Information Collection Request for

Diesel Emissions Reduction Act (DERA) Rebate Program

OMB Control No. 2060-NEW, EPA ICR No. 2461.01

February 2, 2012

United States Environmental Protection Agency

Office of Air and Radiation

1200 Pennsylvania Avenue, NW

Washington, DC 20460
ii

Contents

1. Identification of the Information Collection............................................................................... 4

1(a) Title of the Information Collection...................................................................................... 4

1(b) Short Characterization/Abstract .......................................................................................... 4

2. Need For and Use of the Collection............................................................................................ 4

2(a) Need/Authority for the Collection....................................................................................... 4

2(b) Practical Utility/Users of the Data ...................................................................................... 5

3. Non-duplication, Consultations, and Other Collection Criteria.................................................. 6

3(a) Non-duplication................................................................................................................... 6

3(b) Public Notice Required Prior to ICR Submissions to OMB............................................... 6

3(c) Consultations....................................................................................................................... 6

3(d) Effects of Less Frequent Collection.................................................................................... 7

3(e) General Guidelines.............................................................................................................. 7

3(f) Confidentiality ..................................................................................................................... 7

3(g) Sensitive Questions............................................................................................................. 8

4. The Respondents and the Information Requested ...................................................................... 8

4(a) Respondents/Standard Industrial Classification (SIC) Codes............................................. 8

4(b) Information Requested ........................................................................................................ 9

4(b)(i) Data Items.................................................................................................................... 9

4(b)(ii) Respondent Activities................................................................................................. 9

5(a) Agency Activities................................................................................................................ 9

5(b) Collection Methodology and Management....................................................................... 10

5(c) Small Entity Flexibility ..................................................................................................... 10

5(d) Collection Schedule........................................................................................................... 10

6. Estimating the Burden and Cost of the Collection.................................................................... 11

6(a) Estimating Respondent Burden ......................................................................................... 11

6(b) Estimating Respondent Costs............................................................................................ 11

6(b)(i) Estimating Labor Costs............................................................................................. 11

6(b)(ii) Operating and Maintenance (O&M) Costs .............................................................. 11

6(b)(iii) Capital/Start-up Costs ............................................................................................. 11

6(c) Estimating Agency Burden and Cost ................................................................................ 11

6(d) Estimating the Respondent Universe and Total Burden and Costs................................... 12

6(e) Bottom Line Burden Hours and Cost Tables .................................................................... 12

6(e)(i) Respondent Tally....................................................................................................... 12

6(e)(ii) The Agency Tally ..................................................................................................... 12

6(f) Burden Statement............................................................................................................... 13

Appendices

A. Respondents and Agency Activities Tables
iii

Tables

Table 6.1 Respondent tally ........................................................................................................... 12

Table 6.2 Agency tally.................................................................................................................. 13
4

1. Identification of the Information Collection

1(a) Title of the Information Collection

Title: Diesel Emissions Reduction Act (DERA) Rebate Program

OMB Control Number: 2060-NEW

EPA ICR Number: 2461.01

1(b) Short Characterization/Abstract

This is a new Information Collection Request (ICR) for the Diesel Emission Reduction Act 

program (DERA) authorized by Title VII, Subtitle G (Sections 791 to 797) of the Energy Policy

Act of 2005 (Public Law 109-58), as amended by the Diesel Emissions Reduction Act of 2010 

(Public Law 111-364), codified at 42 U.S.C. 16131 et seq. DERA provides the Environmental 

Protection Agency (EPA) with the authority to award grants, rebates or low-cost revolving loans 

on a competitive basis to eligible entities to fund the costs of a retrofit technology that 

significantly reduces diesel emissions from mobile sources through implementation of a certified 

engine configuration, verified technology, or emerging technology. Eligible mobile sources 

include buses (including school buses), medium heavy-duty or heavy heavy-duty diesel trucks, 

marine engines, locomotives, or nonroad engines or diesel vehicles or equipment used in 

construction, handling of cargo (including at port or airport), agriculture, mining, or energy

production. In addition, eligible entities may also use funds awarded for programs or projects to 

reduce long-duration idling using verified technology involving a vehicle or equipment described 

above. The objective of the assistance under 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.

EPA uses approved procedures and forms to collect necessary information to operate a grant 

program, and has been providing grants under DERA since Fiscal Year 2008. EPA is requesting 

approval through this ICR for forms needed to collect necessary information to operate a rebate 

program as authorized by Congress under the DERA program. 

EPA will collect information from applicants who wish to apply for a rebate under the DERA 

rebate program. Information collected from applicants will ensure that they are eligible to 

receive funds under DERA, that funds are provided for eligible activities, and to calculate 

estimated and actual emissions benefits that result from activities funded with rebates as required 

in DERA’s authorizing legislation. 

