Guidance document on Off-Road Compression-Ignition Engine Emission Regulations: chapter 6

F. Emission standards and requirements

F.1 Introduction to emission standards

The regulations set different emission standards and provisions for different types and power categories of engines. The following list presents a summary of the various emissions standards and provisions, as well as the corresponding sections of the regulations where these can be found:

1. emission control systems and defeat devices (section 9 of the regulations)
2. exhaust emission standards (section 10 of the regulations)
3. crankcase and smoke emission standards (section 10 of the regulations)
4. adjustable parameters (section 11 of the regulations)
5. transportation refrigeration unit alternate emission standards (section 11.1 of the regulations)
6. replacement engines (section 12 of the regulations)
7. transition engine emission standards (section 13 of the regulations)

F.2 What are the exhaust emission standards?

The exhaust emission standards, specified in section 10 of the regulations, establish maximum levels of carbon monoxide (CO), particulate matter (PM) and either combined or separate non-methane hydrocarbon (NMHC) and oxides of nitrogen (NO_x). The exhaust emission standards are divided into classes based on engine power. The standards are defined in terms of the mass of the pollutant per unit of engine work, expressed in grams per kilowatt-hours.

The standards are aligned with those of the EPA, and the regulations incorporate by reference sections 89.112, and 89.120 as well as sections 1039.101, 1039.102, 1039.105 and 1039.107 of the Code of Federal Regulations (CFR).

Tables 2 to 5 provide a summary of the exhaust emission standards.

Table 4 notes

^d Some of the Tier 4 standards apply for the interim Tier 4 standards

^e For the 2011 model year, the Tier 3 standards apply

Notes for tables 2 to 5:

1. All engines except hand-start, air-cooled, direct injection.
2. Hand-start, air-cooled, direct injection engines.
3. All except gen-set drive engines.
4. Gen-set drive engines.
5. Transient testing and NTE provisions for engines below 56 kW are delayed until 2013 in accordance with CFR 1039.102(a)(1)(i) and 1039.102(g)(1).

F.3 Are there evaporative emission standards?

Yes. There are evaporative emission standards for engines fuelled with a volatile liquid fuel (that is, not diesel fuel) described in the following subparagraphs of the regulations:

• 10(1)(b)(iv) for the 2012 to 2014 model years
• 10(1)(c)(iv) for the model year of 2015 or later

F.4 Are there crankcase and smoke emission standards?

Yes. The crankcase and smoke emission standards set limits to the emissions coming from the crankcase and the smoke that is emitted from the engine. These limits are described in the following subparagraphs of the regulations:

• 10(1)(a)(ii) and (iii) for the 2006 to 2011 model years
• 10(1)(b)(ii) and (iii) for the 2012 to 2014 model years
• 10(1)(c)(ii) and (iii) for the 2015 and beyond model years

F.5 Are there alternate emissions standards for transportation refrigeration units?

For a limited period of time, engines used to power a transportation refrigeration unit (TRU), have alternate standards. This applies to the 2012 model year for engines with a gross power of less than 37kW and the 2012 to 2015 model years for engines with a gross power between 37 and 56kW. These standards are set in new section 11.1 of the regulations. In order to make use of these alternate standards, engines used in TRUs must be labelled. This label must meet the requirements of labels under section 8 of the regulations and provide the following information:

A Canadian label that includes:

1. a statement, in both official languages, that the engine is to be used only in a transportation refrigeration unit. An example of this statement could read, “this engine is to be used only in a transportation refrigeration unit under section 11 of the Off-Road Compression-Ignition Engine Emission Regulations”;
2. the model year of the engine
3. the date of manufacture of the engine
4. the gross power category of the engine
5. an identification of the emission control system (for example, DPF)
6. the name of the manufacturer

Alternatively, the label may be the United States emission control information label referred to in section 645(d)(1), subpart G, of CFR 1039.

F.6 What are the transition engine provisions and standards?

The transition engine provisions in section 13 of the regulations allow, for certain periods of time, the import and manufacture of engines meeting either of the previous-tier standards (for example, Tier 2 and Tier 3 standards or the interim Tier 4 standards) if they are installed in or on a machine before the end of the set time frames. The standards and time frames are based on the United States flex engine provisions found in CFR 1039.625.

F.6.1 What are the transition engine standards and time frames?

The standards depend on the maximum power of the engine as well as the time frames. Table 6 provides an outline of the standards referred to in subsection 13(2).

For example, an engine in the 75 kW - 130 kW power category must meet the final Tier 4 standards beginning with the 2014 model year. The transition engine provisions would allow the import or manufacture of these engines meeting Tier 3 standards up until December 31, 2018. Alternatively, engines in this power category may meet the interim Tier 4 standards until December 31, 2020. Prior to January 1, 2014, engines in this power category that meet the interim Tier 4 standards would be considered “compliant” engines and not transition engines.

F.6.2 Do transition engines need to be labelled?

Yes. See G.7 and Appendix VI on labelling requirements.

F.6.3 Is there a limit to the number of transition engines I can import or manufacture?

