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COMMISSION DELEGATED REGULATION (EU) 2017/654

of 19 December 2016

supplementing Regulation (EU) 2016/1628 of the European Parliament and of the Council with regard to technical and general requirements relating to emission limits and type-approval for internal combustion engines for non-road mobile machinery

(OJ L 102 13.4.2017, p. 1)

Official Journal

  No

page

date

 M1

COMMISSION DELEGATED REGULATION (EU) 2018/236 of 20 December 2017

  L 50

1

22.2.2018

1.1.

When applying for an EU type-approval, manufacturers may select one of the following options with regard to the engine's fuel range:

1.2.

A standard fuel range engine shall meet the requirements specified in points 1.2.1 to 1.2.4.

1.3.

A specific fuel (ED 95 or E 85) engine shall meet the requirements specified in points 1.3.1 and 1.3.2.

2.1.

When applying for an EU type-approval, manufacturers may select one of the following options with regard to the engine's fuel range:

2.2.

Tables summarizing the requirements for EU type-approval of natural gas/biomethane fuelled engines, LPG-fuelled engines and dual-fuel engines are provided in Appendix 1.

2.3.

2.4.

A restricted fuel range engine shall meet the requirements specified in points 2.4.1 to 2.4.3.

2.4.1.   For engines fuelled with CNG and designed for operation on either the range of H-gases or on the range of L-gases

2.4.2.   For engines fuelled with natural gas or LPG and designed for operation on one specific fuel composition

2.5.

A fuel-specific engine fuelled with liquefied natural gas/liquefied biomethane shall meet the requirements specified in points 2.5.1 to 2.5.2.

2.5.1.   Fuel-specific engine fuelled with liquefied natural gas/liquefied biomethane (LNG)

2.5.2.   Fuel-specific engine fuelled with Liquefied Natural Gas (LNG)

2.6.

2.7.

In order to receive an EU type-approval of a dual-fuel engine type or engine family, the manufacturer shall:

2.1.

The conformity of production arrangements aim to ensure that each engine is in conformity with the specification, performance and marking requirements of the approved engine type or engine family.

2.2.

Procedures include, inseparably, the assessment of quality management systems, referred as ‘initial assessment’ and set out in section 3 and verification and production-related controls, referred to as ‘product conformity arrangements’ and set out in section 4.

3.1.

Before granting EU type-approval, the approval authority shall verify the existence of satisfactory arrangements and procedures established by the manufacturer for ensuring effective control so that engines when in production conform to the approved engine type or engine family.

3.2.

Guidelines for quality and/or environmental management systems auditing set out in the EN ISO 19011:2011 standard shall apply to the initial assessment.

3.3.

The approval authority shall be satisfied with the initial assessment and the product conformity arrangements in section 4 taking account as necessary of one of the arrangements described in points 3.3.1 to 3.3.3 or a combination of those arrangements in full or in part as appropriate.

4.1.

Every engine EU type-approved pursuant to Regulation (EU) 2016/1628, this Delegated Regulation, Delegated Regulation (EU) 2017/655 and Implementing Regulation (EU) 2017/656 shall be so manufactured as to conform to the approved engine type or engine family by meeting the requirements of this Annex, Regulation (EU) 2016/1628 and the abovementioned Delegated and Implementing Regulations.

4.2.

Before granting a EU type-approval pursuant to Regulation (EU) 2016/1628 and the delegated and implementing acts adopted pursuant to that Regulation, the approval authority shall verify the existence of adequate arrangements and documented control plans, to be agreed with the manufacturer for each approval, to carry out at specified intervals those tests or associated checks necessary to verify continued conformity with the approved engine type or engine family, including, where applicable, tests specified in Regulation (EU) 2016/1628 and the delegated and implementing acts adopted pursuant to that Regulation.

4.3.

The holder of the EU type-approval shall:

4.4.

If the further audit or check results referred to in point 4.3.6 are deemed not to be satisfactory in the opinion of the approval authority, the manufacturer shall ensure that conformity of production is restored as soon as possible by corrective actions to the satisfaction of the approval authority.

5.1.

The authority which has granted EU type-approval may at any time verify the conformity of production control methods applied in each production facility by means of periodic audits. The manufacturer shall for that purpose allow access to the manufacture, inspection, testing, storage and distribution sites and shall provide all necessary information with regard to the quality management system documentation and records.

5.2.

At every review, the records of tests, checks and production records, and in particular the records of those tests or checks documented as required in point 4.2, shall be available to the inspector.

5.3.

The inspector may select random samples to be tested in the manufacturer's laboratory or in the facilities of the technical service, in which case only physical tests shall be carried out. The minimum number of samples may be determined according to the results of the manufacturer's own verification.

5.4.

Where the level of control appears unsatisfactory, or when it seems necessary to verify the validity of the tests carried out in application of point 5.2, or upon a reasoned request from another approval authority or any market surveillance authority, the inspector shall select samples to be tested in the manufacturer's laboratory or sent to the technical service to perform physical tests in accordance with the requirements set out in section 6, in Regulation (EU) 2016/1628 and in the delegated and implementing acts adopted pursuant to that Regulation.

5.5.

