GRANT AWARD DS-98T86201-0.PDF

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GRANT NUMBER (FAIN): 98T86201
MODIFICATION NUMBER: 0 DATE OF AWARD
U.S. ENVIRONMENTAL PROGRAM CODE: DS
PROTECTION AGENCY TYPE OF ACTION MAILING DATE
New
Grant Agreement PAYMENT METHOD: ACH#
ASAP 90179
RECIPIENT TYPE: Send Payment Request to:
County Contact EPA RTPFC at: rtpfc-grants@epa.gov
RECIPIENT: PAYEE:
Maricopa County Air Quality Department Maricopa County Air Quality Department
301 W. Jefferson Ave, Suite 410 301 W. Jefferson Ave, Suite 410
Phoenix, AZ 85003-2157 Phoenix, AZ 85003-2157
EIN: 86-6000472
PROJECT MANAGER EPA PROJECT OFFICER EPA GRANT SPECIALIST
Larz Garcia Asia Yeary Karla Carrillo Castillo
301 W Jefferson Ave, Suite 410 75 Hawthorne Street, AIR-1-1 Grants Branch, MSD-6
Phoenix, AZ 85003-2157 San Francisco, CA 94105 75 Hawthorne Street
Email: larz.garcia@maricopa.gov Email: yeary.asia@epa.gov San Francisco, CA 94105
Phone: 602-506-0147 Phone: 808-342-5675 Email: carrillocastillo.karla@epa.gov
Phone: 415-972-3372
PROJECT TITLE AND DESCRIPTION
STATE CLEAN DIESEL GRANT PROGRAM
Maricopa County Air Quality Department (MCAQD) will reduce emissions of diesel particulate matter, NOx and exposure to diesel air toxics throughout
Maricopa County and Pinal County, Arizona.
This assistance agreement provides partial federal funding in the amount of $667,812. Preaward costs are approved back to October 1, 2023. See terms and
conditions. The activities include administration of the State Clean Diesel Grant Program. MCAQD will subaward for the replacement of heavy-duty legacy
diesel vehicles. The anticipated deliverables include replacing school buses, trucks, shuttles and tractors with alternative fuel replacement vehicles and
electric vehicles. The expected outcomes include reduced diesel emissions and improved air quality and public health. The intended beneficiaries include
residents and visitors to Maricopa County, Arizona. Maricopa County intends to subaward to school districts and privately owned commercial company to
replace eligible school buses with alternative fuel school buses, shuttle buses with alternative fuel shuttle buses, delivery trucks with electric delivery trucks
and tractors with electric tractors.
BUDGET PERIOD PROJECT PERIOD TOTAL BUDGET PERIOD COST TOTAL PROJECT PERIOD COST
10/01/2023 - 09/30/2026 10/01/2023 - 09/30/2026 $5,099,994.00 $5,099,994.00
NOTICE OF AWARD
Based on your Application dated 08/22/2023 including all modifications and amendments, the United States acting by and through the US Environmental
Protection Agency (EPA) hereby awards $667,812.00. EPA agrees to cost-share 26.19% of all approved budget period costs incurred, up to and not
exceeding total federal funding of $667,812.00. Recipient's signature is not required on this agreement. The recipient demonstrates its commitment to carry
out this award by either: 1) drawing down funds within 21 days after the EPA award or amendment mailing date; or 2) not filing a notice of disagreement with
the award terms and conditions within 21 days after the EPA award or amendment mailing date. If the recipient disagrees with the terms and conditions
specified in this award, the authorized representative of the recipient must furnish a notice of disagreement to the EPA Award Official within 21 days after the
EPA award or amendment mailing date. In case of disagreement, and until the disagreement is resolved, the recipient should not draw down on the funds
provided by this award/amendment, and any costs incurred by the recipient are at its own risk. This agreement is subject to applicable EPA regulatory and
statutory provisions, all terms and conditions of this agreement and any attachments.
ISSUING OFFICE (GRANTS MANAGEMENT OFFICE) AWARD APPROVAL OFFICE
ORGANIZATION / ADDRESS ORGANIZATION / ADDRESS
U.S. EPA, Region 9 , U.S. EPA, Region 9 Grants Branch, MSD-6 U.S. EPA, Region 9, Air and Radiation Division, AIR-1
75 Hawthorne Street R9 - Region 9
San Francisco, CA 94105 75 Hawthorne Street
San Francisco, CA 94105
THE UNITED STATES OF AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY
DATE

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EPA Funding Information
FUNDS FORMER AWARD THIS ACTION AMENDED TOTAL
EPA Amount This Action $0 $667,812 $667,812
EPA In-Kind Amount $0 $0 $0
Unexpended Prior Year Balance $0 $0 $0
Other Federal Funds $0 $0 $0
Recipient Contribution $0 $0 $0
State Contribution $0 $890,416 $890,416
Local Contribution $0 $2,873,954 $2,873,954
Other Contribution $0 $0 $0
Allowable Project Cost $0 $4,432,182 $4,432,182
Assistance Program (CFDA) Statutory Authority Regulatory Authority
66.040 - Diesel Emissions Reduction Act (DERA) Diesel Emission Reduction Act of 2010, codified 2 CFR 200, 2 CFR 1500 and 40 CFR 33
State Grants at 42 U.S.C. 16133
Fiscal
Site Name Req No FY Approp. Budget PRC Object Site/Project Cost Obligation /
Code Oganization Class Organization Deobligation
AZ 2409M7S004 23 E4 09M1 000AH4 4123 - - $667,812
$667,812

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Budget Summary Page
Table A - Object Class Category Total Approved Allowable
(Non-Construction) Budget Period Cost
1. Personnel $107,218
2. Fringe Benefits $43,102
3. Travel $18,400
4. Equipment $0
5. Supplies $2,010
6. Contractual $0
7. Construction $0
8. Other $4,868,928
9. Total Direct Charges $5,039,658
10. Indirect Costs: 0.00 % Base See General Terms and Conditions $60,336
11. Total (Share: Recipient ______ 73.81 % Federal ______ 26.19 %) $5,099,994
12. Total Approved Assistance Amount $1,335,624
13. Program Income $0
14. Total EPA Amount Awarded This Action $667,812
15. Total EPA Amount Awarded To Date $667,812

