Submission requirements for evidence of conformity for several types of vehicles: chapters 1 to 6

Official title: Guidance document - Submission requirements for evidence of conformity for light-duty vehicles, light-duty trucks, medium-duty passenger vehicles and heavy-duty class 2b and 3 vehicles in relation to the On-road Vehicle and Engine Emission Regulations and the Passenger Automobile and Light Truck Greenhouse Gas Emission Regulations made under the Canadian Environmental Protection Act, 1999

1.0 Purpose

This document provides guidance on the implementation of the On-Road Vehicle and Engine Emission Regulations (the ORVEER) and the Passenger Automobile and Light Truck Greenhouse Gas Emission Regulations (the PALTGGER) made under the Canadian Environmental Protection Act, 1999 (CEPA). Specifically, it describes what evidence of conformity to both the ORVEER and the PALTGGER (the Regulations) is required and what procedures should be followed when submitting evidence of conformity for light-duty vehicles, light-duty trucks, medium-duty passenger vehicles, class 2b vehicles and class 3 vehicles (paragraphs 6(1)(a), (b), (c) and (d) of the ORVEER) manufactured for sale in Canada or imported into Canada.

2.0 Evidence of conformity

According to subsection 153(1) of CEPA, vehicles must conform to standards prescribed by ORVEER. Evidence of conformity with those standards must be “obtained and produced in the prescribed form and manner or, if the regulations so provide, in a form and manner satisfactory to the Minister^{Footnote 1}” (paragraph 153(1)(b)). Obtaining, maintaining and submitting evidence of conformity are requirements of importation under the Act and the ORVEER. Sections 35, 35.1 and 36 of the ORVEER specify the form and manner requirements for evidence of conformity.

The ORVEER provides five options for complying with the evidence of conformity requirement. When determining which type of submission to provide, a company should consider the information required, the timing of the submission, the applicable standards and the label required. Before the import of a vehicle or, in the case of 153(2) of CEPA with proper declaration, before the vehicle leaves the possession or control of the company^{Footnote 2} or before affixing the National Emissions Mark (NEM), a company must ensure that it has the complete evidence of conformity readily available. This information must be maintained in accordance with section 38 of the ORVEER. The following table provides an overview of the options that are available.

Under the CEPA and Regulations, the responsible company is the one that manufactures the vehicle in Canada or imports the vehicle into Canada that is legally responsible to maintain and submit the evidence of conformity. In addition, it is the company’s responsibility to ensure that information provided to the Minister is accurate, complete and that the vehicles imported into Canada or manufactured in Canada are identical to the vehicles described in the evidence of conformity. The company importing the vehicle remains liable for producing the appropriate evidence of conformity when requested.

As defined in section 149 of the CEPA, a company means a person who:

• a) is engaged in the business of manufacturing vehicles, engines or equipment in Canada;
• b) is engaged in the business of selling to other persons, for the purpose resale by those persons, vehicles, engines or equipment obtained directly from a person described in paragraph (a) or the agent of such a person; or
• c) imports any vehicle, engine or equipment into Canada for the purpose of sale. (enterprise)

For the purposes of this document, the word “company” is referring to the CEPA company as defined in the Act.

2.1 Covered by an EPA certificate

In the United States, manufacturers and importers are required to certify their vehicles with the U.S. Environmental Protection Agency (EPA) prior to being introduced into commerce. U.S. companies submit an EPA application for certification, which contains technical information about all models within a test group and demonstrates that the models within the test group conform to the applicable standards. The EPA reviews the application and if satisfied, issues a Certificate of Conformity which allows the U.S. company to sell the models listed on the certificate.

For the purpose of the ORVEER, a vehicle is considered to be covered by an EPA certificate if its make and model are specifically listed on a valid EPA certificate of the same model year and which is in a configuration permitted by the EPA certificate. It is the company’s responsibility to ensure that the model of the vehicle being imported or offered for sale in Canada be in all material respects as described in the EPA application for certification. An example of an EPA certificate has been included in Appendix A.