Where unsatisfactory results are found by the approval authority during an inspection or a monitoring review, or by an approval authority in other Member State, in accordance with Article 39(3) of Regulation (EU) 2016/1628, the approval authority shall ensure that all necessary steps are taken to restore conformity of production as rapidly as possible.

6.1.

In case of an unsatisfactory level of product conformity control as referred to in point 5.4 or point 5.5, conformity of production shall be checked by emissions testing on the basis of the description in the EU type-approval certificates set out in Annex IV to Implementing Regulation (EU) 2017/656.

6.2.

Except otherwise provided in point 6.3, the following procedure shall apply:

6.3.

By derogation from point 6.2.1, the following procedure shall apply for engine types with a sales volume within the EU of less than 100 units per year:

6.4.

All these tests may be conducted with the applicable market fuels. However, at the manufacturer's request, the reference fuels described in Annex IX shall be used. This implies tests, as described in Appendix 1 of Annex I, with at least two of the reference fuels for each gaseous-fuelled engine, except in the case of a gaseous-fuelled engine with a fuel-specific EU type-approval where only one reference fuel is required. Where more than one gaseous reference fuel is used the results shall demonstrate that the engine meets the limit values with each fuel.

6.5.

In the case of dispute concerning compliance of gaseous-fuelled engines, including dual-fuel engines, when using a market fuel, the tests shall be performed with each reference fuel on which the parent engine has been tested, and, at the request of the manufacturer, with the possible additional third fuel, as referred to in points 2.3.1.1.1, 2.3.2.1 and 2.4.1.2 of Annex I, on which the parent engine may have been tested. When applicable, the result shall be converted by a calculation, applying the relevant factors ‘r’, ‘r a’ or ‘r b’ as described in points 2.3.3, 2.3.4.1 and 2.4.1.3 of Annex I. If r, r a or r b are less than 1, no correction shall take place. The measured results and, when applicable, the calculated results shall demonstrate that the engine meets the limit values with all relevant fuels (for example fuels 1, 2 and, if applicable, the third fuel in the case of natural gas/bio-methane engines, and fuels A and B in the case of LPG engines).

Figure 2.1

Schematic of production conformity testing

Let

:

n = the current sample number.

2.1.

This Annex details the procedures for selecting engines to be tested over a service accumulation schedule for the purpose of determining deterioration factors for engine type or engine family EU type-approval and conformity of production assessments. The deterioration factors shall be applied to the emissions measured in accordance with Annex VI and calculated in accordance with Annex VII in accordance with the procedure set out in point 3.2.7 or point 4.3, respectively.

2.2.

The service accumulation tests or the emissions tests performed to determine deterioration need not be witnessed by the approval authority.

2.3.

This Annex also details the emission-related and non-emission-related maintenance that should be or may be carried out on engines undergoing a service accumulation schedule. Such maintenance shall conform to the maintenance performed on in-service engines and communicated to the end-users of new engines.

3.1.1.

Engines shall be selected from the engine family defined in section 2 of Annex IX to Implementing Regulation (EU) 2017/656 for emission testing to establish emission durability period deterioration factors.

3.1.2.

Engines from different engine families may be further combined into families based on the type of exhaust after-treatment system utilised. In order to place engines with a different cylinder configuration but having similar technical specifications and installation for the exhaust after-treatment systems into the same engine after-treatment system family, the manufacturer shall provide data to the approval authority that demonstrates that the emissions reduction performance of such engines is similar.

3.1.3.

The engine manufacturer shall select one engine representing the engine-after-treatment system family, as determined in accordance with point 3.1.2, for testing over the service accumulation schedule referred to in point 3.2.2, and shall be reported to the approval authority before any testing commences.

3.1.4.

If the approval authority decides that the worst case emissions of the engine-after-treatment system family can be better characterised by another test engine, the test engine to be used shall be selected jointly by the approval authority and the engine manufacturer.

3.2.1.1.

At the request of the manufacturer, the approval authority may allow the use of deterioration factors that have been established using alternative procedures to those specified in points 3.2.2 to 3.2.5. In that case, the manufacturer shall demonstrate to the satisfaction of the approval authority that the alternative procedures used are not less rigorous than those set out in points 3.2.2 to 3.2.5.

3.2.2.1.1.

The manufacturer shall determine the form and duration of the service accumulation and the ageing cycle for engines in a manner consistent with good engineering judgment.

3.2.2.1.2.

The manufacturer shall determine the test points where gaseous and particulate emissions will be measured over the applicable cycles, as follows:

3.2.2.1.3.

The emission values at the start point and at the emission durability period endpoint either calculated in accordance with point 3.2.5.1 or measured directly in accordance with point 3.2.2.1.2.2, shall be within the limit values applicable to the engine family. However individual emission results from the intermediate test points may exceed those limit values.

3.2.2.1.4.

For engine categories or sub-categories to which a NRTC applies, or for engines category or sub-categories NRS to which a large spark-ignition engines non-road transient test cycles (‘LSI-NRTC’) applies, the manufacturer may request the agreement of the approval authority to run only one test cycle (either the hot-start NRTC or LSI-NRTC, as applicable, or NRSC) at each test point, and to run the other test cycle only at the beginning and at the end of the service accumulation schedule.

3.2.2.1.5.