2. Need For and Use of the Collection

2(a) Need/Authority for the Collection

This ICR is necessary to ensure that only eligible entities will receive funds under this program, 

and that funds are only provided for eligible activities per the DERA legislation (42 U.S.C. 

16131 et seq.). The information requested on the rebate application form is also needed to 

ensure the activities are completed in accordance with program guidance. In addition, the 
5

information is necessary to ensure minimum fiscal control and accountability for EPA funds and 

to deter waste, fraud, and abuse.

Congress requires EPA to calculate and report on the estimated and actual air quality and diesel 

fuel conservation benefits resulting from DERA funding, as well as cost-effectiveness and costbenefits of the grant, rebate and loan programs. In order to accurately provide this required 

information to Congress, EPA must collect specific information about the vehicles and 

technologies funded through the DERA program. 

2(b) Practical Utility/Users of the Data

There are several sections of the Application Form. All applicants will fill out Table 1 of the 

form, that asks for information about the applicant including DUNS number, address, and 

number of vehicles to be retrofitted or replace. This information is required to ensure the 

applicant is eligible, and to have contact information on file. All applicants will also fill out 

Table 2, providing information on the current vehicle to be replaced or retrofitted. Information 

requested includes the fleet type, vehicle identification number, engine model year, and average 

annual vehicle miles traveled. This information is collected to ensure the vehicle or equipment 

being replaced is eligible under the DERA rebate program.

Applicants applying for a vehicle or engine replacement rebate must fill out Table 3, and 

applicants applying for a retrofit rebate must fill out Table 4. Information in Tables 3 and 4 

include specifics about the proposed new vehicle or equipment, and will be used to ensure that 

the vehicle or technology that is planned for purchase by the applicant meets all eligibility

requirements under the DERA rebate program. In addition, the information will be used to 

calculate the estimated emissions reductions that will be achieved through the rebate, and to meet 

the statutory requirements to report to Congress the estimated air quality and diesel fuel 

conservation benefits, cost-effectiveness, and cost-benefits of that activity prior to the activity

occurring. 

After the applicant has been approved, the applicant may purchase the vehicle or equipment 

specified in the rebate program guidance. After purchase and installation of the new vehicle or 

equipment, the applicant will re-submit the completed application form, correcting and 

confirming all information that was estimated on the initial form submittal. The applicant will 

also submit a copy of all invoices to be reimbursed for eligible expenses. This information is 

necessary to meet the statutory requirements to report to Congress the actual air quality and 

diesel fuel conservation benefits, cost-effectiveness, and cost-benefits of that activity. In 

addition the information collected will ensure minimum fiscal control and accountability for 

EPA funds and to deter waste, fraud, and abuse.
6

3. Non-duplication, Consultations, and Other 

Collection Criteria

3(a) Non-duplication

Information requested from respondents under this ICR is not available from other sources.

There are no existing rebate programs at EPA where this information may have been previously 

collected. Some rebate applicants may have applied for and received grants from EPA; however, 

information currently held in EPA’s Integrated Grants Management System that could pertain to 

the rebate program would likely only consist of applicant names, addresses, and other identifying 

information that would not be burdensome for a rebate applicant to reproduce. Other information 

related to the specific vehicle(s) applying for rebates would not be readily available from other 

sources.

3(b) Public Notice Required Prior to ICR Submissions to OMB

In compliance with the 1995 Paperwork Reduction Act (PRA), any agency developing a nonrule-related ICR must solicit public comments for a 60-day period before submitting the ICR to 

OMB. These comments, which are used partly to determine realistic burden estimates for 

respondents, must be considered when completing the Supporting Statement that is submitted to 

OMB.

3(c) Consultations

EPA headquarters and regional staff responsible for DERA program oversight and 

implementation were contacted to provide information, data, and review for this ICR.