The ORVEER allows for a company to use EPA certification and, in many cases, industry chooses to heavily rely on this provision. However, the Minister must be informed of any discrepancies between the vehicle certified in the U.S. and the vehicle that is imported or manufactured in Canada. This includes the scenario when a Canadian company chooses to use a different model name or a variation of the model name listed on the EPA certificate or in the EPA application for certification. When there are discrepancies, the company must inform the Minister of the difference(s) by submitting an equivalent vehicle submission prior to import or manufacturing (see section 2.2 of this document).

The intent of subsection 19(1) of the ORVEER is to provide companies with some choice regarding how they demonstrate compliance when importing or manufacturing a vehicle which is covered by an EPA certificate of conformity. For vehicles covered by an EPA certificate, a company may select whether to conform to either the standards found in sections 11 to 17 of the ORVEER or the standards found in section 19 of the ORVEER (those listed on the EPA certificate). This decision is established prior to the time of import or NEM affixation and defines the content and timing of evidence of conformity (EoC) to meet the condition of 153(1)(b) of CEPA. It is important to note that this decision is only required for the ORVEER since under the PALTGGER, if a vehicle is covered by a certificate and bears the U.S. EPA VECI label, it must conform to the standards found in section 12 of the PALTGGER (those listed on the EPA certificate). If a company chooses to meet section 11 to 17 of the ORVEER,  the vehicle will not be considered to be covered by an EPA certificate for these Regulations, and would need to follow requirements under section 36. A different VECI label would need to be affixed and would therefore not reflect the VECI label described in the EPA application for certification supporting the certificate.  

Furthermore, if a company is unable to obtain all the documents identified in section 35 of the ORVEER (such as the full and complete records submitted to the EPA in support of the EPA certificate) prior to import or if it is relying on section 153(2) of the CEPA, prior to the vehicle leaving the possession or control of the company^{Footnote 3}, then the vehicle cannot be considered covered by an EPA certificate in Canada. Obtaining these documents is a condition of import or manufacture outlined in section 153 of the CEPA. A company must obtain and maintain the required documents for each model year. Alternatively, a company may always choose to provide evidence of conformity under section 36 of the ORVEER regardless of the existence of an EPA certificate, concurrent sales or a NEM (see section 2.3 of this document).

There are 3 options for providing evidence of conformity when a vehicle is covered by an EPA certificate.

2.1.1 Vehicle covered by an EPA certificate and sold concurrently in Canada and in the United States – subsection 35(1)

Subsection 35(1) of the ORVEER identifies the evidence of conformity required in the case of a vehicle that is covered by a valid EPA certificate and sold concurrently in Canada and in the United States. In this case a company may choose, as per subsection 19(1) of the ORVEER, to conform to the certification and in use standards referred to in the EPA certificate instead of the standards described in sections 11 to 17 of the ORVEER. This decision is only required under the ORVEER since under the PALTGGER, if a vehicle is covered by a certificate and bears the U.S. EPA VECI label, it must conform to the standards found in section 12 of the PALTGGER (those listed on the EPA certificate).

Concurrent sale is defined in section 1.1 of the ORVEER. In general, a vehicle that is sold in Canada is considered to be “sold concurrently” in the United States if any vehicle of that model year that belongs to the same test group is offered for sale in the United States during the 365 days preceding the vehicle’s importation into Canada, the application of the NEM, or, in the case of subsection 153(2) of the CEPA, before the vehicle leaves possession or control of the company (see section 4.0 of this document). The following are examples of accepted documents that may be submitted;

1. A vehicle of the same test group and model year is sold to the first retail purchaser or leaser in the United States. This must be substantiated with any of a, b, or c below:
   • a) Copy of dated invoice to the first U.S. retail purchaser/leaser;
   • b) Copy of dated invoice to a U.S. party who sells or leases at the U.S. retail level (e.g. dealer); or
   • c) Copy of dated purchase order between a U.S. party and the first U.S. retail purchaser/leaser.
2. A dated advertisement of the test group and model year targeted at U.S. consumers (this could include sales brochure, printed ad, magazine, price list etc.) demonstrating that the product was actively marketed and available for delivery in the U.S.
3. A dated U.S. manufacturer/importer/dealer list for the same test group and model year for the U.S. demonstrating that the product was actively marketed and available for delivery in the U.S.
4. A dated copy of an invoice from the same test group and model year from the factory to a U.S. distributor showing that the products have been wholesaled* in the U.S. This demonstrates sale of products at the wholesale level which will inevitably convert to retail sales over time.