In the case of engine categories or sub-categories for which there is no applicable non-road transient cycle given in Annex IV to Regulation (EU) 2016/1628, only the NRSC shall be run at each test point.

3.2.2.1.6.

Service accumulation schedules may be different for different engine-after-treatment system families.

3.2.2.1.7.

Service accumulation schedules may be shorter than the emission durability period, but shall not be shorter than the equivalent of at least one quarter of the relevant emission durability period specified in Annex V to Regulation (EU) 2016/1628.

3.2.2.1.8.

Accelerated ageing by adjusting the service accumulation schedule on a fuel consumption basis is permitted. The adjustment shall be based on the ratio between the typical in-use fuel consumption and the fuel consumption on the ageing cycle, but fuel consumption on the ageing cycle shall not exceed typical in-use fuel consumption by more than 30 %.

3.2.2.1.9.

The manufacturer may use, if agreed by the approval authority, alternative methods of accelerated ageing.

3.2.2.1.10.

The service accumulation schedule shall be fully described in the application for EU type-approval and reported to the approval authority before the start of any testing.

3.2.2.2.

If the approval authority decides that additional measurements need to be performed between the points selected by the manufacturer it shall notify the manufacturer. The revised service accumulation schedule shall be prepared by the manufacturer and agreed by the approval authority.

3.2.3.1.1.

For each engine-after-treatment system family, the manufacturer shall determine the number of hours of non-road mobile machinery or engine running after which the operation of the engine-after-treatment system has stabilised. If requested by the approval authority the manufacturer shall make available the data and analysis used to make this determination. As an alternative, the manufacturer may run the engine or non-road mobile machinery between 60 and 125 hours or the equivalent time on the ageing cycle to stabilise the engine-after-treatment system.

3.2.3.1.2.

The end of the stabilisation period determined in point 3.2.3.1.1 shall be deemed to be the start of the service accumulation schedule.

3.2.3.2.1.

After stabilisation, the engine shall be run over the service accumulation schedule selected by the manufacturer, as described in point 3.2.2. At the periodic intervals in the service accumulation schedule determined by the manufacturer, and, where applicable, decided by the approval authority in accordance with point 3.2.2.2, the engine shall be tested for gaseous and particulate emissions over the hot-start NRTC and NRSC, or LSI-NRTC and NRSC applicable to the engine category, as set out in Annex IV to Regulation (EU) 2016/1628.

The manufacturer may select to measure the pollutant emissions before any exhaust after-treatment system separately from the pollutant emissions after any exhaust after-treatment system.

In accordance with point 3.2.2.1.4, if it has been agreed that only one test cycle (hot-start NRTC, LSI-NRTC or NRSC) be run at each test point, the other test cycle (hot-start NRTC, LSI-NRTC or NRSC) shall be run at the beginning and at the end of the service accumulation schedule.

In accordance with point 3.2.2.1.5, in the case of engine categories or sub-categories for which there is no applicable non-road transient cycle given in Annex IV to Regulation (EU) 2016/1628, only the NRSC shall be run at each test point.

3.2.3.2.2.

During the service accumulation schedule, maintenance shall be carried out on the engine in accordance with point 3.4.

3.2.3.2.3.

During the service accumulation schedule, unscheduled maintenance on the engine or non-road mobile machinery may be performed, for example if the manufacturer's normal diagnostic system has detected a problem that would have indicated to the non-road mobile machinery operator that a fault had arisen.

3.2.4.1.

The results of all emission tests (hot-start NRTC, LSI-NRTC and NRSC) conducted during the service accumulation schedule shall be made available to the approval authority. If an emission test is declared to be void, the manufacturer shall provide reasons why the test has been declared void. In such a case, another series of emission tests shall be carried out within the following 100 hours of service accumulation.

3.2.4.2.

The manufacturer shall retain records of all information concerning all the emission tests and maintenance carried out on the engine during the service accumulation schedule. This information shall be submitted to the approval authority along with the results of the emission tests conducted over the service accumulation schedule.

3.2.5.1.

When running a service accumulation schedule in accordance with point 3.2.2.1.2.1 or point 3.2.2.1.2.3, for each pollutant measured over the hot-start NRTC, LSI-NRTC and NRSC at each test point during the service accumulation schedule, a ‘best fit’ linear regression analysis shall be made on the basis of all test results. The results of each test for each pollutant shall be expressed to the same number of decimal places as the limit value for that pollutant, as applicable to the engine family, plus one additional decimal place.

Where in accordance with point 3.2.2.1.4 or point 3.2.2.1.5, only one test cycle (hot-start NRTC, LSI-NRTC or NRSC) has been run at each test point, the regression analysis shall be made only on the basis of the test results from the test cycle run at each test point.

The manufacturer may request the prior approval of the approval authority for a non-linear regression.

3.2.5.2.

The emission values for each pollutant at the start of the service accumulation schedule and at the emission durability period end point that is applicable for the engine under test shall be either:

Where emission values are used for engine families in the same engine-after-treatment family but with different emission durability periods, then the emission values at the emission durability period end point shall be recalculated for each emission durability period by extrapolation or interpolation of the regression equation as determined in point 3.2.5.1.

3.2.5.3.

The deterioration factor (DF) for each pollutant is defined as the ratio of the applied emission values at the emission durability period end point and at the start of the service accumulation schedule (multiplicative deterioration factor).

