Guidance document on Off-Road Compression-Ignition Engine Emission Regulations: chapter 3

C. Engines subject to the regulations

C.1 Introduction to engines subject to the regulations

The regulations specify requirements for off-road diesel engines. These engines are typically diesel-fuelled and are found in construction, farming, forestry and some mining machines. This would include tractors, excavators, log skidders and heavy haulers.

The regulations apply to:

• engines imported into Canada
• engines manufactured in Canada that are “transported within Canada” (meaning transported across provincial or territorial borders)

The standards apply to stand-alone (loose) engines, as well as those that are already installed in or on machines.

These regulations do not apply to diesel engines that are subject to the On-Road Vehicle and Engine Emission Regulations; namely engines used in diesel-fueled cars and trucks.

For other categories of diesel engines that are not subject to these regulations, see C.3.

C.2 What off-road compression-ignition engines are covered by the regulations?

Generally speaking, diesel engines that power machines which do not typically drive on a road are covered in the regulations. For example, a farm tractor, a bulldozer, a portable generator and a tree feller often have an “off-road compression-ignition engine“ powering it, and this engine would be required to meet the regulations. In addition, diesel engines that power auxiliary equipment on a machine, such as a refrigeration unit, are also required to meet the regulations.

C.3 What engines are NOT covered by the regulations?

Engines that are not covered under the regulations are listed below. Following each is a reference to that section of either the act or the regulations where the exemption is found. Please note that in many cases, the engines must be labelled. Information on engine labelling is found in Appendix VI.

List of engines not covered:

1. engines designed to propel an aircraft (for example, an airplane) [section 149 in the act]
2. engines designed to propel rolling stock (for example, a locomotive) [section 149 in the act]
3. marine diesel engines rated at 37 kW and above [section 149 in the act]
4. engines that are subject to the On-Road Vehicle and Engine Emission Regulations, for example, a diesel-fueled passenger car [paragraph 5(2)(b) in the regulations]
5. engines that are designed to be used exclusively for competition and bear a label to that effect [paragraph 5(2)(a) in the regulations]
6. engines that are designed to be used exclusively in underground mines,^Footnote2 may be used outside underground mines and are certified by either:
   1. the Canada Centre for Mineral and Energy Technology (CANMET), or
   2. the Mine Safety and Health Administration (MSHA) of the United States [paragraph 5(2)(c) in the regulations]
7. engines that have a per cylinder displacement of less than 50 cm³[paragraph 5(2)(d) in the regulations]
8. engines that are designed exclusively to be used in military machines designed for combat or combat support and bear a label [paragraph 5(2)(e) in the regulations]
9. engines that are being exported and are accompanied by a written statement indicating that they will not be sold for use or used in Canada [paragraph 5(2)(f) in the regulations]
10. marine inboard engines [paragraph 5(2)(g) in the regulations]
11. engines that are stationary engines and bear a label [paragraph 5(2)(h) in the regulations]
12. engines that are used exclusively to provide electricity for small communities in remote areas and bear a label to that effect [paragraph 5(2)(i) in the regulations]

C.4 Are re-manufactured engines covered by the regulations?

Contact the Regulatory Administration Section at Environment Canada for more information.

C.5 What is an engine model year and why is this important?

The model year is the year determined by the engine manufacturer to designate the period of production of a particular model of an engine and is defined in section 4 of the regulations. This is relevant as standards and test procedures apply per model year.

The model year can span a period of up to two calendar years less one day but can include only one January 1. The model year corresponds to the calendar year during which production occurred or the calendar year during which January 1 fell. For example, a family of engines produced between March 1, 2006, and January 31, 2007, would be 2007 model year engines and would need to meet the standards applicable to the 2007 model year.

C.6 What is a machine?

“Machine” means anything, including a vehicle, device, appliance or implement, that is powered by an engine. A tractor, an excavator or a portable generator, for example, powered by a diesel engine would be considered a machine for the purpose of these regulations. In the Code of Federal Regulations (CFR), the words “nonroad equipment” or “nonroad vehicle” generally have the same meaning as “machine” in the regulations.

C.7 Are machines covered by the regulations?

While most provisions of the regulations apply specifically to engines, machines are also covered if the machine contains an engine covered by these regulations. In other words, the engine in the machine must meet the requirements set out in the regulations.

C.8 What is the difference between “equipment” and “machine”?

The regulations use the term “machine” as meaning a vehicle, device, appliance or implement powered by an engine. For example, a bulldozer or a generator would be considered a machine.

The word “equipment”, as defined in section 149 of the act, is intended to cover engine accessories, such as fuel systems and emission control systems, which include catalytic converters.

C.9 What is a machine model?

A machine model is defined by its:

1. manufacturer: meaning the company that has manufactured the machine
2. brand: meaning the company the machine is sold under; this may be the machine manufacturer or a different brand
3. engine: meaning its model, family, calibration and set power outputs
4. main characteristics: meaning the model’s main features which differentiate it from other similar ones

If two machines share the same manufacturer, brand, engine (including calibration) and main characteristics, they would be considered the same model.

Note that the concept of a machine model is relevant only for the use of the transition engine provisions (see C.17 for information on transition engines).

C.10 Are there requirements for stationary engines in the regulations?

Labelled stationary engines are not required to meet the emission standards under these regulations. This is outlined in paragraph 5(2)(h) of the regulations (see G.7 on label requirements).

C.11 How do I determine if my engine is stationary?

If your engine is used in a permanently fixed application (for example, the machine is permanently bolted to a factory floor and it has a fixed fuel supply), it is likely a stationary engine. Some examples of machines that are used in stationary applications include non-portable generators, compressors, pumps and irrigation systems.