* Wholesale as defined by the Gage Canadian Dictionary means “the sale of goods in large quantities at a time, usually to retailers rather than to consumers directly.”

If a company chooses to rely on subsection 35(1) of the ORVEER to meet the evidence of conformity requirements for a vehicle covered by an EPA certificate and sold concurrently in Canada and in the United States, it is required that the following information be obtained at the time of import or affixing the NEM and maintained in its complete form and submitted upon written request from the Minister:

• a) A copy of the EPA certificate covering the vehicle;
• b) For a vehicle that does not have a NEM affixed, a document demonstrating that a vehicle that belongs to the test group was offered for sale in the United States during the 365 days preceding the day on which  the vehicle is imported into Canada
  1. Please provide the date of importation into Canada of the vehicle;
• c) A copy of the records submitted to the EPA in support of the application for the EPA certificate in respect of the vehicle and any application for an amendment to that EPA certificate and any records submitted to the EPA to maintain that EPA certificate.
  1. This is inclusive of all versions of the certificate applications and records (i.e. U.S. EPA Part 1, Part 2, associated Common Sections and Running Changes);
  2. Service manuals and technical service bulletins form part of an EPA certificate application as per CFR §86.1844-01(e)(5); and
• d) A copy of the Vehicle Emissions Control Information (VECI) label.

2.1.2 Vehicle covered by an EPA certificate and affixed with the NEM – subsection 35(1)

If a company chooses to affix the NEM to a vehicle covered by a valid EPA certificate, proof of concurrent sale is not required, nor is the actual event of concurrent sale necessary.

It should be noted that the NEM is required for vehicles that are manufactured in Canada and will be transported between provinces and/or territories. Before affixing the NEM, the company must obtain the authorization of the Minister. For more information on the NEM, please contact the Regulatory Administration Section. Contact information can be found in section 5.6.

If a company chooses to rely on subsection 35(1) of the ORVEER to comply with the evidence of conformity for a vehicle covered by an EPA certificate and affixed with a NEM, the following information must be maintained and is required to be submitted, as per subsection 38(3) of the ORVEER, only upon request from the Minister:

• a) A copy of the EPA certificate covering the vehicle;
• b) A document demonstrating that the vehicles covered by the EPA certificate bears the national emissions mark;
• c) A copy of the records submitted to the EPA in support of the application for the EPA certificate in respect of the vehicle and any application for an amendment to that EPA certificate and any records submitted to the EPA to maintain that EPA certificate;
  1. This is inclusive of all versions of the certificate applications and records (i.e. U.S. EPA Part 1, Part 2, associated Common Sections and Running Changes);
  2. Service manuals and technical service bulletins form part of an EPA certificate application as per CFR §86.1844-01(e)(5); and
• d) A U.S. emission control information label that is permanently affixed to the vehicle in the form and location set out in section 1807 of Title 40, chapter I, subchapter C, part 86, subpart S, of the CFR for the applicable model year of vehicle.

In reference to item b) above, an example of a document demonstrating that the NEM is affixed to the vehicle is provided in Appendix B.

2.1.3 Vehicle covered by an EPA certificate and not sold concurrently in Canada and the United States or not affixed with a NEM – subsection 35(1.1)

If a vehicle is covered by a valid EPA certificate, but it is not sold concurrently in Canada and the United States (see section 2.1.1 of this document) or it does not have a NEM affixed to it, evidence of conformity must be submitted to the Minister before importation as per subsection 35(1.1) of the ORVEER. Alternatively, a company may always choose to provide evidence of conformity under section 36 of the ORVEER regardless of the existence of an EPA certificate, concurrent sales, or the NEM (see section 2.3 of this document).