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Administrative Conditions
General Terms and Conditions
The recipient agrees to comply with the current EPA general terms and conditions available at:
https://www.epa.gov/grants/epa-general-terms-and-conditions-effective-october-1-2023-or-later.
These terms and conditions are in addition to the assurances and certifications made as a part of the award and the terms,
conditions, or restrictions cited throughout the award.
The EPA repository for the general terms and conditions by year can be found at: https://www.epa.gov/grants/grant-terms-
and-conditions#general.
A. Federal Financial Reporting (FFR)
For awards with cumulative project and budget periods greater than 12 months, the recipient will submit an annual FFR (SF
425) covering the period from "project/budget period start date" to June 30 of each calendar year to the EPA Finance
Center in Research Triangle Park, NC. The annual FFR will be submitted electronically to rtpfc-grants@epa.gov no later
than September 30 of the same calendar year. Find additional information at https://www.epa.gov/financial/grants. (NOTE:
The grantee must submit the Final FFR to rtpfc-grants@epa.gov within 120 days after the end of the project period.)
B. Procurement
The recipient will ensure all procurement transactions will be conducted in a manner providing full and open competition
consistent with 2 CFR Part 200.319. In accordance 2 CFR Part 200.324 the grantee and subgrantee(s) must perform a
cost or price analysis in connection with applicable procurement actions, including contract modifications.
State recipients must follow procurement procedures as outlined in 2 CFR Part 200.317.
C. MBE/WBE Reporting, 40 CFR, Part 33, Subpart E (EPA Form 5700-52A)
The recipient agrees to submit a “MBE/WBE Utilization Under Federal Grants and Cooperative Agreements” report (EPA
Form 5700-52A) annually for the duration of the project period. The current EPA Form 5700-52A with instructions is located
at https://www.epa.gov/grants/epa-grantee-forms
This provision represents an approved exception from the MBE/WBE reporting requirements as described in 40 CFR
Section 33.502.
Reporting is required for assistance agreements where funds are budgeted for procuring construction, equipment, services
and supplies (including funds budgeted for direct procurement by the recipient or procurement under subawards or loans in
the “Other” category) with a cumulative total that exceed the Simplified Acquisition Threshold (SAT) currently set at
$250,000 (the dollar threshold will be automatically revised whenever the SAT is adjusted; See 2 CFR Section 200.1),
including amendments and/or modifications. All procurement actions are reportable when reporting is required, not just the
portion which exceeds the SAT.
Recipients with expended and/or budgeted funds for procurement are required to report annually whether the planned
procurements take place during the reporting period or not. If no budgeted procurements take place during the reporting
period, the recipient should check the box in section 4A when completing the form.
When completing the annual report, recipients are instructed to check the box titled “annual” in section 1B of the form. For

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the final report, recipients are instructed to check the box indicated for the “Final Report (project completed)” in section 1B
of the form.
The annual reports are due by October 30th of each calendar year and the final report is due within 120 days after the end
of the project period, whichever comes first. The recipient will submit the MBE/WBE report(s) and/or questions to
GrantsRegion9@epa.gov and the EPA Grants Specialist identified on page 1 of the award document.
D. Non-Federal Third-Party Contributions
This award includes non-federal third party contributions. Third party contributions counting towards satisfying a cost
sharing or matching requirement must be verifiable from the records of grantees and subgrantees. As applicable, these
records must reflect how the value is placed on third party contributions. The value of third party contributions must be
applicable to the period to which the cost sharing or matching requirement apply (2 CFR Part 200.306).
Programmatic Conditions
Performance Reporting and Final Performance Report
a. Performance Reports – Content
In accordance with 2 CFR 200.329, the recipient agrees to submit performance reports that include brief information on
each of the following areas: 1) A comparison of actual accomplishments to the outputs/outcomes established in the
assistance agreement work plan for the period; 2) The reasons why established outputs/outcomes were not met; and 3)
Additional pertinent information, including, when appropriate, analysis and explanation of cost overruns or high-unit costs.
Additionally, the recipient agrees to inform EPA as soon as problems, delays, or adverse conditions which will materially
impair the ability to meet the outputs/outcomes specified in the assistance agreement work plan are known.
Performance Reports - Frequency
The recipient agrees to submit semi-annual performance reports electronically to the EPA Project Officer within 30 days
after the reporting periods end (every six-month period). The reporting periods are:
January 1 – June 30: report due date July 30
July 1 – December 31: report due date January 30
The recipient must submit the final performance report no later than 120 calendar days after the end date of the period of
performance.
The final project report will include all categories of information required for quarterly reporting, including a final, detailed
fleet description. The final project report will also include a narrative summary of the project or activity, the successes and
lessons learned for the entire project. project results including specific outputs and outcomes detailed in the project
workplan (including any sustainability commitments), and final emissions benefit calculations. To the extent possible, final
emission benefit calculations should be based on the actual number and type of technologies, vehicles, equipment and
engines implemented under the award and actual vehicle miles traveled, idling and/or operating hours, and fuel use. If
actual vehicle miles traveled, idling and/or operating hours, and fuel use are not available, the final report will include a
detailed explanation of how these values are derived, as well as any assumptions or default values used, for the purposes
of emissions benefit calculations. The final report will also detail the methodologies used for the emission benefit