EPA solicited information on rebate program structure, management, and information collection

from other Federal, state and local rebate programs, including:

 USDOT CARS Program (“Cash for Clunkers”)

Contact: Terry Anderson, National Highway Traffic Safety Administration

 California Air Resources Board (CARB) Hybrid Truck and Bus Voucher Incentive 

Project

Contact: Joe Calavita, CARB

 Pittsburgh Healthy School Bus Initiative

Contact: Brooke Suter, Clean Air Task Force

Additionally, EPA consulted with representatives from industries potentially affected by a rebate 

program to determine availability of the information we are requesting on the rebate forms and 

the typical process and time required to procure a new vehicle or retrofit an existing vehicle. As 

EPA anticipates initially conducting pilot program offering rebates for the replacement of school 

buses, we consulted with the following representatives of public and private school bus fleets:
7

 Shenendahowa Central School District, Clifton Park, NY

Contact: David Christopher

 National Association for Pupil Transportation

Contact: Alexandra Robinson, President

 Stafford County Public Schools, Fredericksburg, VA

Contact: Barry Sudduth

 Farmington Public Schools, Farmington, MI

Contact: William Tousley

 Adams 12 Five Star Schools, Broomfield, CO

Contact: David Anderson

 Midland School District, Midland, TX

Contact: Willie Tarleton

All of the representatives contacted generally supported the idea of offering rebates to 

incentivize the replacement of older, more polluting school buses with new, cleaner or 

alternative fuel models.

3(d) Effects of Less Frequent Collection

EPA recognizes the importance of balancing the need for data collection efforts against 

respondent burden and costs. The information needed for EPA to assess whether a rebate 

applicant is eligible to receive a rebate is expected to be submitted one time for each rebate 

requested. Individual applicants can initially apply for up to 5 rebates at one time; however, as 

the rebate application form is specific to each vehicle, the applicant would be expected to submit 

one form per vehicle. EPA needs current information about the vehicle(s) to be replaced and the 

proposed replacement vehicle(s) to properly evaluate rebate eligibility. The burden described in 

this ICR identifies the burden that EPA has determined as necessary. EPA strives to minimize 

burden. EPA has determined that the information currently required is the minimum that is 

necessary to adequately evaluate applicant eligibility.

3(e) General Guidelines

This information collection is consistent with OMB guidelines contained in 5 CFR 1320.5(d)(2). 

Requests for supplemental information for the purposes of emergency response or enforcement 

activities are exempt from the Paperwork Reduction Act requirements.

3(f) Confidentiality

Applicants will not be required to submit confidential business information. If an applicant feels 

that any information requested would be confidential business information, the applicant may
8

request that such information be treated as confidential. All confidential data will be handled in 

accordance with 40 CFR 122.7, 40 CFR Part 2, and EPA’s Security Manual Part III, Chapter 9, 

dated August 9, 1976. Any claim of confidentiality must be asserted at the time of submission.

3(g) Sensitive Questions

Sensitive questions are defined in EPA’s ICR Handbook, Guide to Writing Information 

Collection Requests Under the Paperwork Reduction Act of 1995 as “questions concerning 

sexual behavior or attitudes, religious beliefs, or other matters usually considered private.” The 

requirements addressed in this ICR do not include sensitive questions.

4. The Respondents and the Information Requested

4(a) Respondents/Standard Industrial Classification (SIC)

Codes

The primary recipients of EPA rebates are State and local governments, Indian Tribes, 

educational institutions, not-for-profit institutions, and certain private organizations. The 

information requested is used to determine rebate eligibility, pay recipients, and collect 

information on how Federal funds are being spent.

Standard Industrial Classification Codes for respondents include:

4151 – School Buses

8211 – Elementary and Secondary Schools

8221 – Colleges, Universities, and Professional Schools

8399 – Social Services, Not Elsewhere Classified

9199 – General Government, Not Elsewhere Classified

The corresponding North American Industry Classification System (NAICS) Codes for 

respondents include:

48541 – School and Employee Bus Transportation

61111 – Elementary and Secondary Schools

61131 – Colleges, Universities, and Professional Schools

813212 – Voluntary Health Organizations

813219 – Other Grantmaking and Giving Services

813312 – Environment, Conservation, and Wildlife Organizations

813910 – Business Associations

813920 – Professional Organizations

9211 – Executive, Legislative, and Other Government Support

9221 – Justice, Public Order, and Safety Activities
9

4(b) Information Requested

This section presents the data items, including recordkeeping requirements, and required 

respondent activities involved in preparing and submitting those data items.

4(b)(i) Data Items

The following data items are expected to be collected as part of a rebate application and receipt 

process:

 Applicant name, address, and other identifying information, such as Employer 

Identification Number or Dun and Bradstreet Number

 Characteristics of the vehicle(s) for which the rebate(s) is requested, including 

information to allow for the calculation of potential emissions reduced

 Information on the proposed replacement vehicle(s) or retrofit technology(ies), to ensure 

that DERA program objectives will be met

 If a private applicant, documentation of a contract, license, or lease with an eligible 

public entity

 If a vehicle replacement rebate, price quote for the replacement vehicle proposed method 

of old vehicle scrappage

 If a retrofit rebate, documentation of vehicle data logging (if applicable to the chosen 

retrofit make and model)