The manufacturer may request the prior approval of the approval authority for the application of an additive DF for each pollutant may be applied. The additive DF is defined as the difference between the calculated emission values at the emission durability period end point and at the start of the service accumulation schedule.

An example for determination of DFs by using linear regression is shown in Figure 3.1 for NOx emission.

Mixing of multiplicative and additive DFs within one set of pollutants is not permitted.

If the calculation results in a value of less than 1,00 for a multiplicative DF, or less than 0,00 for an additive DF, then the deterioration factor shall be 1,0 or 0,00, respectively.

In accordance with point 3.2.2.1.4, if it has been agreed that only one test cycle (hot-start NRTC, LSI-NRTC or NRSC) be run at each test point and the other test cycle (hot-start NRTC, LSI-NRTC or NRSC) run only at the beginning and end of the service accumulation schedule, the deterioration factor calculated for the test cycle that has been run at each test point shall be applicable also for the other test cycle.

3.2.6.1.

As an alternative to using a service accumulation schedule to determine DFs, engine manufacturers may select to use assigned multiplicative DFs, as given in Table 3.1.

Assigned additive DFs shall not be given. The assigned multiplicative DFs shall not be transformed into additive DFs.

For PN, either an additive DF of 0,0 or a multiplicative DF of 1,0 may be used, in conjunction with the results of previous DF testing that did not establish a value for PN if both of the following conditions are fulfilled:

3.2.6.2.

Where assigned DFs are used, the manufacturer shall present to the approval authority robust evidence that the emission control components can reasonably be expected to have the emission durability associated with those assigned factors. This evidence may be based upon design analysis, or tests, or a combination of both.

3.2.7.1.

The engines shall meet the respective emission limits for each pollutant, as applicable to the engine family, after application of the deterioration factors to the test result as measured in accordance with Annex VI (cycle-weighted specific emission for particulate and each individual gas). Depending on the type of DF, the following provisions apply:

Cycle weighted specific emission may include the adjustment for infrequent regeneration, where applicable.

3.2.7.2.

For a multiplicative NOx + HC DF, separate HC and NOx DFs shall be determined and applied separately when calculating the deteriorated emission levels from an emissions test result before combining the resultant deteriorated NOx and HC values to establish compliance with the emission limit.

3.2.7.3.

The manufacturer may carry across the DFs determined for an engine-after-treatment system family to an engine that does not fall into the same engine-after-treatment system family. In such cases, the manufacturer shall demonstrate to the approval authority that the engine for which the engine-after-treatment system family was originally tested and the engine for which the DFs are being carried across have similar technical specifications and installation requirements on the non-road mobile machinery and that the emissions of such engine are similar.

Where DFs are carried across to an engine with a different emission durability period, the DFs shall be recalculated for the applicable emission durability period by extrapolation or interpolation of the regression equation as determined in point 3.2.5.1.

3.2.7.4.

The DF for each pollutant for each applicable test cycle shall be recorded in the test report set out in Appendix 1 of Annex VI to Implementing Regulation (EU) 2017/656.

3.3.1.

Conformity of production for emissions compliance is checked on the basis of Section 6 of Annex II.

3.3.2.

The manufacturer may measure the pollutant emissions before any exhaust after-treatment system at the same time as the EU type-approval test is being performed. For that purpose, the manufacturer may develop informal DFs separately for the engine without after-treatment system and for the after-treatment system that may be used by the manufacturer as an aid to end of production line auditing.

3.3.3.

For the purposes of EU type-approval, only the DFs determined in accordance with point 3.2.5 or 3.2.6 shall be recorded in the test report set out in Appendix 1 of Annex VI to Implementing Regulation (EU) 2017/656.

3.4.1.1.

Scheduled emission-related maintenance during engine running, undertaken for the purpose of conducting a service accumulation schedule, shall occur at equivalent intervals to those that are specified in the manufacturer's maintenance instructions to the end-user of the non-road mobile machinery or engine. This schedule maintenance may be updated as necessary throughout the service accumulation schedule provided that no maintenance operation is deleted from the maintenance schedule after the operation has been performed on the test engine.

3.4.1.2.

Any adjustment, disassembly, cleaning or exchange of critical emission-related components which is performed on a periodic basis within the emission durability period to prevent malfunction of the engine, shall only be done to the extent that is technologically necessary to ensure proper functioning of the emission control system. The need for scheduled exchange, within the service accumulation schedule and after a certain running time of the engine, of critical emission-related components other than those qualifying as routine exchange items shall be avoided. In this context, consumable maintenance items for regular renewal or items that require cleaning after a certain running time of the engine, shall qualify as routine exchange items.

3.4.1.3.

Any scheduled maintenance requirements shall be subject to approval by the approval authority before an EU type-approval is granted and shall be included in the customer's manual. The approval authority shall not refuse to approve maintenance requirements that are reasonable and technically necessary, including but not limited to those identified in point 1.6.1.4.

3.4.1.4.

The engine manufacturer shall specify for the service accumulation schedules any adjustment, cleaning, maintenance (where necessary) and scheduled exchange of the following items:

3.4.1.5.