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calculation.
The recipient must provide in the final report signed eligibly statements from participating fleet owners in which fleet owners
attest to the criterion in term and condition P., and which include each vehicle make, model, year, vehicle identification
number, odometer/usage meter reading, engine make, model, year, horsepower, engine ID or serial number, and
vehicle/equipment registration/licensing number and state. A sample eligibility statement may be found at
https://www.epa.gov/dera/state.
For projects involving vehicle/engine/equipment replacements the recipient must provide in the final report evidence of
appropriate scrappage. Participating fleet owners must attest to the appropriate disposal in a signed scrappage statement.
A sample scrappage statement may be found at https://www.epa.gov/dera/state. The scrappage statement must include:
Vehicle owner’s name and address; Vehicle make, vehicle model, vehicle model year, VIN, odometer reading or usage
meter reading, engine make, engine model, engine model year, engine horsepower, engine ID or serial number, as
applicable; Name, address, and signature of dismantler; Date engine and/or vehicle/equipment was scrapped; Statement
attesting to scrappage of vehicle/engine as defined above; Signature of participating fleet owner. Digital photos as follows:
Side profile of the vehicle, prior to disabling; VIN tag or equipment serial number; Engine label (showing serial number,
engine family number, and engine model year); Engine block, prior to hole; Engine block, after hole; Cut frame rails or other
cut structural components, as applicable; Others, as needed.
For projects that take place in an area affected by, or includes vehicles, engines or equipment affected by federal law
mandating emissions reductions, the recipient must provide in the final report evidence that emission reductions funded
with EPA funds were implemented prior to the effective date of the mandate and/or are in excess of (above and beyond)
those required by the applicable mandate. A template for the final report is available at https://www.epa.gov/dera/state.
Subaward Performance Reporting
The recipient must report on its subaward monitoring activities under 2 CFR 200.332(d). Items that must be reported if the
pass-through entity has the information available are:
1. Summaries of results of reviews of financial and programmatic reports.
2. Summaries of findings from site visits and/or desk reviews to ensure effective subrecipient performance.
3. Environmental results the subrecipient achieved.
4. Summaries of audit findings and related pass-through entity management decisions.
5. Actions the pass-through entity has taken to correct deficiencies such as those specified at 2 CFR 200.332(e), 2 CFR
200.208 and the 2 CFR Part 200.339 Remedies for Noncompliance.
6. Any other information indicating conditions that necessitated adjustments to the recipient's records.
Note: EPA Project Officers may customize this reporting requirement based on programmatic information needs.
Public Notification
Not later than 60 days after the date of the award of a subaward, rebate, or loan by a State, the State shall publish
on the website of the State:
1. For subawards, rebates, and loans provided to the owner of a diesel vehicle or fleet, the total number and dollar amount

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of subawards, rebates, or loans provided, as well as a breakdown of the technologies funded through the subawards,
rebates, or loans; and
2. For other subawards, rebates, and loans, a description of each application for which the subaward, rebate, or loan is
provided.
b. Cybersecurity Condition
State Grant Cybersecurity
(a) The recipient agrees that when collecting and managing environmental data under this assistance agreement, it will
protect the data by following all applicable State law cybersecurity requirements.
(b) (1) EPA must ensure that any connections between the recipient’s network or information system and EPA networks
used by the recipient to transfer data under this agreement, are secure. For purposes of this Section, a connection is
defined as a dedicated persistent interface between an Agency IT system and an external IT system for the purpose of
transferring information. Transitory, user-controlled connections such as website browsing are excluded from this definition.
If the recipient’s connections as defined above do not go through the Environmental Information Exchange Network or
EPA’s Central Data Exchange, the recipient agrees to contact the EPA Project Officer (PO) and work with the designated
Regional/Headquarters Information Security Officer to ensure that the connections meet EPA security requirements,
including entering into Interconnection Service Agreements as appropriate. This condition does not apply to manual entry of
data by the recipient into systems operated and used by EPA’s regulatory programs for the submission of reporting and/or
compliance data.
(2) The recipient agrees that any subawards it makes under this agreement will require the subrecipient to comply with the
requirements in (b)(1) if the subrecipient’s network or information system is connected to EPA networks to transfer data to
the Agency using systems other than the Environmental Information Exchange Network or EPA’s Central Data Exchange.
The recipient will be in compliance with this condition: by including this requirement in subaward agreements; and during
subrecipient monitoring deemed necessary by the recipient under 2 CFR 200.332(d), by inquiring whether the subrecipient
has contacted the EPA Project Officer. Nothing in this condition requires the recipient to contact the EPA Project Officer on
behalf of a subrecipient or to be involved in the negotiation of an Interconnection Service Agreement between the
subrecipient and EPA.
c. Mandatory Cost-Share Requirement
This award and the resulting federal funding share (as shown under "Notice of Award" in the award document) is based on
estimated costs requested in the recipient’s final approved workplan. While actual total costs may differ than those
estimates, the recipient is required to provide no less than the cost-share percentages outlined below, as applicable, of the
final equipment costs. EPA's participation shall not exceed the total amount of federal funds awarded or the maximum
federal cost-share percentages outlined below, as applicable, of the final equipment costs. Recipients must satisfy any
applicable cost share requirements with allowable costs as set forth in 2 CFR §200.306. The cost share requirements are
as follows:
Drayage Truck Replacement: EPA Funding Limit = 50%,
Vehicle or Equipment Replacement with EPA Certified Engine: EPA Funding Limit = 25%
Vehicle or Equipment Replacement with CARB Certified Low NOx: EPA Funding Limit = 35%

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Vehicle or Equipment Replacement with Zero-tailpipe Emission Power Source: EPA Funding Limit = 45%
Engine Replacement with EPA Certified Engine: EPA Funding Limit = 40%
Engine Replacement with CARB Certified Low NOx Engine: EPA Funding Limit = 50%
Engine Replacement with Zero-tailpipe Emission Power Source: EPA Funding Limit = 60%
EPA Certified Remanufacture System: EPA Funding Limit = 100%
EPA Verified Highway Idle Reduction Technologies when combined with new or previously installed exhaust after-
treatment retrofit: EPA Funding Limit = 100%
EPA Verified Highway Idle Reduction Technologies without new exhaust after-treatment retrofit: EPA Funding Limit
= 25%
EPA Verified Locomotive Idle Reduction Technologies: EPA Funding Limit = 40%
EPA Verified Marine Shore Connection Systems: EPA Funding Limit = 25%
EPA Verified Electrified Parking Space Technologies: EPA Funding Limit = 30%
EPA Verified Exhaust After-treatment Retrofits: EPA Funding Limit = 100%
EPA Verified Engine Upgrade Retrofits: EPA Funding Limit =100%
EPA Verified Hybrid Retrofit Systems: EPA Funding Limit: 60%
EPA Verified Fuel and Additive Retrofits when combined with new retrofit, upgrade, or replacement: EPA Funding
Limit = Cost differential between conventional diesel fuel
EPA Verified Aerodynamics and Low Rolling Resistance Tires when combined with new exhaust after-treatment
retrofit: EPA Funding Limit = 100%
Alternative Fuel Conversion: EPA Funding Limit = 40%
The eligible acquisition cost for equipment means the net invoice price of the equipment, including the cost of any
modifications, attachments, accessories, or auxiliary apparatus necessary to make it usable for the purpose for which it is
acquired. Ancillary charges, such as taxes, duty, protective in transit insurance and freight may be included in or excluded
from the acquisition cost in accordance with the non-Federal entity's regular accounting practices.
d. Equipment Disposition
State recipients must use, manage, and dispose of equipment acquired by the State under this award in accordance with
State laws and procedures.
e. Program Income
In accordance with 2 CFR Part 200.307(e)(2) and 2 CFR 1500.8(b), the recipient is hereby authorized to retain program
income earned during the project period.
The program income shall be used in one of the following ways:

