINE.

 SEGMENT 1 TOTAL LABOR (FLAT-RATE) 3,760.00

 SEGMENT TOTAL 3,760.00

SEGMENT 2 

1.00 0R8760 TIER I Engine

1.00 Core Charge

1.00 Full Core Credit

1.00 1031998 HOSE

1.00 1558899 SEAL-O-RING

2.00 6p00056 RING

1.00 1067850 ELBOW

1.00 6I2408 MUFFLER A

1.00 6I2409 PIPE

1.00 6I2615 SUPPORT

2.00 8X48294 CLAMP

32.00 2889948q 10w30 DEO Quarts

 SEGMENT TOTAL (FLAT-RATE) 13,622.71

 SUBTOTAL 17,382.71

 PAY THIS AMOUNT 17,382.71

 
Working Draft Version 1.0, October 12, 2011 29 

Appendix B – On-highway Engine Emission Standards

Note: See the Code of Federal Regulations (CFR) for the official standards or reference

http://www.epa.gov/otaq/standards/heavy-duty/hdci-exhaust.htm

 
Working Draft Version 1.0, October 12, 2011 30 

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

Standard

Rated 

Power 

(hp)

Rated 

Power 

(kW)

Tier Model 

Year

NMHC 

(g/kWhr)

NMHC + 

NOx 

(g/kWhr)

NOx 

(g/kWhr)

PM 

(g/kWhr)

CO 

(g/kWhr)

Smokea 

(Percent

age)