If a company chooses to rely on subsection 35(1.1) of the ORVEER to comply with the evidence of conformity requirements for a vehicle covered by an EPA certificate but not sold in the United States or not affixed with the NEM, the following information must be maintained and is required to be submitted prior to importation:

• a) A copy of the EPA certificate covering the vehicle; and
• b) A Statement of Compliance Letter (see section 2.3.1 of this document).
• c) A copy of the records submitted to the EPA in support of the application for the EPA certificate in respect of the vehicle to which it is equivalent and any application for an amendment to that EPA certificate and any records submitted to the EPA to maintain that EPA certificate;
  1. This is inclusive of all versions of the certificate applications and records (i.e. U.S. EPA Part 1, Part 2, associated Common Sections and Running Changes);
  2. Service manuals and technical service bulletins form part of an EPA certificate application as per CFR §86.1844-01(e)(5); and
• d) A U.S. emission control information label that is permanently affixed to the vehicle in the form and location set out in section 1807 of Title 40, chapter I, subchapter C, part 86, subpart S, of the CFR for the applicable model year of vehicle.

2.2 Equivalent vehicle – section 35.1

Section 19.1 of the ORVEER states that a vehicle of a specific model year that is not covered by an EPA certificate may be considered equivalent to a vehicle that is covered by an EPA certificate if a company submits the evidence of conformity referred to in section 35.1. The equivalency of a vehicle is determined by the Minister, based on the information outlined in section 35.1.

An equivalent vehicle must be in the same configuration as the vehicle covered by the EPA certificate. To be in the same configuration means that:

• a) Both vehicles share all the necessary features described in sections 1821 and 1827 of Title 40, chapter I, subchapter C, part 86, subpart S, of the CFR that are used by the EPA to classify vehicles into test groups and into evaporative/refueling families;
• b) The equivalent vehicle has the same emission control features; and
• c) The equivalent vehicle has no features that could cause it to have a higher level of emissions than the certified vehicle.

In other words, to be equivalent, the vehicle would therefore be able to be sold in the United States “as is,” if it were listed on the EPA certificate or in the EPA application for certification.

To import or manufacture vehicles which are not in the same configuration as the vehicle covered by the EPA certificate, a company must submit a Canada-unique submission, as per section 36 of the ORVEER (see section 2.3 of this document).

As specified in subsection 19.1(2) of the ORVEER, the determination of a vehicle being equivalent to a vehicle covered by an EPA certificate is made by the Minister, based on the evidence of conformity described in section 35.1 of the ORVEER. If the Minister has determined that a vehicle is equivalent, it will be considered in Canada to be covered by the EPA certificate provided in the evidence of conformity. This equivalent vehicle can only be sold in Canada during the period for which the EPA certificate is valid in the United States.

If a company chooses to rely on section 35.1 of the ORVEER to comply with the evidence of conformity requirements for an equivalent vehicle, the following information must be maintained and is required to be submitted prior to importation or before affixing the NEM:

• a) A written statement that the vehicle has the same emission control features as the vehicle tested to obtain the EPA certificate and has no features that could cause it to have a higher level of emissions than that certified vehicle; and
• b) A copy of the EPA certificate covering the vehicle to which it is equivalent.

Additionally, if a company chooses to rely on section 35.1 of the ORVEER to comply with the evidence of conformity requirements for an equivalent vehicle, the following information must be maintained and is required to be submitted only upon request from the Minister:

• c) A copy of the records submitted to the EPA in support of the application for the EPA certificate in respect of the vehicle to which it is equivalent and any application for an amendment to that EPA certificate and any records submitted to the EPA to maintain that EPA certificate;
  1. This is inclusive of all versions of the certificate applications and records (i.e. U.S. EPA Part 1, Part 2, associated Common Sections and Running Changes);
  2. Service manuals and technical service bulletins form part of an EPA certificate application as per CFR §86.1844-01(e)(5);
• d) For the 2017 and later model years, an emission control information label that is permanently affixed to the vehicle in a readily accessible location and that contains information that is equivalent to the information required under the CFR provisions referred to in subparagraph 35.1(1)(d)(i) of the ORVEER and either:
  1. a national emissions mark affixed in manner prescribed by subsection 8(3) of the ORVEER, or
  2. the statement “THIS VEHICLE CONFORMS TO ALL APPLICABLE STANDARDS PRESCRIBED BY THE ON-ROAD VEHICLE AND ENGINE EMISSION REGULATIONS / CE VÉHICULE EST CONFORME À TOUTES LES NORMES QUI LUI SONT APPLICABLES EN VERTU DU RÈGLEMENT SUR LES ÉMISSIONS DES VÉHICULES ROUTIERS ET DE LEURS MOTEURS.”
• e) Additional evidence, obtained and produced in a form and manner satisfactory to the Minister, establishing that the vehicle and the vehicle covered by the EPA certificate are equivalent in that they share all the features described in the CFR that are used by the EPA to classify vehicles into test groups and, as applicable, into families based on evaporative and refueling emissions.