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(a) Added to funds committed to the project by EPA and used for the purposes and under the conditions of the
assistance agreement.
(b) Used to finance the non-Federal share of the project or program.
The recipient must provide as part of its Final performance report, a description of how program income is being used.
Further, a report on the amount of program income earned during the award period must be submitted with the
Final Federal Financial Report, Standard Form 425.
f. Use of Logos
If the EPA logo is appearing along with logos from other participating entities on websites, outreach materials, or reports, it
must not be prominently displayed to imply that any of the recipient or subrecipient’s activities are being conducted by the
EPA. Instead, the EPA logo should be accompanied with a statement indicating that the [Insert Recipient or subrecipient
NAME] received financial support from the EPA under an Assistance Agreement. More information is available
at: https://www.epa.gov/stylebook/using-epa-seal-and-logo#policy.
g. Paperwork Reduction Act
Notwithstanding any references to collection of information in the recipient’s application or proposal for EPA funding, the
scope of work for this cooperative agreement does not include a survey or other information collection of identical
information from 10 or more parties. No EPA funds (directly paid by EPA or from the recipient’s cost share) may be used
for the design or administration of such an information collection, and EPA personnel may not participate in such activities.
Reasonable costs for analyzing independently collected information and publishing the results of such information
collections are allowable to the extent authorized in the EPA approved budget for this agreement.
h. Final Approved Workplan and Modifications
Recipient agrees to carry out the project in accordance with the final approved workplan. Recipients are required to report
deviations from budget or project scope or objective, and must request prior written approval from EPA:
For any change in the scope or objective of the project or program (even if there is no associated budget revision
requiring prior written approval);
For any change in a key person specified in the application or workplan;
For the disengagement from the project for more than three months, or a 25% reduction in time devoted to the
project, by the approved project director or principal investigator;
For the inclusion of costs that require prior approval in accordance with 2 C.F.R. Part 200 Subpart E—Cost
Principles or 48 CFR part 31, “Contract Cost Principles and Procedures,” as applicable;
For the transfer of funds budgeted for participant support costs as defined in 2 CFR Section 200.1 Definitions to
other categories of expense; and/or
Unless described in the final approved workplan and budget:
For the subawarding, transferring or contracting out of any work under the award;
For changes in the approved cost-sharing or matching provided by the recipient; or

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When the need arises for additional Federal funds to complete the project.
Proposed modifications to the approved workplan or budget, including additions, deletions, or changes in the schedule,
shall be submitted in a timely manner to the EPA Project Officer for approval. Depending on the type or scope of changes,
a formal amendment to the award may be necessary. Major project modifications which include changes to the approved
types and number of affected vehicles, engines, or equipment, or the approved types of emission reduction technologies to
be implemented, or to the approved project location(s) may not be allowed.
i. For-Profit Sub-Recipients
In addition to the EPA General Term and Condition “Establishing and Managing Subawards”, the recipient (i.e. “pass-
through entity”) agrees to require that for-profit subrecipients comply with Subparts A through F of the Uniform Grant
Guidance (2 CFR Part 200) and the Federal cost principles applicable to for-profit entities located at 48 CFR Part 31, with
the exception of the method of payment to for-profit subrecipients must be “reimbursement” rather than “advance”. Pass-
through entities must obtain documentation that the for-profit subrecipient has incurred eligible and allowable costs prior to
releasing EPA funds to the subrecipient.
j. Rebates
Rebates, subsidies, and similar one-time, lump-sum payments to program beneficiaries for the purchase of eligible
emissions control technologies and vehicle replacements are eligible participant support costs under this award, when the
program beneficiary rather than the recipient owns the equipment. Engine replacements, marine and locomotive shore
power projects, and most electrified parking space technology projects are not eligible as participant support costs.
Rebates can only fund a participating fleet owner’s equipment purchase and installation costs (i.e. parts and labor, including
costs incurred to scrap the existing vehicle); if a participating fleet owner requires funding for project administration, travel,
extensive design/engineering, construction, etc., in order to carry out the project a subaward is the more appropriate option.
Questions regarding the use of rebates under this award should be directed to the EPA Project Officer. Rebates are not
considered subawards/subgrants as defined in 2 CFR Part 200 and should not be treated as such under this award.
Program beneficiaries may be individual owner/operators or private or public fleet owners, however program beneficiaries
cannot be employees, contractors or subrecipients of the DERA grant recipient. Rebates cannot exceed the applicable EPA
cost share limits as defined in the terms of this award agreement. Participant support costs for rebates must be supported
by guidelines issued by the recipient and approved by EPA’s Award Official or Grants Management Officer, defining the
rules, restrictions, timelines, programmatic requirements, reporting and transaction documentation requirements, eligibility,
and funding levels that rebate beneficiaries must follow. Additionally, there must be written agreement between recipient or
subrecipient and the program beneficiary that describes the activities that will be supported by rebates, subsidies or other
payments, specifies the amount of the rebate, subsidy or payment, identifies which party will have title to equipment (if any)
purchased with a rebate or subsidy, and establishes source documentation requirements to ensure proper accounting of
EPA funds and specifies any reporting required by the beneficiary.
EPA Guidance on Participant Support Costs (https://www.epa.gov/grants/rain-2018-g05-r1) specifies requirements for r
ebate program approval by Authorized EPA Officials. EPA’s Award Official or Grants Management Officer must approve
participant support costs on the basis of either a precise description of the participant support costs in the EPA approved
budget and work plan, or on a transaction-by-transaction basis. Should a DERA recipient decide to award participant
support costs that were not described in the approved work plan and budget the recipient must obtain prior written approval
from EPA’s Award Official or Grants Management Officer. Moreover, after a grant is awarded, should a recipient decide to
modify the amount approved (upwards or downwards) for participant support costs, prior written approval from EPA’s