4(b)(ii) Respondent Activities

DERA Rebate Program applicants must perform the following:

 Submit a completed application form signed by an Authorized Representative and any 

necessary supporting documentation

 Submit evidence of completion of the rebate-eligible activity (e.g., vehicle replacement 

and scrappage of old vehicle or retrofit of existing vehicle) to obtain a rebate payment

 Retain all records related to the rebate application and payment for a period of 3 years

5. The Information Collected—Agency Activities, 

Collection Methodology, and Information Management

5(a) Agency Activities

This ICR includes all of the application and reimbursement forms related to EPA’s Diesel 

Emissions Reduction Act Rebate Program. EPA will accept, evaluate, and approve applications 

from eligible applicants for eligible rebate activities. EPA will subsequently review each 
10

applicant’s claim form to determine if payment is warranted. EPA will enter information on 

applicants, vehicles, and rebate payments into a database to manage the rebate program.

Agency activities associated with the review and approval of a rebate consist of the following:

 Determine and notify within 30 days of initial application submission whether 

submission is eligible

 Determine and notify within 30 days of rebate request submission whether submission is 

complete and rebate can be issued

5(b) Collection Methodology and Management

EPA will collect and store data from applicants, such as applicant, vehicle, and payment 

information in a database to manage the rebate program. Data supplied by rebate applicants on 

paper or electronic forms (via email) will be entered into the database by EPA. EPA will ensure 

the accuracy and completeness of collected information by reviewing each submittal. EPA will 

use data collected on processed rebate requests to estimate the emission reductions and costeffectiveness of the rebate program for its required annual report to Congress.

5(c) Small Entity Flexibility

For many reasons, EPA believes the reporting requirements discussed in this ICR do not place an 

unreasonable burden on small businesses. The application form requests minimal information

used to identify an applicant, verify eligibility, and evaluate the proposed action for rebate 

eligibility. An application form is submitted once for each eligible vehicle or piece of equipment. 

The burden represented by the application form cannot be further reduced for small businesses. 

EPA needs certain basic information to make decisions regarding rebate payments. This basic 

information is not dependent on an operator’s size.

Minimizing the burden on small entities also comes in the form of guidance materials. For 

example, to assist applicants of all sizes, but potentially most useful for small entities, EPA will 

develop guidance on applying for a rebate.

5(d) Collection Schedule

Applying for a rebate is a voluntary activity. Information collection would begin once EPA 

announces the availability of rebate funds and makes the program guidance available on the 

internet (www.epa.gov/cleandiesel). Applicants may submit Part I of the rebate application form 

to apply for rebate funds at any time while funds are available. If approved, applicants will have 

60 days from receipt of the notice of approval from EPA to submit evidence of an order being 

placed for a new vehicle or retrofit, such as a copy of a purchase order. Finally, applicants will 

have nine months from the initial notice of approval to submit Part II of the rebate application 

form with supporting documentation to obtain a rebate.
11

6. Estimating the Burden and Cost of the Collection

6(a) Estimating Respondent Burden

This section presents the estimated respondent burden for each information request. Data are 

tabulated in the “Respondents and Agency Activities Table” provided as Appendix A. That table 

presents all assumptions, calculations, and results discussed in this ICR. The breakdown of cost 

and burden by labor category is provided in Section 6(b).

6(b) Estimating Respondent Costs

With burden hour estimates in place from Section 6(a), the next step is to estimate the labor cost 

per respondent and the capital costs required to complete each activity. The total cost for each 

respondent activity is composed of the following:

 Labor Cost;

 Operating and Maintenance (O&M) Cost; and

 Capital/Start-up Cost.

The results of the respondents’ costs analysis are presented in the Respondents and Agency

Activities Table in Appendix A. Note that there are no O&M or capital costs associated with the 

DERA Rebate Program.

6(b)(i) Estimating Labor Costs

To estimate the potential costs, EPA identified labor categories associated with performing each 

activity. Labor categories include managerial, technical, and clerical. Mean hourly wage data 

was obtained from the Bureau of Labor Statistics (BLS) publication, National Compensation 

Survey: Occupational Earnings in the United States, 2010 (May 2011). Estimates of benefits as 

a percentage of mean hourly wage were obtained from the BLS news release, Employer Costs for

Employee Compensation - September 2011. Table A1 in Appendix A shows the assumptions 

made by EPA when determining the cost of labor for various types of applicants.

6(b)(ii) Operating and Maintenance (O&M) Costs 

This ICR account for labor costs only. The DERA rebate program does not require respondents 

to perform activities outside the normal operation practices.