An example of a statement of compliance letter is provided in Appendix C, which contains the statement referenced in a) above.

To facilitate the review of the equivalent vehicle submission, please provide a comparison table between the two models along with items a) and b) listed above. This information is often requested as a follow-up, as per paragraph 35.1(1)(e) of the ORVEER. This table should compare the information listed in sections 1821 and 1827 of Title 40, chapter I, subchapter C, part 86, subpart S, of the CFR for both the vehicle covered by the EPA certificate and the vehicle that the company believes to be equivalent. An example of a comparison table can be found in Appendix D.

Please note that companies must submit equivalent vehicle submissions for each model year. If a company continues equivalent vehicle submissions for subsequent model years, please ensure that this information is submitted to the Minister before importation, sale or the NEM is affixed.

2.3 Canada-unique vehicle – section 36

In general, the term “Canada-unique” refers to a vehicle that is neither covered by an EPA certificate nor equivalent to a vehicle covered by an EPA certificate. However, a company may choose to provide evidence of conformity under section 36 of the ORVEER regardless of the existence of an EPA certificate, concurrent sales or a NEM. Using this option, the company choses to conform to the standards set out in section 11 and 17 of the ORVEER, rather than those listed on the EPA certificate.

For the purpose of paragraph 153(1)(b) of the CEPA, section 36 of the ORVEER requires evidence of conformity for a Canada-unique vehicle to be obtained and produced “in a form and manner satisfactory to the Minister.”

Since the Regulations are aligned with those of the United States, the general intent is to enable companies to establish compliance by submitting information similar to that which is provided to obtain an EPA certificate and required under paragraph 35(1)(c) of the ORVEER. The following sections summarize the evidence of conformity that shall be obtained and produced “in a form and manner satisfactory to the Minister,” as per section 36 of the ORVEER.

It should be noted that the standards that are applicable to a Canada-Unique vehicle are the standards found in section 11 and 17 of the ORVEER and PALTGGER which reference sections 1806, 1811, 1813 and 1816 of Title 40, chapter I, subchapter C, part 86, subpart S and section 103 of Title 40, chapter I, subchapter U, part 1037, subpart B of the CFR. As per section 1(2) of the ORVEER, the standards that are incorporated by reference in the ORVEER from the CFR are those expressly set out in the CFR and shall be read as excluding:

• References to the EPA or the Administrator of the EPA exercising discretion;
• Alternative standards related to fleet averages, other averages, emission credits, small volume manufacturers, or financial hardship; and
• Standards or evidence of conformity of any authority other than the EPA or CARB.

If a company chooses to rely on section 36 of the ORVEER to comply with the evidence of conformity for a Canada-Unique vehicle, the following information must be maintained and is required to be submitted under section 36 of the ORVEER, prior to importation or before affixing the NEM:

• a) Statement of Compliance Letter (see section 2.3.1 of this document);
• b) Technical information (see section 2.3.2 of this document); and
• c) A sample drawing or copy of the Vehicle Emission Control Information (VECI) label that will be affixed to the vehicle (see section 2.3.3 of this document).

Please note that companies must submit Canada-unique submissions for each model year. If a company continues Canada-unique submissions for subsequent model years, this information must be submitted to the Minister before importation, sale or applying the NEM.

If a company intends to make any changes to a vehicle for which a Canada-unique submission has been filed, such that the altered vehicle is no longer identical to the initial submission, the Minister must be notified. Furthermore, if there exists a possibility these changes could be expected to alter vehicle emissions and/or the description of the models covered within the test group, the Minister must be notified. Companies must submit an amendment to the Canada-unique submission which provides a description and explanation for any proposed running changes along with sufficient evidence that the vehicles covered by the Canada-unique submission will comply with the applicable standards after the changes are applied. Alternations cause this vehicle to be considered new and providing new EoC ensures that any import post-changes will be compliant.