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Award Official or Grants Management Officer is also required.
k. Procurement Procedures
The recipient must follow applicable procurement procedures. EPA will not be a party to these transactions. If EPA funds
are used to purchase goods or services, recipient agrees to compete the contracts for those goods and services and
conduct cost and price analyses to the extent required by the fair and open competition for procurement provisions of 2
CFR §§200.317 – .327. Approval of a funding application does not relieve recipients of their obligations to compete service
contracts and conduct cost and price analyses.
l. Project Eligibility Criteria
(a) Recipient agrees that funds under this award, including subawards/subgrants, cannot be used to upgrade engines,
vehicles, and equipment that do not meet the eligibility criteria defined in Table 4: Medium and Heavy-Duty Truck, Transit
Bus, and School Bus Project Eligibility, Table 5. Nonroad Engine Project Eligibility, Table 6: Marine Engine Project
Eligibility, and/or Table 7: Locomotive Engine Project Eligibility found in the 2023-2024 DERA State Grants Program Guide,
EPA-420-B-23-031.
(1) Drayage Vehicle Replacement Project Requirements: In addition to the applicable requirements for highway vehicles
described in (a) above, recipients replacing drayage vehicles are required to establish and document guidelines to ensure
that the scrapped vehicle has a history of operating on a frequent basis over the prior year as a drayage truck, defined as
any Class 8a and 8b in-use on-road vehicle with a gross weight rating (GVWR) of greater than 33,000 pounds operating on
or transgressing through port or intermodal rail yard property for the purpose of loading, unloading or transporting cargo,
such as containerized, bulk or break-bulk goods.
(b) Best Achievable Technology (BAT): Recipient agrees to submit a best achievable technology analysis to EPA for
approval before Tier 3 or Tier 4i vehicles, equipment, or engines can be purchased, as defined below.
(1) The analysis must be prepared by the engine manufacturer or installer.
(2) Using good engineering judgment, the engine manufacturer or installer must determine that no internal combustion
engine certified to Tier 4 is produced by any manufacturer with the appropriate physical or performance characteristics to
replace the existing engine in the equipment.
(3) If the engine manufacturer or installer determines that no internal combustion engine certified to Tier 4 is available with
the appropriate performance characteristics, explain why certified Tier 4 engines produced by them and other
manufacturers cannot be used as a replacement because they are not similar to the engine being replaced in terms of
power or speed.
(4) If there are available internal combustion engines with the appropriate performance characteristics but the engine
manufacturer or installer determines that no engine certified to Tier 4 is available with the appropriate physical
characteristics, explain why certified internal combustion engines produced by them and other manufacturers cannot be
used as a replacement because their weight or dimensions are substantially different than those of the engine being
replaced, or because they will not fit within the equipment’s engine compartment.
(5) In evaluating appropriate physical or performance characteristics, the engine manufacturer or installer may account for
compatibility with equipment components that would not otherwise be replaced when installing a new engine, including but
not limited to transmissions or reduction gears, drive shafts, cooling systems, operator controls, or electrical systems. If the
engine manufacturer or installer makes their determination on this basis, they should identify the equipment components

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that are incompatible with internal combustion engines certified to Tier 4 and explain how they are incompatible and why it
would be unreasonable to replace them.
(6) Identify the proposed Tier 3 or Tier 4i engines to be used and discuss the physical and performance characteristics of
the engines that will ensure compatibility with the existing equipment. Quantify proposed emission reductions, PM cost
effectiveness and NOx cost effectiveness for the proposed options.
(7) DERA project eligibility or approval does not supersede any regulatory requirements for equipment owners, operators,
manufactures, installers and others, including but not limited to 40 CFR §1068.240, §1042.615, and §1033.601.
(8) Costs for design and engineering analysis may be included in the project budget.
m. Ownership, Usage and Remaining Life Requirements
Recipient agrees that funds under this award, including subawards/subgrants, cannot be used to upgrade engines,
vehicles, and equipment that do not meet the following criteria:
(a) The existing vehicle, engine, or equipment must be fully operational. Operational equipment must be able to start, move,
and have all necessary parts to be operational.
(b) The participating fleet owner must currently own and operate the existing vehicle or equipment and have owned and
operated the vehicle during the two years prior to upgrade.
(c) The existing vehicle, engine, or equipment must have at least three years of remaining life at the time of upgrade.
Remaining life is the fleet owner’s estimate of the number of years until the unit would have been retired from service if the
unit were not being upgraded or scrapped because of the grant funding The remaining life estimate is the number of years
of operation remaining even if the unit were to be rebuilt or sold to another fleet. The remaining life estimate depends on the
current age and condition of the vehicle at the time of upgrade, as well as things like usage, maintenance, and climate.
(d) Highway Usage: The mileage of multiple units may be combined to reach the thresholds below where those units will be
scrapped and replaced with a single unit.
(1) Highway Engines: To be eligible for funding, the existing certified highway engine/vehicle must have
accumulated at least 7,000 miles/year during the two years prior to upgrade.
(2) Exception: A certified highway engine/vehicle being used in a predominately nonroad application (e.g., firetrucks
or utility trucks that idle for long periods to power an auxiliary apparatus) may use engine operating hours as defined
below in “nonroad usage” for eligibility purposes.
(e) Nonroad Usage: The engine operating hours of multiple units may be combined to reach the thresholds below where
those units will be scrapped and replaced with a single unit.
(1) Agricultural Pumps: To be eligible for funding, agricultural pumps must operate at least 250 hours/year during
the two years prior to upgrade.
(2) All Other Nonroad Engines: To be eligible for funding, nonroad engines must operate at least 500 hours/year
during the two years prior to upgrade.
(3) Exception: A nonroad engine/vehicle being used in a predominately highway application may use vehicle
mileage as defined above in “highway usage” for eligibility purposes.