Scheduled critical emission-related maintenance shall only be performed if it is required to be performed in-use and that requirement is communicated to the end-user of the engine or non-road mobile machinery.

3.5.1.

Repairs to the components of an engine selected for testing over a service accumulation schedule shall be performed only as a result of component failure or engine malfunction. Repair of the engine itself, the emission control system or the fuel system is not permitted except to the extent defined in point 3.5.2.

3.5.2.

If the engine, its emission control system or its fuel system fails during the service accumulation schedule, the service accumulation shall be considered void, and a new service accumulation shall be started with a new engine.

The previous paragraph shall not apply when the failed components are replaced with equivalent components that have been subject to a similar number of hours of service accumulation.

4.1.

The applicable EDP category and corresponding deterioration factor (DF) shall be determined in accordance with this section 4.

4.2.

An engine family shall be considered as compliant with the limit values required for an engine sub-category when the emissions test results of all engines representing the engine family, once adjusted by multiplication by the DF laid down in section 2, are lower than or equal to the limit values required for that engine sub-category. However, where one or more emission test results of one or more engines representing the engine family, once adjusted by multiplication by the DF laid down in section 2, are higher than one or more single emission limit values required for that engine sub-category, the engine family shall be considered not compliant with the limit values required for that engine sub-category.

4.3.

DFs shall be determined as follows:

The DF for each pollutant for the applicable test cycle shall be recorded in the test report set out in Appendix 1 of Annex VII to Implementing Regulation (EU) 2017/656.

A non-exclusive list of design and technology groupings is given below:

4.4.

1.1.

For the purposes of this Annex, the following definitions and abbreviations apply:

1.2.

Notwithstanding Article 2(7), where reference is made to ambient temperature in relation to environments other than a laboratory environment, the following provisions shall apply:

2.1.

This section 2 shall apply for electronically controlled engines of categories NRE, NRG, IWP, IWA, RLL and RLR, complying with ‘Stage V’ emission limits set out in Annex II to Regulation (EU) 2016/1628 and using electronic control to determine both the quantity and timing of injecting fuel or using electronic control to activate, de-activate or modulate the emission control system used to reduce NOx.

2.2.

2.3.

2.4.

The control conditions specify an altitude, ambient temperature and engine coolant range that determines whether auxiliary emission control strategies may generally or only exceptionally be activated in accordance with point 2.3.

The control conditions specify an atmospheric pressure which is measured as absolute atmospheric static pressure (wet or dry) (‘Atmospheric pressure’)

2.5.

Where the engine inlet air temperature sensor is being used to estimate ambient air temperature the nominal offset between the two measurement points shall be evaluated for an engine type or engine family. Where used, the measured intake air temperature shall be adjusted by an amount equal to the nominal offset to estimate ambient temperature for an installation using the specified engine type or engine family.

The evaluation of the offset shall be made using good engineering judgement based on technical elements (calculations, simulations, experimental results, data etc.) including:

A copy of the evaluation shall be made available to the approval authority upon request.

2.6.

The manufacturer shall comply with the documentation requirements laid down in point 1.4 of Part A of Annex I to Implementing Regulation (EU) 2017/656 and Appendix 2 to that Annex.

3.1.

This section 3 shall apply to electronically controlled engines of categories NRE, NRG, IWP, IWA, RLL and RLR, complying with ‘stage V’ emission limits set out in Annex II to Regulation (EU) 2016/1628 and using electronic control to determine both the quantity and timing of injecting fuel or using electronic control to activate, de-activate or modulate the emission control system used to reduce NOx.

3.2.

The manufacturer shall provide complete information on the functional operational characteristics of the NOx control measures using the documents set out in Annex I to Implementing Regulation (EU) 2017/656.

3.3.

The NOx control strategy shall be operational under all environmental conditions regularly occurring in the territory of the Union, especially at low ambient temperatures.

3.4.

The manufacturer shall demonstrate that the emission of ammonia during the applicable emission test cycle of the EU type-approval procedure, when a reagent is used, does not exceed a mean value of 25 ppm for engines of category RLL and 10 ppm for engines of all other applicable categories.

3.5.

If reagent containers are installed on or connected to a non-road mobile machinery, means for taking a sample of the reagent inside the containers must be included. The sampling point must be easily accessible without requiring the use of any specialised tool or device.

3.6.

In addition to the requirements set out in points 3.2 to 3.5, the following requirements shall apply:

4.1.

This section shall apply to engines of sub-categories subject to a PN limit in accordance with the ‘stage V’ emission limits set out in Annex II to Regulation (EU) 2016/1628 fitted with a particulate after-treatment system In cases where the NOx control system and the particulate control system share the same physical components (e.g. same substrate (SCR on filter), same exhaust gas temperature sensor) the requirements of this section shall not apply to any component or malfunction where, after consideration of a reasoned assessment provided by the manufacturer, the approval authority concludes that a particulate control malfunction within the scope of this section would lead to a corresponding NOx control malfunction within the scope of section 3.

4.2.

The detailed technical requirements relating to particulate pollutant control measures are specified in Appendix 4.

2.1.1.

If the emission control system requires a reagent, the type of reagent, information on concentration when the reagent is in solution, its operational temperature conditions a reference to international standards for composition and quality and other characteristics of that reagent shall be specified by the manufacturer in accordance with Part B of Annex I to Implementing Regulation (EU) 2017/656.