2.3.1 Statement of compliance letter

A submission of evidence of conformity under section 36 or subsection 35(1.1) of the ORVEER must contain an original signed letter from an authorized representative of the company. An example of a statement of compliance letter is provided in Appendix E.

The letter must include, as a minimum, the following items:

• Name and address of the company;
• The identification of the vehicle (e.g. model year, make, model, test group, evaporative/refueling family, vehicle class);
• The applicable exhaust and evaporative emission standards, family emission limits and useful lives;
• Estimated projected sales in Canada for the test group;
• An unconditional statement of compliance with all the applicable standards and requirements of the On-Road Vehicle and Engine Emission Regulations made under the Canadian Environmental Protection Act, 1999;
• A statement that the vehicles are manufactured to the same specifications as those set out in the evidence of conformity;
• A statement acknowledging that the signatory is authorized to act on behalf of the company; and
• A request for an acknowledgment by Environment and Cimate Change Canada that the evidence of conformity submitted has been obtained and produced in a form and manner satisfactory to the Minister.

The following additional information may be included:

• The identity of persons/entities (both inside or outside of the company) that may be contacted regarding the submission (e.g. technical contacts for importers);
• Indicate if the information being submitted is a direct carry-over (i.e. identical) to a submission that was received and acknowledged by the Minister the previous year;
• Indicate whether some information is to be treated as confidential; and
• Any other information believed to be relevant.

2.3.2 Technical information

The technical information required is similar to that found in an EPA application for certification. It is based on information that is submitted to the EPA for the purpose of certification as defined in section 1844 of Title 40, chapter I, subchapter C, part 86, subpart S, of the CFR. It should be noted that this list may change from time to time to respond to new technology, evolving testing and information requirements for different types of vehicles, and to stay aligned with the EPA’s requirements in the United States. The current list of technical information that is required can be found in Appendix F. To demonstrate compliance with the applicable standards, the test results provided in the evidence of conformity must be obtained using the test procedures and calculation methods identified in section 18 of the ORVEER and section 11 of the PALTGGER which reference:

• Title 40, chapter I, subchapter C, Part 86, subparts A, B and C of the CFR; and
• Title 40, chapter I, subchapter Q, Part 600, subparts A, B and C of the CFR.

2.3.3 Vehicle emission control information (VECI) label

A sample drawing or copy of the Vehicle Emission Control Information (VECI) label must be included in the submission of evidence of conformity. The information contained on the label is similar to that listed in section 1807 of Title 40, chapter I, subchapter C, part 86, subpart S, of the CFR, excluding the EPA compliance statement. The technical information presented on the VECI label can be provided in English but the compliance statement, required if the vehicle is not affixed with the NEM, must be provided in English and in French. Additional details and requirements, including an example of a VECI label can be found in Appendix G. Requirements for the naming of test groups, evaporative/refueling families and durability groups are included in Appendix H.

3.0  Advanced technology vehicles

Advanced technology vehicles such as hybrid electric vehicles (HEV), plug in hybrid electric vehicles (PHEV), fuel cell vehicles (FCV) and battery powered fully electric vehicles (BEV) are not excluded from the Regulations, provided that they meet the definition of a “vehicle” as per section 149 of the CEPA and an “on-road vehicle” as per section 1 of the ORVEER. The type of submission for an advanced technology vehicle is determined using the same criteria as a combustion engine powered vehicle previously described in section 2.0 of this document.

If an advanced technology vehicle is a Canada-unique product, the evidence of conformity consists of the same items described in section 2.3 of this document. However, certain items may be modified to reflect the technical requirements for advanced technology vehicles as described in section 1844 of Title 40, chapter I, subchapter C, part 86 subpart S of the CFR. Evidence of conformity submitted to the Minister must include all special procedures necessary for the proper operation and testing of advanced technology vehicles. This could include but is not limited to:

• A description of the criteria used by the manufacturer to determine durability and test grouping;
• Proper charging procedures;
• Regenerative braking system description of operation;
• Activation procedure for test modes or dyno modes;
• Any information that is provided in the owner’s manual documents;
• Any additional information which is necessary to properly demonstrate compliance with applicable standards; and
• Electric ranges according to the certification.