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(f) Locomotive and Marine Usage: The mileage of multiple units may be combined to reach the thresholds below where
those units will be scrapped and replaced with a single unit. To be eligible for funding the existing locomotive and marine
engines must operate at least 1,000 hours/year during the two years prior to upgrade.
n. Eligible and Ineligible Project Costs
(a) Project Implementation Costs: Eligible project costs include those costs directly related to the implementation,
management, and oversight of the project, including recipient and subrecipient personnel and benefits, equipment,
contractual, travel, supplies, subgrants and rebates, and indirect costs.
(b) Vehicles, Engines, and Equipment: Eligible project costs include the purchase price of eligible vehicles, engines and
equipment.
(c) Vehicle and Equipment Replacement Projects
(1) To be eligible for funding, replacement highway vehicles must be certified by EPA and/or the California Air
Resource Board (CARB) to meet applicable emission standards. To be eligible for funding, replacement nonroad
equipment, locomotives and marine vessels must be powered by engines certified to EPA and/or CARB emission
standards. However, zero tailpipe emissions nonroad equipment, marine vessels, and locomotives do not require
EPA or CARB certification. EPA’s annual certification data for vehicles, engines, and equipment may be found at
EPA’s Annual Certification Data for Vehicles, Engines, and Equipment website. EPA’s engine emission standards
may be found at EPA’s All EPA Emission Standards website. Engines certified by CARB may be found by searching
CARB’s Executive Orders for Heavy-duty Engines and Vehicles, found on CARB’s New Vehicle and Engine
Certification website. Please see the Low NOx Certified Engines Factsheet found on the DERA State Grants
website for guidance on identifying engines certified to meet CARB’s Optional Low NOx Standards.
(2) Nonroad, Locomotive, and Marine: Horsepower increases of more than 40 percent require specific approval by
EPA prior to purchase, and the applicant may be required to pay the additional costs associated with the higher
horsepower equipment.
(3) Highway: The replacement vehicle must not be in a larger weight class than the existing vehicle. Exceptions may
be granted for vocational purposes and require specific EPA approval prior to purchase.
(4) The replacement vehicle, engine, or equipment must be of similar type and continue to perform similar function
and operation as the vehicle, engine, or equipment that is being replaced. The cost of optional components or “add-
ons” that significantly increase the cost of the vehicle may not be eligible for funding under the grant.
(d) Battery Electric Powered Replacement Projects
(1) Eligible costs include the purchase and installation of one charging unit per vehicle, including the unit and
charging cable, mount and/or pedestal.
(2) Funding under this award cannot be used for power distribution to the pedestal, electrical panels and their
installation, upgrades to existing electrical panels or electrical service, transformers and their installation,
wiring/conduit and its installation, electricity, operation and maintenance, stationary energy storage systems that
power the equipment (e.g. batteries) and their installation, and on-site power generation systems that power the
equipment (e.g., solar and wind power generation equipment) and their installation.
(e) Grid Electric Powered Replacement Projects

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(1) Eligible costs include the purchase and installation of certain equipment required for power delivery directly
related to the new equipment. Eligible costs include design and engineering, electrical panels, upgrades to existing
electrical panels or electrical service, transformers, wiring/conduit, and installation.
(2) Funding under this award cannot be used for power distribution to the property line, electricity, operation and
maintenance, stationary energy storage systems that power the equipment (e.g., batteries) and their installation,
and on-site power generation systems that power the equipment (e.g., solar and wind power generation equipment)
and their installation.
(f) Engine Replacement Projects
(1) To be eligible for funding, replacement highway, nonroad, marine and locomotive engines must be certified to
EPA and/or CARB emission standards. However, nonroad engine, locomotive engine, and marine engine zero
tailpipe emissions engine replacements do not require EPA or CARB certification. Please reference EPA’s Annual
Certification Data for Vehicles, Engines, and Equipment, EPA’s engine Emission Standards, and CARB’s Executive
Orders for Heavy-duty Engines and Vehicles. Please see DERA’s Low-NOx Engine Factsheet for guidance on
identifying engines certified to meet CARB’s Optional Low NOx Standards.
(2) Eligible costs include equipment and parts included in the certified engine configuration and/or are required to
ensure the effective installation and functioning of the new technology such as design and engineering, parts and
materials, and installation.
(3) For engine replacement with battery, fuel cell, and grid electric, eligible costs include electric motors, electric
inverters, battery assembly, direct drive transmission/gearbox, regenerative braking system, vehicle control/central
processing unit, vehicle instrument cluster, hydrogen storage tank, hydrogen management system and fuel cell
stack assemblies.
(4) Funding under this award cannot be used to replace cabs, axles, paint, brakes, or mufflers.
(5) Nonroad: Horsepower increases of more than 40 percent require specific approval by EPA prior to purchase,
and the recipient may be required to pay the additional costs associated with the higher horsepower equipment.
(6) Highway: The replacement vehicle must not be in a larger weight class than the existing vehicle. Exceptions may
be granted for vocational purposes and require specific EPA approval prior to purchase.
(g) Engine Remanufacture System Projects
(1) To be eligible for funding, remanufacture systems for locomotives and marine engines must be certified by EPA
at the time of acquisition. The list of certified remanufacture systems are available at Annual Certification Data for
Vehicles, Engines, and Equipment and additional information on remanufacture systems is available at EPA’s
Marine Remanufacturing Program: Maintaining Compliance when Rebuilding Category 1 and 2 Marine Diesel
Engines.
(2) Eligible costs include the associated labor costs for installation of the system.
(3) Funding under this award cannot be used for the entire cost of an engine rebuild if a certified remanufacture
system is applied at the time of rebuild; the funds may only be used for the cost of the certified remanufacture
system and associated labor costs for installation of the kit.

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(h) Idle Reduction Projects
(1) Eligible costs for idle reduction technologies that are installed on the vehicle can include the associated labor
costs for installation of the system.
(2) To be eligible for funding technologies must be on EPA’s SmartWay Verified Technologies list at the time of
acquisition.
(i) Electrified Parking Space Projects
(1) Eligible costs include the purchase and installation of certain equipment required for power delivery directly
related to the new equipment such as design and engineering, electrical panels, upgrades to existing electrical
panels or electrical service, transformers, wiring/conduit, and installation.
(2) Funding under this award cannot be used for power distribution to the property line, electricity, operation and
maintenance, stationary energy storage systems that power the equipment (e.g., batteries) and their installation,
and on-site power generation systems that power the equipment (e.g., solar and wind power generation equipment)
and their installation.
(j) Locomotive Shore Power Connection Projects
(1) Eligible costs include the purchase and installation of certain equipment required for power delivery directly
related to the new equipment such as design and engineering, electrical panels, upgrades to existing electrical
panels or electrical service, transformers, wiring/conduit, and installation.
(2) Funding under this program cannot be used for power distribution to the property line, electricity, operation and
maintenance, stationary energy storage systems that power the equipment (e.g., batteries) and their installation,
and on-site power generation systems that power the equipment (e.g., solar and wind power generation equipment)
and their installation.
(3) Recipient agrees that funds under this award cannot be used for locomotive shore connection system projects
that are expected to be utilized less than 1,000 hours per year.
(k) Marine Shore Power Connection Projects
(1) Funding may support new installations, or expansions of existing shore power systems
(2) Recipients must attest to compliance with international shore power design standards (IEC/ISO/IEEE 80005-
1:2019/ AMD 1:2022 High Voltage Shore Connection Systems or the I IEC/ISO/IEEE 80005-1:2019/AMD 1:2022
Low Voltage Shore Connection Systems).
(3) Shore power connection systems must be supplied with electricity from the local utility grid.
(4) Demonstration that the proposed system has the capacity, demand, and commitment to be used for more than
1,000 megawatt-hours per year. Smaller projects may be considered and requires specific EPA approval prior to
purchase and installation.
(5) Due to the unique nature and custom design of marine shore power connection systems, EPA must review and
approve marine shore power connection systems on a case-by-case basis. The final design of the marine shore
power connection system requires specific EPA approval prior to purchase and installation.