Useful 

Life 

(hours/y

ears)b

Warranty 

Period 

(hours/y

ears)b

1

2000-

2004 - 10.5 - 1 8

2

2005-

2007 - 7.5 - 0.8 8

4 2008+ - 7.5 - 0.40c 8

1

2000-

2004 - 9.5 - 0.8 6.6

2

2005-

2007 - 7.5 - 0.8 6.6

4 2008+ - 7.5 - 0.4 6.6

1

1999-

2003 - 9.5 - 0.8 5.5

2

2004-

2007 - 7.5 - 0.6 5.5

2008-

2012 - 7.5 - 0.3 5.5

2013+ - 4.7 - 0.03 5.5

1

1998-

2003 - - 9.2 - -

2

2004-

2007 - 7.5 - 0.4 5

3f

2008-

2011 - 4.7 - 0.4 5

4 (Option 

1)g

2008-

2012 - 4.7 - 0.3 5

4 (Option 

2)g 2012 - 4.7 - 0.03 5

4 2013+ - 4.7 - 0.03 5

1

1998-

2003 - - 9.2 - -

2

2004-

2007 - 7.5 - 0.4 5

3

2008-

2011 - 4.7 - 0.4 5

2012-

2013h - 4.7 - 0.02 5

2014+i 0.19 - 0.4 0.02 5

1

1997-

2002 - - 9.2 - -

2

2003-

2006 - 6.6 - 0.3 5

3

2007-

2011 - 4 - 0.3 5

2012-

2013h - 4 - 0.02 5

2014+ 0.19 - 0.4 0.02 5

1

1996-

2002 1.3j - 9.2 0.54 11.4

2

2003-

2005 - 6.6 - 0.2 3.5

3

2006-

2010 - 4 - 0.2 3.5

2011-

2013h - 4 - 0.02 3.5

2014+i 0.19 - 0.4 0.02 3.5

1

1996-

2000 1.3j - 9.2 0.54 11.4

2

2001-

2005 - 6.4 - 0.2 3.5

3

2006-

2010 - 4 - 0.2 3.5

2011-

2013h - 4 - 0.02 3.5

2014+i 0.19 - 0.4 0.02 3.5

1

1996-

2001 1.3j - 9.2 0.54 11.4

2

2002-

2005 - 6.4 - 0.2 3.5

3

2006-

2010 - 4 - 0.2 3.5

2011-

2013h - 4 - 0.02 3.5

2014+i 0.19 - 0.4 0.02 3.5

1

2000-

2005 1.3j - 9.2 0.54 11.4

2

2006-

2010 - 6.4 - 0.2 3.5

2011-

2014 0.4 - 3.5 0.1 3.5

2015+i 0.19 - 3.5k 0.04l 3.5

1

2000-

2005 1.3j - 9.2 0.54 11.4

2

2006-

2010 - 6.4 - 0.2 3.5

2011-

2014 0.4 - 3.5k 0.1 3.5

2015+i 0.19 - 3.5k 0.04l 3.5

4

603.4 ≤ 

hp < 751

4

kW < 8

8 ≤ kW < 

19

19 ≤ kW < 

37

37 ≤ kW < 

56

56 ≤ kW < 

75

49.6 ≤ hp 

< 75.1

8,000 / 10 3,000 / 5

75.1 ≤ hp 

< 100.6

4

100.6 ≤ 

hp < 

174.3

4

174.3 ≤ 

hp < 

301.7

hp > 1207 kW > 900

4

75 ≤ kW < 

130

130 ≤ kW 

< 225

225 ≤ kW 

< 450

4

301.7 ≤ 

hp < 

603.4

Federal

hp < 10.7

20 / 15 / 

50

3,000 / 5 1,500 / 2

10.7 ≤ hp 

< 25.5 3,000 / 5 1,500 / 2

25.5 ≤ hp 

< 49.6 5,000 / 7d

751 ≤ hp 

< 1207

4

450 ≤ kW 

< 560

560 ≤ kW 

< 900

3,000 / 5e

4
Working Draft Version 1.0, October 12, 2011 31 

Appendix D – Example EPA Certificate of Conformity
Working Draft Version 1.0, October 12, 2011 32 

Appendix E – Example Engine Emission Control Labels 

Note: The label may be hard to see or read. These are actual pictures from engines and illustrate 

how you should be able to find the EPA engine family name on the label.

Engine Family Name

Engine Family Name
Working Draft Version 1.0, October 12, 2011 33 

Appendix F – Example Vehicle Inspection Sheet

Diesel Retrofit Project Pre-Installation Checklist

 

The following list outlines the key technical aspects of a diesel retrofit project that should be checked prior to 

installation of a verified emission control device on a vehicle.

___ Engine characteristics must meet all terms and conditions of retrofit device verification letter (model

year, engine family, engine configuration)

___ Intake air filter condition

 

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

 

___ Exhaust peak opacity (over the SAE J1667 protocol): _______________

• Certain Mack engines: <30% limit

• All other engines: <20% limit

(Note: There should be no signs of blue smoke or white smoke; most MY 1994 and newer engines were 

certified with OE peak opacities <10%. It is the right of the technology provider and its distributors to reject a 

vehicle even if the opacity value is below the limit if, in their opinion, the vehicle presents an atypical opacity 

value.)

 

___ Exhaust system integrity

 

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

 

___ Absence of turbocharger seal leaks

 

___ Absence of audible combustion problems

 

___ Absence of excessive crankcase vent tube emissions. Flow if measured: _____________

 

___ Engine mileage accumulation: _______________

If the engine mileage accumulation exceeds the following values, the technology provider advises the owner 

that the higher rate of occurrence of spontaneous engine component failures may result in unwarranted 

failure of the emission control device:

• Class 8 (>33,000 lbs.): >600,000 miles

• Class 6 & 7 (19,501-33,000 lbs.): >200,000 miles

• Class 4 & 5 (14,001-19,500 lbs.): >150,000 miles

___ Diesel fuel used must comply with terms and conditions of retrofit device verification letter (sulfur level,

biodiesel specification, fuel additives)

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

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

applicable.

___ Conduct safety analysis of retrofit device installation (visibility, location of device relative to fuel lines,

structural framework, heat issues)
Working Draft Version 1.0, October 12, 2011 34 

Appendix G – Example Certification of Installation 

Equipment Installation Firm:

Contact Name and Telephone Number: 

______ 

 

Fleet / Vehicle Owner: 

Contact Name and Telephone Number: 

 ______ 

Vehicle Manufacturer: ______________________________________ 

Vehicle Information:

Vehicle VIN Number: 

Vehicle ID Number: 

Vehicle Make, Model & Year 

Equipment Type: _______

Emission Reduction Equipment Information:

Equipment Manufacturer: _______

Equipment Model: 

Equipment Type: 

DOC: Diesel Oxidation Catalyst CCV: Closed Crankcase Ventilation DPF: Diesel Particulate Filter 

FOH: Fuel Operated Heater APU: Auxiliary Power Unit BAC: Battery Air Conditioner 

We certify that we have installed the above-referenced emissions reduction equipment in 

accordance with the manufacturer’s specifications and warranty requirements. We certify 

that the equipment installed is a “Verified Technology” by the USEPA or California Air 

Resources Board for the subject vehicle. We further certify that we have assessed the 

operation of such equipment, to the extent possible, and it is functioning as intended:

 

Printed Name Work Order Number

 

Signature Invoice Number

 

Date