Test group determination for advanced technology vehicles should be consistent with paragraph 1827-01(f) of Title 40, chapter I, subchapter C, part 86 subpart S of the CFR. Manufacturers may provide a statement of compliance with their application as described in §1829-15(f) of Title 40, chapter I, Subchapter C, part 86 subpart S of the CFR.  The naming conventions for test groups and durability groups specific to advanced technology vehicles are included in Appendix H.

An example of a statement of compliance letter specific to advanced technology vehicles is provided in Appendix I.

• The sample list of technical information that Environment and Climate Change Canada requires can be found in Appendix F. This sample list may change from time to time to reflect the introduction of new advanced technologies or to maintain consistency with the technical requirements of the EPA.

An example of a VECI label, along with additional details and requirements can be found in Appendix G. Manufacturers may choose to indicate in the emission control section of the VECI label that the vehicle to which this label is affixed is an advanced technology vehicle.

As with combustion powered vehicles, the general intent is to enable companies to establish compliance by submitting information similar to that which is provided to obtain an EPA certificate and required under paragraph 35(1)(c) of the ORVEER. As an additional reference, EPA guidance letter CD-14-19  (see section 6.0) provides a list of suggested technical considerations for advanced technology vehicle submissions.

4.0 Incomplete vehicles

A company may import an incomplete vehicle under subsection 153(2) of the CEPA, provided that it submits a declaration prior to importation, as per section 42 of the ORVEER and the requirements of subsection 153(1) of the CEPA are satisfied before the vehicle leaves the possession or control of the company and before the vehicle is presented for registration under the laws of a province or an aboriginal government, or before affixing a NEM.

An incomplete vehicle is one which, at the time of importation requires additional assembly as per the manufacturer’s instruction. These vehicles must, when completed in accordance with instructions and specifications provided by the manufacturer, conform to the standards prescribed under the Regulations or the EPA certificate used to demonstrate conformity. In addition, all other regulatory requirements apply to incomplete vehicles.

The options for submitting evidence of conformity for an incomplete vehicle are the same as those listed in Table 1 (see section 2.0 of this document). Any information which is required to be submitted prior to importation must instead be submitted before the vehicle leaves the possession or control of the company and before the vehicle is presented for registration under the laws of a province or an aboriginal government, or before affixing a NEM.

Should a company choose to rely on an EPA certificate of conformity to demonstrate compliance when importing an incomplete vehicle, any alterations made by the company to the vehicle must not cause the completed vehicle to deviate from the specifications listed in the evidence of conformity which support that EPA certificate. As per paragraph 1848-10(c)(4) of Title 40, chapter I, subchapter C, part 86, subpart S, of the CFR, this could include exceeding maximum curb weight or frontal area limitations. In this case, it would be considered a different vehicle and require certification.

5.0 Administrative information

It is each company’s responsibility to ensure compliance with all applicable sections of the Regulations. In addition to the evidence of conformity, there are other regulatory obligations covered under the Regulations. For further information regarding other administrative requirements, such as submitting Importation Declarations and End of Model Year Reports, or for general inquiries, please contact the Regulatory Administration Section.  Contact information can be found in section 5.6.

5.1 Maintenance of records

Regardless of the type of submission for evidence of conformity, a company is responsible for obtaining these records prior to import, or if it is relying on section 153(2) of CEPA, prior to the vehicle leaving the possession or control of the company^{Footnote 4}, before affixing a NEM. Additionally, these records must be maintained after import, as per paragraph 153(1)(g) of the CEPA, in accordance with section 38 of the ORVEER. Evidence of conformity must be maintained by a company for a period of at least eight years after the date of manufacture. As required by paragraphs 35(1)(c) and 35.1(1)(c) of the ORVEER, the maintenance of records includes:

• A copy of the records submitted to the EPA in support of the application for the EPA certificate;
• Any application for amendment to that EPA certificate; and
• Any records submitted to the EPA to maintain that EPA certificate.

Alternatively, if this information is maintained on behalf of a company, the company must keep a record of where the evidence of conformity is located and who is responsible for this information. A company must maintain the required documents for each model year.