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(6) Recipients must commit to reporting usage information to EPA for five years after the system is operational.
(7) Shore power capable vessels docked at a berth where shore power is available must be required to turn off the
vessel’s engines and use the shore power system, with limited exceptions for extreme circumstances.
(8) Eligible costs include the purchase and installation of the shore side equipment and certain equipment required
for power delivery directly related to the new equipment such as design and engineering, cables, cable
management systems, shore power coupler systems, distribution control systems, grounding switches, service
breakers, capacitor banks, electrical panels, upgrades to existing electrical panels or electrical service,
transformers, wiring/conduit, and installation.
(9) Funding under this award cannot be used for shipside modifications to accept shore-based electrical power,
power distribution to the property line, electricity, operation and maintenance, stationary energy storage systems
that power the equipment (e.g., batteries) and their installation, and on-site power generation systems that power
the equipment (e.g., solar and wind power generation equipment) and their installation.
(l) Retrofit Projects
(1) Eligible costs include the associated labor costs for installation of the system, design and engineering, DPF
cleaning machines, extra DPFs for maintenance rotation, replacement CCV filters, and filter cleaning contracts
during grant open period.
(2) To be eligible for funding, verified retrofit technologies must be on EPA’s or CARB’s Verified Technologies lists
at the time of acquisition, must be used only for the vehicle/engine application specified on the lists, and must meet
any applicable verification criteria.
(3) EPA will not fund stand-alone cleaner fuel/additive use. To be eligible for funding, verified fuels and additives
must be for new or expanded use, and must be used in combination, and on the same vehicle, with a new eligible
verified engine retrofit or an eligible engine upgrade or an eligible certified engine, vehicle, or equipment
replacement funded under this award.
(m) Alternative Fuel Vehicle Conversion Projects
(1) Eligible costs include the associated labor costs for installation of the system.
(2) To be eligible for funding, alternative fuel conversion systems must be certified by EPA and/or CARB or must be
approved by EPA for Intermediate-Age engines. See EPA’s lists of “Certified Conversion Systems for New Vehicles
and Engines” and “Conversion Systems for Intermediate-Age Vehicles and Engines” and CARB’s list of “Approved
Alternate Fuel Retrofit Systems.”
(3) To be eligible for funding, conversion systems for engine model years 2006 and earlier must achieve at least a
30% NOx reduction and a 10% PM reduction from the applicable certified emission standards of the original engine.
(4) To be eligible for funding, conversion systems for engine model years 2007 and newer must achieve at least a
20% NOx reduction with no increase in PM from the applicable certified emission standards of the original engine.
(n) Aerodynamics and Low Rolling Resistance Tire Projects
(1) Eligible costs include the associated labor costs for installation. Eligible costs can include single-wide wheels
only when a fleet is retrofitting from standard dual tires to SmartWay-verified single-wide low rolling resistance tires.

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(2) Funding under this program cannot be used to replace steel wheels with aluminum wheels of the same
configuration (singles or duals).
(3) To be eligible for funding, technologies must be on EPA’s verified aerodynamic technologies list and verified list
for low rolling resistance new and retread tire technologies list at the time of acquisition, must be used only for the
application specified on the lists, and must meet any applicable verification criteria.
(4) EPA will not fund stand-alone aerodynamic technologies or low rolling resistance tires. To be eligible for funding,
these technologies must be combined on the same vehicle with the new installation of an exhaust after-treatment
retrofit funded under this award.
(o) Stationary Energy Storage and Power Generation Projects: Funding under this program, including matching funds,
cannot be used for stationary energy storage systems that power the equipment (e.g., batteries) and their installation or on-
site power generation systems that power the equipment (e.g., solar and wind power generation equipment) and their
installation.
(p) Replacement Technologies: Funding under this program cannot be used for the purchase of engine retrofits, idle
reduction technologies, low rolling resistance tires or advanced aerodynamic technologies if similar technologies have
previously been installed on the truck or trailer.
(q) Mechanic and Driver Training: Eligible project costs can include mechanic/driver training related to the maintenance and
operation of new technologies.
(r) Truck DPF Maintenance: Eligible costs for truck replacement projects include the required/scheduled vehicle
maintenance, as specified in the owner’s manual, which is necessary to meet the warranty requirements for diesel
particulate filters installed on trucks. Funding for required maintenance is available for the duration of the project period.
(s) Federal Matching Funds: Recipient agrees that funds under this award cannot be used for matching funds for other
federal grants unless expressly authorized by statute. Likewise, recipient may not use federal funds as cost-share funds for
the DERA State Grants, including funds received under EPA’s DERA National Grants program, DERA Tribal and Insular
Area Grants, DERA School Bus Rebates, and federal Supplemental Environmental Project (SEP) funds. This restriction
does not apply to program income earned under this program and used to finance the non-Federal share of the recipient’s
project or program.
(t) Expenses Incurred Prior to the Project Period: Funding under this program cannot be used to cover expenses incurred
prior to the project period set forth in any assistance agreement funded under this program, except for eligible pre-award
costs as defined in 2 CFR 200.458 and as authorized by 2 CFR 200.309 and 2 CFR 1500.8.
(u) Emissions Testing: Recipient agrees that funds under this award cannot be used for emissions testing and/or air
monitoring activities (including the acquisition cost of emissions testing equipment), research and development, or
technology demonstration, commercialization, certification, or verification.
(v) Fueling Infrastructure: Funding under this program cannot be used for fueling infrastructure, such as that used for the
production and/or distribution of biodiesel, compressed natural gas, liquefied natural gas, and or other fuels.
(w) Mandated Measures: Funding under this program cannot be used to fund the costs of emissions reductions that are
mandated under federal law pursuant to 42 U.S.C. 16132(d)(2).
(x) Leasing: Recipient agrees that all vehicles, engines, and equipment purchased with funds under this award will be