6(b)(iii) Capital/Start-up Costs

This ICR account for labor costs only. The DERA rebate program does not require respondents 

to perform activities outside the normal operation practices. 

6(c) Estimating Agency Burden and Cost

EPA’s estimate of its burden and costs are from the activities described in Section 5(a). When 

calculating the Agency cost, EPA makes the following assumption:
12

EPA determined the hourly employment cost of federal employees using methodology

established in previous ICRs. According to the U.S. Office of Personnel Management, 2012

General Schedule (2012-GS), the average annual salary of a government employee at the GS-9, 

Step 10 level is $54,028. At 2,080 hours per year, the hourly wage is $25.98. Assuming 

overhead costs of 60 percent, or $15.59 per hour, the fully loaded cost of employment for a 

federal employee is $41.57.

Burden and costs incurred by EPA are presented in Table A7 in Appendix A.

6(d) Estimating the Respondent Universe and Total Burden 

and Costs

Detailed information describing the universe and basis for burden and costs is provided in 

Section 6(a). Results are presented in Tables A2 through A6 in Appendix A. Those tables 

provide the respondent universe and the source of information for all respondent categories used 

throughout this ICR.

6(e) Bottom Line Burden Hours and Cost Tables

6(e)(i) Respondent Tally

The bottom line burden hours and costs for rebate applicants are the average annual hours and 

costs collectively incurred for all activities during the 3-year period covered by this ICR. Table 

6.1 provides a summary of the average annual number of applicants, burden hours, and costs. A 

more detailed summary is provided in Tables A2 through A6 in Appendix A.

Table 6.1 Respondent tally

Respondents (number) 120

Responses (number) 220

Burden (hours) 894

Costs (labor) $44,547

Costs (capital) $0

Costs (O&M) $0

Total costs $44,547

Average annual burden per respondent $371

6(e)(ii) The Agency Tally

The bottom line burden hours and costs for the Agency are the total annual hours and costs 

collectively incurred for all activities during the period covered by this ICR. Table 6.2 provides a 

summary of the average annual Agency burden hours and costs. A more detailed summary is

provided in Table A7 in Appendix A.
13

Table 6.2 Agency tally

Responses (number) 220

Burden (hours) 270

Costs (labor) $11,224

Costs (capital) $0

Costs (O&M) $0

Total costs $11,224

6(f) Burden Statement

The calculations made for this ICR cover the burden and costs for EPA and eligible applicants to 

the DERA Rebate Program. This ICR estimates an annual burden of 894 hours for 120 applicants

at a labor cost of $44,547. Agency burden is 270 hours annually at a labor cost of $11,057. The 

annual respondent reporting and recordkeeping burden for this collection of information is 

estimated to average 7.925 hours per response.

Burden means the total time, effort, or financial resources expended by persons to generate, 

maintain, or disclose or provide information to or for a federal agency. This includes the time 

needed to review instructions; develop, acquire, install, and utilize technology and systems for 

the purposes of collecting, validating, and verifying information, processing and maintaining 

information, and disclosing and providing information; adjust the existing ways to comply with 

any previously applicable instructions and requirements; train personnel to be able to respond to 

a collection of information; search data sources; complete and review the collection of 

information; and transmit or otherwise disclose information. An agency may not conduct or 

sponsor, and a person is not required to respond to, a collection of information unless it displays 

a currently valid OMB control number. The OMB control numbers for EPA’s regulations are 

listed in 40 CFR Part 9 and 48 CFR Chapter 15.

To comment on EPA’s need for this information, the accuracy of the provided burden estimates, 

and any suggested methods for minimizing respondent burden, including the use of automated 

collection techniques, the Agency has established a public docket for this ICR under Docket ID 

No. EPA–HQ–OAR–2012–0103, which is available for public viewing at the Air and Radiation 

Docket in the EPA Docket Center (EPA/DC), 1200 Pennsylvania Avenue NW, Washington, DC. 

The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday

through Friday, excluding legal holidays. The telephone number for the Reading Room is 202-

566-1744, and the telephone number for the Air Docket is 202-566-1742. An electronic version 

of the public docket is available through the Federal Docket Management System (FDMS) at 

http://www.regulations.gov/. Use FDMS to submit or view public comments, to access the index 

listing of the contents of the public docket, and to access documents in the public docket that are 

available electronically. Once in the system, key in the docket ID number identified above. You 

can also send comments to the Office of Information and Regulatory Affairs, Office of 

Management and Budget, 725 17th Street, NW, Washington, DC 20503, Attention: Desk Office 

for EPA. Please include the EPA Docket ID No. EPA–HQ–OAR–2012–0103 and OMB Control 

No. 2060-NEW in any correspondence.