No. There is no limit to the number of transition engines that can be imported or manufactured as long as the engine is installed in or on a machine before the end of the time frame corresponding to the engine’s power category.

F.6.4 Does Environment Canada have any expectations on the use of the transition engine provisions?

Yes. Environment Canada expects, and has been assured by engine and machine manufacturers, that:

1. the proportion of transition engines in Canada will be similar to the proportion of flex engines in the U.S.
2. the same machine models that are offered in the United States will be offered for sale in Canada during the same time frames. For example, if only a Tier 4 machine (that is, a bulldozer) is offered in the U.S., only the same Tier 4 model will be offered in Canada (that is, the equivalent Tier 3 bulldozer will not be offered)

Environment Canada will be monitoring the use of the transition engine provisions through annual reporting and will be comparing the use of the provisions with the flex engine provisions in the United States. If the use of the transition engine provisions, in comparison to their use in the United States, becomes excessive, Environment Canada will consider modifying the provisions in the future.

F.6.5 Are there reporting requirements for transition engines?

Yes. If you import or are a Canadian engine manufacturer of transition engines or machines containing a transition engine, you must submit an annual report as set in section 13.1 of the regulations. The report will list the number and type of transition engines you have imported or manufactured in the preceding calendar year. Note that the report must be submitted to Environment Canada within 90 days after the end of the calendar year. The reporting requirements require the following company information:

1. the name, street address and, if different, mailing address
2. the business number assigned by the Minister of National Revenue

For each transition engine that is not installed in or on a machine (that is, a loose engine) intended for use or sale in Canada:

1. the name of the manufacturer
2. the power category
3. the model year
4. the emission standard referred to in subsection 13(2) of the regulations according to which the engine was manufactured; and
5. a statement as to whether or not the engine will be installed in a machine model that is sold concurrently in Canada and in the United States (see G.5).

For transition engines already installed in or on a machine and intended for sale or use in Canada:

1. the name of the engine manufacturer
2. the power category
3. the model year
4. the emission standard referred to in subsection 13(2) of the Regulations according to which the engine was manufactured
5. a statement as to whether or not at least one machine of the same model as the one in which the engine is installed is sold concurrently in Canada and in the United States (see G.5)

A company must also provide the following with respect to any engine(s) the company imports or manufactures (whether installed in or on a machine or not) that meets the standards (an interim Tier 4 or Tier 4 engine, a transportation refrigeration unit engine, etc.):

1. the name of the engine manufacturer
2. the gross power or gross power category
3. the model year
4. the emission standard according to which the engine was manufactured
5. a statement as to whether or not the engine is installed in or on a machine

Note, for the above reports, if more than one engine shares the same characteristics, instead of repeating the information for each engine, provide the information and number of engines to which the information applies. For example, if 10 loose transition engines have the same manufacturer, power category, model year, emission standard and statement, provide the information once indicating that it applies to 10 engines.

F.6.6 What is meant by “installed” in a machine as referenced in paragraph 13(1)(b)?

Installed means that the engine is permanently placed in or on a machine and the machine is able to operate.

F.7 What are the emission requirements for engines that I plan on exporting outside Canada?

Under paragraph 155(1)(b) of the act, an engine in transit through Canada, from a place outside Canada to another place outside Canada, does not have to comply with the requirements of the regulations, if it is accompanied by written evidence, such as an invoice, that the engine will not be sold for use or be used in Canada. This requirement is also found in subsection 5(2) of the regulations.

F.8 What happens if I import a certain number of engines, and I do not know at the time of import if they will be exported?

In this case, since you may use these engines or sell them for use in Canada, you should import them as if they were to remain in Canada, meaning they must be in compliance with the regulations. If you are importing transition engines, you will be able to exclude any engines you have exported in your annual report.

F.9 Is an engine covered by an EPA certificate of conformity and sold concurrently in Canada and the United States required to meet the Canadian emission standards?

Under subsection 14(1) of the regulations, an engine covered by an EPA certificate of conformity and sold concurrently in Canada and the United States must conform to the standards set out in the EPA certificate of conformity instead of the standards set out in sections 9 to 11 of the regulations. All other requirements of the regulations (evidence of conformity, importation documents, notice of defect, etc.) must also be met.

In some cases, it is possible for the EPA to issue a certificate of conformity for an engine with emission levels above the applicable standard under the United States EPA averaging, banking and trading program. Engines certified under the EPA averaging provisions may not exceed a prescribed maximum emission level.

F.10 Engine in transit through Canada, from a place outside Canada to another place outside Canada

Under paragraph 155(1)(b) of the act, an engine in transit through Canada, from a place outside Canada to another place outside Canada, does not have to comply with the requirements of the regulations, if it is accompanied by written evidence, such as an invoice, that the engine will not be sold for use or be used in Canada.

F.11 Engine imported exclusively for use by a visitor to Canada

Under paragraph 155(1)(c) of the act, an engine imported exclusively for use by a visitor to Canada or by a person passing through Canada to another country does not have to meet the requirements of the regulations.