2.1.2.

Detailed written information fully describing the functional operation characteristics of the operator warning system set out in section 4 and of the operator inducement system set out in section 5 shall be provided to the approval authority at the time of EU type-approval.

2.1.3.

The manufacturer shall provide the OEM with documents with instructions on how to install the engine in the non-road mobile machinery in such manner that the engine, its emission control system and the non-road mobile machinery parts, operate in conformity with the requirements of this Appendix. This documentation shall include the detailed technical requirements of the engine (software, hardware, and communication) needed for the correct installation of the engine in the non-road mobile machinery.

2.2.1.

The NOx control diagnostic system shall be operational at

This section 2 does not apply to monitoring for reagent level in the storage tank where monitoring shall be conducted under all conditions where measurement is technically feasible (for instance, under all conditions when a liquid reagent is not frozen).

2.3.1.

It is permitted to use a heated or a non-heated reagent tank and dosing system. A heated system shall meet the requirements of point 2.3.2. A non-heated system shall meet the requirements of point 2.3.3.

2.3.2.

2.3.3.

2.4.1

The NOx Control Diagnostic system (NCD) shall be able to identify the NOx control malfunctions (NCMs) by means of Diagnostic Trouble Codes (DTCs) stored in the computer memory and to communicate that information off-board upon request.

2.4.2

2.4.3.

2.4.4.

An NCD system shall not be programmed or otherwise designed to partially or totally deactivate based on age of the non-road mobile machinery during the actual life of the engine, nor shall the system contain any algorithm or strategy designed to reduce the effectiveness of the NCD system over time.

2.4.5.

Any reprogrammable computer codes or operating parameters of the NCD system shall be resistant to tampering.

2.4.6.

The manufacturer is responsible for determining the composition of an NCD engine family. Grouping engines within an NCD engine family shall be based on good engineering judgment and be subject to approval by the approval authority.

Engines that do not belong to the same engine family may still belong to the same NCD engine family.

2.4.6.1.   Parameters defining an NCD engine family

An NCD engine family is characterized by basic design parameters that shall be common to engines within the family.

In order that engines are considered to belong to the same NCD engine family, the following list of basic parameters shall be similar:

These similarities shall be demonstrated by the manufacturer by means of relevant engineering demonstration or other appropriate procedures and subject to the approval of the approval authority.

The manufacturer may request approval by the approval authority of minor differences in the methods of monitoring/diagnosing the NCD system due to engine configuration variation, when these methods are considered similar by the manufacturer and they differ only in order to match specific characteristics of the components under consideration (for example size, exhaust gas flow, etc.); or their similarities are based on good engineering judgment.

3.1.

The manufacturer shall furnish or cause to be furnished to all end-users of new engines or machines written instructions about the emission control system and its correct operation in accordance with Annex XV.

4.1.

The non-road mobile machinery shall include an operator warning system using visual alarms that informs the operator when a low reagent level, incorrect reagent quality, interruption of dosing or a malfunction specified in section 9 has been detected that will lead to activation of the operator inducement system if not rectified in a timely manner. The warning system shall remain active when the operator inducement system described in section 5 has been activated.

4.2.

The warning shall not be the same as the warning used for the purposes of malfunction or other engine maintenance, though it may use the same warning system.

4.3.

The operator warning system may consist of one or more lamps, or display short messages, which may include, for example, messages indicating clearly:

Where messages are displayed, the system used for displaying these messages may be the same as the one used for other maintenance purposes.

4.4.

At the choice of the manufacturer, the warning system may include an audible component to alert the operator. The cancelling of audible warnings by the operator is permitted.

4.5.

The operator warning system shall be activated as specified in points 2.3.3.1, 6.2, 7.2, 8.4, and 9.3 respectively.

4.6.

The operator warning system shall be deactivated when the conditions for its activation have ceased to exist. The operator warning system shall not be automatically deactivated without the reason for its activation having been remedied.

4.7.

The warning system may be temporarily interrupted by other warning signals providing important safety related messages.

4.8.

Details of the operator warning system activation and deactivation procedures are described in section 11.

4.9.

As part of the application for EU type-approval under this Regulation, the manufacturer shall demonstrate the operation of the operator warning system, as specified in section 10.

5.1.

The engine shall incorporate an operator inducement system based on one of the following principles:

Where the manufacturer elects to shut down the engine to fulfil the requirement for one-stage severe inducement then the inducement for reagent level may, at the choice of the manufacturer, be activated under the conditions of point 6.3.2 instead of the conditions of point 6.3.1.

5.2.

The engine may be fitted with a means to disable the operator inducement on condition that it complies with the requirements of point 5.2.1.

5.3.

5.4.

5.5.

In order to account for safety concerns and to allow for self-healing diagnostics, use of an inducement override function for releasing full engine power is permitted provided it

5.6.

The operator inducement system shall be deactivated when the conditions for its activation have ceased to exist. The operator inducement system shall not be automatically deactivated without the reason for its activation having been remedied.

5.7.

Details of the operator inducement system activation and deactivation procedures are described in section 11.

5.8.

As part of the application for EU type-approval under this Regulation, the manufacturer shall demonstrate the operation of the operator inducement system, as specified in section 11.