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purchased, in full, before the end of the project period. Extensions will not be granted for the purpose of extending
payments on purchases.
o. Buy America Requirements
Certain projects under this competition are subject to the Buy America Sourcing requirements under the Build America, Buy
America (BABA) provisions of the Infrastructure Investment and Jobs Act (IIJA) (P.L. 117-58, §§70911-70917) when using
Federal funds for the purchase of goods, products, and materials on any form of construction, alteration, maintenance, or
repair of infrastructure in the United States. The Buy America preference applies to all of the iron and steel, manufactured
products, and construction materials used for the infrastructure project under an award for identified EPA financial
assistance funding programs. Please consider this information when preparing project and budget information.
These sourcing requirements require that all iron, steel, manufactured products, and construction materials used in
Federally funded infrastructure projects must be “produced in the United States”, as defined in P.L. 117-58 § 70912(6). The
recipient must implement these requirements in its procurements, and this article must flow down to all subawards and
contracts at any tier. For legal definitions and sourcing requirements, the recipient must consult EPA’s Build America, Buy
America website.
Under BABA, a Buy America preference only applies to articles, materials, and supplies that are consumed in, incorporated
into, or affixed to an infrastructure project. On-highway vehicles/engines and non-road engines/equipment funded by this
program are not considered “infrastructure.” The following potentially eligible projects under this competition meet the
definition of “infrastructure” and are subject to Buy America preference requirements under BABA:
• Structures, facilities, and equipment that generate, transport, and distribute energy - including electric vehicle (EV)
charging equipment. (While EV charging equipment constitutes infrastructure, recipients should note that EPA
issued a temporary, time-limited, public-interest product waiver for electric vehicle chargers in July 2023. See
Electronic Vehicle Chargers Product Waiver of Section 70914(a) of P. L. 117-58, Build America, Buy America Act,
2021 for U.S. Environmental Protection Agency Financial Assistance Awards, available at
https://www.epa.gov/cwsrf/build-america-buy-america-baba-approved-waivers.)
• Any other permanent public structure that meets the infrastructure definition in M-22-11. Questions regarding
BABA applicability to specific projects should be submitted to DERA@epa.gov.
When supported by rationale provided in IIJA §70914, the recipient may submit a request for a BABA waiver to EPA. If
selected for funding, the recipient should request guidance on submitting a BABA waiver request to EPA from the EPA
Project Officer. A list of approved EPA waivers is available on the Build America, Buy America website. Please continue to
monitor this website for further BABA guidance or any future EPA-wide waivers that may impact the DERA State Grants
program.
In additional to BABA requirements, all procurements under grants may be subject to the domestic preference provisions of
2 CFR 200.322. See “Build America, Buy America” clause in EPA Solicitation Clauses.
p. Scrappage
The vehicle, equipment, and/or engine being replaced must be scrapped or rendered permanently disabled within ninety
(90) days of being replaced.
(a) Cutting a three-inch-by-three-inch hole in the engine block (the part of the engine containing the cylinders) is the
preferred scrapping method. Other acceptable scrappage methods may be considered and require prior EPA approval.

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(b) Disabling the chassis may be completed by cutting through the frame/frame rails on each side at a point located
between the front and rear axles. Other acceptable scrappage methods may be considered and require prior written
approval from the EPA project officer.
(c) 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 disabled engines, disabled vehicles, disabled equipment, or parts
are to be sold, program income requirements apply.
(d) Alternative Scrappage Options:
(1) If a 2010 engine model year (EMY) or newer highway vehicle is replaced, the 2010 EMY or newer vehicle may
be retained or sold if the 2010 EMY or newer vehicle will replace a pre-2009 EMY vehicle, and the pre-2009 EMY
vehicle will be scrapped. It is preferred that the scrapped unit currently operates within the same project location(s)
as the 2010 EMY or newer vehicle currently operates, however alternative scenarios will be considered. All existing
and replacement vehicles are subject to the funding restrictions in this section of the program. All equipment must
operate within the United States. Under this scenario, a detailed scrappage plan must be submitted and requires
prior EPA approval.
(2) If a Tier 2, Tier 3, or Tier 4 locomotive, marine, or nonroad vehicle, equipment and/or engine is replaced, the
units may be retained or sold if they will replace a similar, lower Tiered unit, and the lower Tiered unit will be
scrapped. It is preferred that the scrapped unit currently operates within the same project location(s) as the original
Tier 2, 3, or 4 unit currently operates, however alternative scenarios will be considered. All existing and replacement
equipment are subject to the funding restrictions in this section of the program guide. All equipment must operate
within the United States. Under this scenario, a detailed scrappage plan must be submitted and requires prior EPA
approval.
(e) For tire replacement projects, the original tires must be scrapped according to local or state requirements.
(f) Evidence of appropriate disposal is required in a final assistance agreement report submitted to EPA. Participating fleet
owners must attest to the appropriate disposal in a signed scrappage statement. A sample scrappage statement may be
found on the DERA State Grants website. The scrappage statement must include: Vehicle owner’s name and address;
Vehicle make, vehicle model, vehicle model year, VIN, odometer reading or usage meter reading, engine make, engine
model, engine model year, engine horsepower, engine ID or serial number, as applicable; Name, address, and signature of
dismantler; Date engine and/or vehicle/equipment was scrapped; Statement attesting to scrappage of vehicle/engine as
defined above; Signature of participating fleet owner. Digital photos as follows: Side profile of the vehicle, prior to disabling;
VIN tag or equipment serial number; Engine label (showing serial number, engine family number, and engine model year);
Engine block, prior to hole; Engine block, after hole; Cut frame rails or other cut structural components, as applicable;
Others, as needed.
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