If the Minister makes a written request for the evidence of conformity, a company must provide this information, under subsection 38(3) of the ORVEER, in either official language, within 40 days, or 60 days if the information must be translated from a language other than English or French.

5.2 Suspension/revocation of an EPA certificate

If an EPA certificate referred to in section 19 or 19.1 of the ORVEER is suspended or revoked, any company that used that certificate to meet evidence of conformity requirements, is required to submit information to the Minister within 60 days after the day on which the certificate is suspended or revoked in accordance with section 38.1 of the ORVEER. Contact information can be found in section 5.6.

5.3 Who should submit evidence of conformity

Each company that either imports or that affixes a national emissions mark is responsible for maintaining and submitting the evidence of conformity as required in subsection 153(1) of the CEPA and in accordance with sections 35, 35.1, 36 and 38 of the ORVEER, as described in this document.

The intent of the ORVEER is that companies have access to evidence of conformity, to be in a position to ensure that the products they import or manufacture are identical in all material respects to the evidence of conformity documentation and the vehicle that was used to obtain the test results.

5.4 How to submit evidence of conformity

It is recommended that the submission for evidence of conformity be provided electronically and must be in PDF or Microsoft Word format. The information can be provided in either English or French. Please use a descriptive subject line, such as “Evidence of conformity – [model year, make, model, company name].” The electronic documentation should be sent to ec.verifications-des-emissions-emissions-verification.ec@canada.ca.

Environment and Climate Change Canada’s email message size limit is 20 megabytes. If the submission exceeds this limit, it is recommended that the submission be separated into parts and sent in multiple emails. Companies are also able to use their account on the Vehicle and Engine Emissions Reporting Registry (VEERR) or contact us to obtain one. Alternatively, the submission can be provided on a CD or USB stick and sent by courier to:

Vehicle and Engine Testing and Emission Verification
Transportation Division
Energy and Transportation Directorate
Environmental Protection Branch
Environment and Climate Change Canada
335 River Road South
Ottawa, ON  K1V 1C7

When a company submits information for a test group for which an identical submission was received and acknowledged by the Minister the previous year, the company should notify the Minister that the submission is a direct carry-over to facilitate the process.

In cases where a company is providing submissions for more than one test group, it would be helpful if it stated the order in which it would prefer the Minister to process them.

5.4.1 Confidential information

When a company submits evidence of conformity to the Minister, the company is responsible for identifying which information in the submission is confidential. That information will be dealt with in accordance with the law. This includes but is not necessarily limited to the Access to Information Act and the Privacy Act.

5.5 Response from Environment and Climate Change Canada

An acknowledgement will be sent to the company who submitted the evidence of conformity once a review has been completed and the information is considered to be “in a form and manner satisfactory to the Minister.” This acknowledgement does not relieve the company of the obligation to comply with all applicable requirements under the CEPA and the Regulations. The letter only provided acknowledgment that we received the letter.

Environment and Climate Change Canada will strive to respond to submissions according to the timelines shown in the table below, but incomplete submissions may cause delays beyond the time given in the table. When information is found to be missing the wait time to receive additional information will be added to the processing time listed below.

5.6 Contact information

For any questions or inquiries related to the evidence of conformity, please contact the Vehicle and Engine Testing and Emission Verification Section, of Environment and Climate Change Canada’s Transportation Division.

Email: ec.verifications-des-emissions-emissions-verification.ec@canada.ca

In addition to the evidence of conformity, there are other regulatory obligations covered under the Regulations. For any other regulatory inquiries or further information regarding other administrative requirements, such as Importation Declarations and End of Model Year Reports, please contact Environment and Climate Change Canada’s Transportation Division.

Email: ec.infovehiculeetmoteur-vehicleandengineinfo.ec@canada.ca

6.0 References

Below is a list of references relevant to evidence of conformity that are discussed in this document.

• Canadian Environmental Protection Act, 1999
• On-Road Vehicle and Engine Emission Regulations
• United States Code of Federal Regulations, Title 40
• Environment and Climate Change Canada’s CEPA Environmental Registry
• United States Environmental Protection Agency : Certification Application Reporting Guidance