6.2.1.

The operator warning system specified in section 4 shall be activated when the level of reagent goes below 10 % of the capacity of the reagent tank or a higher percentage at the choice of the manufacturer.

6.2.2.

The warning provided shall be sufficiently clear, in conjunction with the reagent indicator, for the operator to understand that the reagent level is low. When the warning system includes a message display system, the visual warning shall display a message indicating a low level of reagent. (for example ‘urea level low’, ‘AdBlue level low’, or ‘reagent low’).

6.2.3.

The operator warning system does not initially need to be continuously activated (for example a message does not need to be continuously displayed), however activation shall escalate in intensity so that it becomes continuous as the level of the reagent approaches empty and the point where the operator inducement system will come into effect is approached (for example frequency at which a lamp flashes). It shall culminate in an operator notification at a level that is at the choice of the manufacturer, but sufficiently more noticeable at the point where the operator inducement system in point 6.3 comes into effect than when it was first activated.

6.2.4.

The continuous warning shall not be easily disabled or ignored. When the warning system includes a message display system, an explicit message shall be displayed (for example ‘fill up urea’, ‘fill up AdBlue’, or ‘fill up reagent’). The continuous warning may be temporarily interrupted by other warning signals providing important safety related messages.

6.2.5.

It shall not be possible to turn off the operating warning system until the reagent has been replenished to a level not requiring its activation.

6.3.1

The low-level inducement system described in point 5.3 shall be activated if the reagent tank level goes below 2,5 % of its nominally full capacity or a higher percentage at the choice of the manufacturer.

6.3.2.

The severe inducement system described in point 5.4 shall be activated if the reagent tank is empty, that is, when the dosing system is unable to draw further reagent from the tank, or at any level below 2,5 % of its nominally full capacity at the discretion of the manufacturer.

6.3.3.

Except to the extent permitted by point 5.5, it shall not be possible to turn off the low-level or severe inducement system until the reagent has been replenished to a level not requiring their respective activation.

7.1.

The engine or non-road mobile machinery shall include a means of determining the presence of an incorrect reagent on board a non-road mobile machinery.

7.2.

When the monitoring system confirms that the reagent quality is incorrect, the operator warning system described in section 4 shall be activated. When the warning system includes a message display system, it shall display a message indicating the reason of the warning (for example ‘incorrect urea detected’, ‘incorrect AdBlue detected’, or ‘incorrect reagent detected’).

7.3

8.1

The engine shall include a means of determining interruption of dosing.

8.2.

8.3.

The operator warning system described in section 4 shall be activated in the case of interruption of dosing which sets the dosing activity counter in accordance with point 8.2.1. When the warning system includes a message display system, it shall display a message indicating the reason of the warning (e.g. ‘urea dosing malfunction’, ‘AdBlue dosing malfunction’, or ‘reagent dosing malfunction’).

8.4.

9.1.

In addition to the level of reagent in the reagent tank, the reagent quality, and the interruption of dosing, the following failures shall be monitored because they may be attributed to tampering:

9.2.

9.3.

The operator warning system set out in section 4 shall be activated in case any of the failures specified in point 9.1 occur, and shall indicate that an urgent repair is required. When the warning system includes a message display system, it shall display a message indicating either the reason of the warning (for example ‘reagent dosing valve disconnected’, or ‘critical emission failure’).

9.4.

9.5.

As an alternative to the requirements set out in point 9.2, the manufacturer may use a NOx sensor located in the exhaust system. In this case,

10.2.1.

The demonstration that the monitoring systems for other members of the NCD family are similar may be performed by presenting to the approval authorities such elements as algorithms, functional analyses, etc.

10.2.2.

The test engine is selected by the manufacturer in agreement with the approval authority. It may or may not be the parent engine of the considered family.

10.2.3.

In the case where engines of an engine family belong to an NCD engine family that has already been EU type-approved according to point 10.2.1 (Figure 4.3), the compliance of that engine family is deemed to be demonstrated without further testing, provided the manufacturer demonstrates to the authority that the monitoring systems necessary for complying with the requirements of this Appendix are similar within the considered engine and NCD engine families.

10.3.1.

The compliance of the warning system activation shall be demonstrated by performing two tests: lack of reagent, and one failure category considered in sections 7 to 9.

10.3.2.

10.3.3.

10.3.4.

The demonstration of the warning system activation is deemed to be accomplished if, at the end of each demonstration test performed according to point 10.3.3, the warning system has been properly activated.

10.4.1.

The demonstration of the inducement system shall be done by tests performed on an engine test bench.

10.4.2.

The test sequence shall demonstrate the activation of the inducement system in case of lack of reagent and in case of one of the failures defined in sections 7, 8, or 9.

10.4.3.

For the purpose of this demonstration,

10.4.4.

The manufacturer shall, in addition, demonstrate the operation of the inducement system under those failure conditions defined in sections 7, 8 or 9 which have not been chosen for use in demonstration tests described in points 10.4.1 to 10.4.3.

These additional demonstrations may be performed by presentation to the approval authority of a technical case using evidence such as algorithms, functional analyses, and the result of previous tests.

10.4.5.

10.4.6.

10.4.7.