Importers and engine manufacturers will need to determine before the engine is imported or crosses provincial or territorial borders if the engine will be used in a stationary application. If this is the case, the engine will need to be labelled appropriately.

C.12 What is meant by engines that “are used solely to provide electricity for small communities in remote areas”, as described in paragraph 5(2)(i)?

The regulations do not cover engines used to provide prime power to remote communities. In this case, “small communities in remote areas” refers to communities that are not linked to an electricity grid (an interconnected system that distributes electricity over a wide area, generally through a network of high-tension cables and power stations). This type of established community would rely heavily on utility companies’ use of diesel generators to provide prime power. These stationary diesel generators would typically be excluded from meeting emission standards under paragraph 5(2)(h) of these regulations provided they are labelled as stationary. In some cases, these generators are housed in or on trailers, and would therefore be excluded under paragraph 5(2)(i).

In addition, there are situations where utility companies use “back-up” or “emergency” generators to temporarily replace existing stationary generator sets in remote communities undergoing maintenance work. The engines found in these generators would be excluded, provided that they are correctly labelled. In these cases, generators would not in fact be stationary, but would be excluded under paragraph 5(2)(i), if labelled accordingly.

C.13 Are portable power generators excluded under paragraph 5(2)(i)?

No. Portable generators must meet the emission standards unless C.12 applies.

C.14 Are there provisions in the regulations that allow the importation of engines whose assembly must be completed in Canada in order that they meet the standards?

Yes. Section 17.1 of the regulations allows engines that do not meet the standards in the regulations to be imported provided that their assembly is completed in Canada and the engines meet the applicable standards before they leave the possession or control of the company that imported the engines.

This is particularly important for Tier 4 engines as these will almost always have emission control systems that will be added and these may not be assembled at the time of import. A company may be required to apply a National Emissions Mark. See H.11 for more information on the importation of these engines and other requirements.

C.15 Do all diesel engines subject to the regulations have to meet the Tier 4 emission standards and other requirements?

No. The following engines must conform to only certain provisions of the regulations:

1. engines that are imported into Canada for purposes of exhibition, demonstration, evaluation or testing as discussed in H.12
2. engines that are being imported for use by a visitor to Canada or by a person passing through Canada to another country as discussed in F.9
3. engines that are going through Canada, from a place outside Canada to another place outside Canada as discussed in F.8
4. replacement engines, as defined in subsection 12(1) of the regulations and as discussed in I.4
5. transportation refrigeration unit engines as defined in subsection 11.1(1) of the regulations and as discussed in C.16
6. transition engines as defined in subsection 13(1) of the regulations and as discussed in C.17
7. engines for which the Governor-in-Council has granted an exemption as discussed in C.18.

All other engines must conform to all applicable provisions of the regulations.

C.16 What is a transportation refrigeration unit?

A transportation refrigeration unit (TRU) is defined in subsection 11.1(1) as: “a refrigeration system that is powered by an engine and that is designed to control the temperature of products that are transported in rolling stock, vehicles or trailers”. In other words, it is a unit that includes a diesel-powered engine used to maintain the temperature of products, for example food, that are transported in an off-road application such as a train or an off-road truck. For more information, see F.3.

C.17 What are transition engines?

A transition engine is an engine that meets the emission standards in section 13 of the regulations and is either installed in or on a machine or will be installed in or on a machine before the end of the transition engine time frames prescribed. A transition engine is similar to a United States “flex” engine built under section 625 of CFR 1039. The transition engine provisions are similar to the United States flex engine provisions. Both have the same emission standards and time frames. Both also have reporting requirements. Meeting the Canadian requirements, however, is the responsibility of the importer or the Canadian engine manufacturer.

An engine meeting the United States flex engine emission standards will meet the Canadian transition engine standards. Note that the United States program is quantity limited. This means that in some cases a Canadian transition engine or an imported United States flex engine may not be exported to the United States. Contact your EPA representative, as well as your engine or machine manufacturer, for appropriate guidance.

For more information on transition engines, see:

• F.6 for detailed information on the transition engine provisions;
• F.6.1 for specific information on the emission standards and corresponding time frames;
• H.1 and H.10 for importation requirements;
• F.6.5 for reporting requirements; and
• G.5 and Appendix VI for labelling and other evidence of conformity requirements.

C.18 Engine for which the Governor in Council has granted an exemption

In scenarios where the engine would normally be covered by the Regulations, a company may apply to the Governor in Council to be granted an exemption from any standard prescribed under the regulations. In order for such a request to be considered, it must generally be submitted before importation. Under section 156 of the act, an exemption from any prescribed standard will be granted only if, in the opinion of the Governor in Council, compliance with that standard would:

1. create substantial financial hardship for the company
2. impede the development of new features for safety, emission monitoring or emission control that are equivalent or superior to those that conform to prescribed standards, or
3. impede with the development of new kinds of engines or engine components

An exemption may not be granted for a model of engine if the exemption would substantially diminish the control of emissions from the engine or if the company applying for the exemption has not provided evidence that it has attempted in good faith to bring the model into conformity with all applicable prescribed standards.

Under subsection 156(4) of the act, an exemption for financial hardship may not be granted:

1. if the annual world production of vehicles or engines manufactured by the company or by the manufacturer of the model that is the subject of the application for exemption exceeded 10 000 vehicles or engines, or
2. if the annual total number of vehicles or engines manufactured for, or imported into, the Canadian market by the companyexceeded 1000 vehicles or engines

Section 23 of the regulations describes the information to be provided to the Minister when applying for an exemption, and Section 24 describes the label to be applied to an engine for which an exemption has been granted.