Guidance document on Off-Road Compression-Ignition Engine Emission Regulations: appendix E

Appendix V: technical information requirements

Technical information requirements referred in G.4.2.2. The technical information required is equivalent to that specified in paragraph 16(c) of the regulations. It is based on information that is equivalent to the records submitted to the Environmental Protection Agency (EPA) in support of the application for the issuance of the EPA certificate. Note the definitions provided in following the table.

Section 1: correspondence and communications
Requirements Comments
Company name Company that is submitting the evidence of conformity.
Names, phone numbers, fax numbers, email addresses of all persons authorized to be in contact with staff from the Transportation Division of Environment Canada Identify person(s) both within and outside the company that Environment Canada may contact with regard to the application. Please identify areas of responsibility for each person listed, if applicable.
Carry-over When a company submits information for an engine family for which an identical application was received and acknowledged by Environment Canada the previous year, the company should notify Environment Canada that the application is a direct carry-over to facilitate and accelerate the process.
Section 2: engine family information
Requirements Comments
Engine family Alpha numeric code to identify the engine family for the application being submitted.

Engine family code should be following the code system shown in Appendix VII.
Engine model year Identify the engine model year. See C.5.
Estimated production period Provide the estimated production period characterizing the engine model year.
Machine types If applicable, provide a tabular list of all types of machines (for example, crane, loaders, tractor, dozer, pump, compressor, generator set), model year(s), make(s) and model(s) equipped with an engine from the engine family covered by the application.
Engine tier level Identify the tier level of the engine family covered by the application (for example, tier 2, tier 3, interim tier 4, tier 4).
Applicable useful life Identify the applicable useful life of the engine family (for example, 5 years / 3000 hours, 10 years / 8000 hours).

See definition below.
Combustion cycle for example, diesel cycle - 4 stroke, diesel cycle - 2 stroke
Engine configuration for example, V8, L6
Fuel type for example, low sulfur diesel, ultra low sulfur diesel
Fuel system type for example, electronic direct injection, mechanical direct injection
Method of aspiration for example, turbo air to air (TAA), natural aspiration, turbo air to water (TAW), single stage turbo
Turbocharger type If applicable (for example, variable geometry turbocharger (VGT), fixed waste gate)
Aftercooling If applicable (for example, air to air, air to water)
Emission control system List all emission control systems and after treatment devices (for example, electronic control, engine modification, smoke puff limiter, exhaust gas recirculation (EGR), passive diesel particulate filter (DPF), Aactive DPF, NOx absorber, selective catalytic reduction (SCR), diesel oxidation catalyst (DOC), catalyst, lean NOx).
Emission control system statement 1 Provide a written statement to confirm whether the emission control system, during its operation or function, releases a substance that causes air pollution and that would not have been released if the system were not installed.
Emission control system statement 2 Provide a written statement to confirm whether the emission control system, during its operation, function or malfunction, makes the engine or the machine in which the engine is installed unsafe, or endangers persons or property near the engine or machine.
Auxiliary emission control devices (AECD) including the sensed and controlled parameters If applicable, list all auxiliary emission control devices (AECD) installed on any applicable engines and include the sensed and controlled parameters (for example, turbocharger protection, EGR cooler condensation, intake condensation protection, engine over temperature, engine warm-up and white smoke, transient smoke protection, fan reversal, electronic controlled EGR device, cold starting device, intake air heater control, acceleration of engine warming, speed timer device, load timer device, acceleration fuel control device, mechanical EGR controller).

A detailed justification of each AECD which results in a reduction in effectiveness of the emission control system, and rationale why the AECD is not a defeat device as defined under subsection 9(2) of the regulations shall be provided.

This information should be supplied in a form that can be easily understood by an engineer skilled in engine emissions control (for example, not in computer language). Preferred format is a table listing AECDs (down) and sensed and controlled parameters (across).
Adjustable parameters If applicable, list all adjustable parameters from the engine, as well as all adjustable range and tamper resistance method for each adjustable parameter (for example, fuel limiter, maximum engine speed, low speed limiter, rated fuel rate, injector lash, idle speed, electronic control).
Defeat device Provide a written statement to confirm whether all engines that are part of the engine family covered by the application are equipped with a defeat device.
Emission-related maintenance instructions Provide a copy, in both official languages, of the emission-related maintenance instructions, which would be available to the first retail purchaser.

See I.1 for additional information.
Section 3: laboratory accreditation
Requirements Comments
Accreditations of the laboratory where the testing was performed. The laboratory where the tests are carried out would have to be capable of certifying to Canadian or United States standards. This is normally demonstrated by the lab having previously completed testing to support the issuance of a United States EPA certificate. A list of labs that may be used to conduct testing may be found on the U.S. EPA website.
Names, phone numbers, fax numbers, email addresses of contact person at laboratory Provide the contact information.
Section 4: test results
Requirements Comments
Engine rated power and wpeed Provide the rated power and speed of the test engine.
Engine code, model and serial number for the test engine Provide the following information pertaining to the test engine: engine code (if applicable), model and serial number.
Displacement of test engine Provide the engine size in cc or L.
Applicable test procedure Indicate the test procedure that was used to demonstrate compliance with the emission standards (for example, nonroad, 8 mode and smoke)
Official test results on the test engine that represents the worst case scenario for the engine family covered by the application
Provide a comprehensive list of all test results:
  • exhaust emission test results for NMHC+NOx (or NMHC and NOx separately, if applicable), CO and PM
  • smoke emission (exhaust opacity) test results (if applicable): smoke % opacity during the acceleration mode, smoke % opacity during the lugging mode, and smoke % opacity during the peaks in either the acceleration or lugging modes
  • crankcase emissions: for naturally aspirated engines that do not have crankcase emissions permanently routed into the exhaust, provide a written statement to confirm whether the engine discharges crankcase emissions into ambient atmosphere
See section 10 of the regulations and Chapter F for additional information.
Deterioration factors (DFs) The following deterioration factors (DFs) shall be calculated and provided: NMHC+NOx, CO, PM, smoke % opacity in acceleration mode, smoke % opacity in lugging mode and smoke peak % opacity. Deterioration factors for the smoke % opacity are only required if the engine is subject to the smoke standard.

Engines from the engine family must comply with the applicable emissions standards throughout their useful lives. By definition, the useful life for engines ranges from 3000 to 8000 hours depending on the power category. Deterioration factors are applied to account for any increase in emissions over the useful life of the engine. DFs are usually developed using an engine which runs strictly for aging purposes, and are applied to the emission results from the test engine. The test engine must comply with emissions standards after the DFs are applied. Additional information can be found on the U.S. EPA website. (PDF 217 KB)
Certification levels Provide the certification levels comprising of the official test results and DFs described above.
Certification fuel Indicate the type of fuel that was used to complete the emission tests (for example, low sulfur diesel, ultra low sulfur diesel)
Adjustment factors for emission control systems If applicable, provide adjustment factors for DPF, NOx Absorber, etc.
Special instructions Identify whether any special instructions apply to test the engine.
Section 5: engine model and part number summary
Requirements Comments
Provide information on all models which are included in this application. Provide a tabular list of all engine models, engine codes, engine displacements, rated power, rated speed, max torque and max torque speed covered under this engine family application.
Provide information on all emission related parts which are applicable to engines covered in this application. Provide a tabular list of part numbers for the following parts, if applicable (injection pump, injector, turbo charge, electronic control module, emission control systems [specify], smoke puff limiter, sensor assemblies [including descriptions], and other [specify]).
Section 6: projected sales
Requirements Comments
Projected Canadian sales for this engine family This must be included in the statement of compliance letter.
Section 7: request for certification
Requirements Comments
Contains a copy of the written request to acknowledge that the evidence of conformity has been obtained and produced in a form and manner satisfactory to the Minister signed by an authorized representative of the company This must be included in the statement of compliance letter.
Section 8: other information
Requirements Comments
Any additional information relevant to this application If applicable
Section 9: confidential information
Requirements Comments
Contains all previously listed confidential information All confidential information contained in this section must be referenced by title in the appropriate section with a note to see section 9.
Section 10: California ARB information
Requirements Comments
Contains the summary sheet listing all engine and test parameters If applicable
Section 11: engine information label
Requirements Comments
A copy or reproduction of the engine information label Provide a copy or reproduction of the engine information label.

For label requirements, refer to G.7 and Appendix VII.


Useful life

Useful life is defined in subsection 1(1) as “the period of time or of use in respect of which an emission standard applies to an engine, as set out in section 104(a), subpart B, of Code of Federal Regulations (CFR) 89 or in section 101(g), subpart B, of CFR 1039.” Table 4 provides a summary of the useful life for the different engine categories.

Adjustable parameters
An adjustable parameter is something that a person could modify that would change the emissions coming from the engine, or the performance of the engine. Engines with “adjustable parameters” must be able to meet the emission standards regardless of settings on the “adjustable parameter”. For example, if there is an adjustment screw on an engine, this engine must meet the exhaust emission standards regardless of the setting of the screw (that is, whether it is fully, partially or not tightened).

Defeat device
A defeat device means any device, system or element of design which limits or reduces the effectiveness of an emission control system. The regulations incorporate by reference the CFR definition of defeat device.
Useful life for engines categories
Scenario Useful life
All engines rated under 19 kW 3000 hours or 5 years (whichever occurs first)
Constant speed engines rated under 37 kW with rated speeds greater than or equal to 3000 rpm 3000 hours or 5 years (whichever occurs first)
All other engines rated at or above 19 kW and under 37 kW 5000 hours or 7 years (whichever occurs first)
All other engines rated at or above 37 kW 8000 hours or 10 years (whichever occurs first)
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