Alternatively, if the manufacturer chooses, and subject to the agreement of the approval authority, the demonstration of the inducement mechanisms may be performed on a complete non-road mobile machinery in accordance with the requirements of points 5.4 and 10.4.1.2, either by mounting the non-road mobile machinery on a suitable test bed or by running it on a test track under controlled conditions.

11.1

To complement the requirements specified in this Appendix concerning the warning and inducement activation and deactivation mechanisms, this section 11 specifies the technical requirements for an implementation of those activation and deactivation mechanisms.

11.2.

11.3.

11.4.

11.4.1.   General

11.4.2.   Principle of counters mechanism

12.1.

This section 12 illustrates the activation and deactivation and counter mechanisms for some typical cases. The Figures and descriptions given in points 12.2, 12.3 and 12.4 are provided solely for the purposes of illustration in this Appendix and should not be referenced as examples of either the requirements of this Regulation or as definitive statements of the processes involved. The counter hours in Figures 4.6 and 4.7 refer to the maximum severe inducement values in Table 4.4. For simplification purposes, for example, the fact that the warning system will also be active when the inducement system is active has not been mentioned in the illustrations given.

Figure 4.4

Reactivation and resetting to zero of a counter after a period when its value has been frozen

12.2.

Figure 4.5 illustrates the operation of the activation and deactivation mechanisms when monitoring the reagent availability for four cases:

Figure 4.5

Reagent availability

12.3.

Figure 4.6 illustrates three cases of wrong reagent quality:

Figure 4.6

Filling with poor reagent quality

12.4.

Figure 4.7 illustrates three cases of failure of the urea dosing system. This Figure also illustrates the process that applies in the case of the monitoring failures described in section 9:

Figure 4.7

Failure of the reagent dosing system

13.1.

The manufacturer shall demonstrate the correct value of CDmin during EU type-approval by performing the hot-start NRTC cycle for engines of sub-category NRE-v-3, NRE-v-4, NRE-v-5 NRE-v-6 and the applicable NRSC for all other categories using a reagent with the concentration CDmin.

13.2.

The test shall follow the appropriate NCD cycle(s) or manufacturer defined pre-conditioning cycle, permitting a closed loop NOx control system to perform adaptation to the quality of the reagent with the concentration CDmin.

13.3.

The pollutant emissions resulting from this test shall be lower than the NOx threshold specified in point 7.1.1.

4.1.

The on-board computer log must record in non-volatile computer memory or counters the total number and duration of all incidents of engine operation with inadequate reagent injection or reagent quality in a manner to ensure that the information cannot be intentionally deleted.

It shall be possible for national inspection authorities to read these records with a scan tool.

4.2.

The duration of an incident logged in the memory according to point 4.1 shall commence when the reagent tank becomes empty, that is, when the dosing system is unable to draw further reagent from the tank, or at any level below 2,5 % of its nominally full capacity at the discretion of the manufacturer.

4.3.

For incidents other than those specified in point 4.1.1 the duration of an incident logged in the memory according to point 4.1 shall commence when the respective counter reaches the value for severe inducement in Table 4.4 of Appendix 1.

4.4.

The duration of an incident logged in the memory according to point 4.1 shall end when the incident has been remedied.

4.5.

When conducting a demonstration according to the requirements of section 10 of Appendix 1 the demonstration of the severe inducement system set out in point 10.1(c) of that Appendix and the corresponding Table 4.1 shall be replaced by a demonstration of the storage of an incident of engine operation with inadequate reagent injection or reagent quality.

In this case the requirements of point 10.4.1 of Appendix 1 shall apply and the manufacturer shall, in agreement with the approval authority, be permitted to accelerate the test by simulating the achievement of a certain number of operating hours.

2.1.

The manufacturer shall provide information that fully describes the functional operational characteristics of the NOx control measures, in accordance with point 1.5 of Part A of Annex I to Implementing Regulation (EU) 2017/656.

2.2.

If the emission control system requires a reagent, the characteristics of that reagent, including the type of reagent, information on concentration when the reagent is in solution, operational temperature conditions and reference to international standards for composition and quality must be specified by the manufacturer, in the information document set out in Appendix 3 of Annex I to Implementing Regulation (EU) 2017/656.

2.1.1.

If the emission control system requires a reagent e.g. fuel borne catalyst, the characteristics of that reagent, including the type of reagent, information on concentration when the reagent is in solution, operational temperature conditions and reference to international standards for composition and quality must be specified by the manufacturer, in the information document set out in Appendix 3 to Annex I to Implementing Regulation (EU) 2017/656.

2.1.2.

Detailed written information fully describing the functional operation characteristics of the operator warning system in section 4 shall be provided to the approval authority at the time of EU type-approval.

2.1.3.

The manufacturer shall provide installation documents that, when used by the OEM, will ensure that the engine, inclusive of the emission control system that is part of the approved engine type or engine family, when installed in the non-road mobile machinery, will operate, in conjunction with the necessary machinery parts, in a manner that will comply with the requirements of this Annex. This documentation shall include the detailed technical requirements and the provisions of the engine (software, hardware, and communication) needed for the correct installation of the engine in the non-road mobile machinery.

2.2.1.

The PCD system shall be operational at the following conditions:

2.3.1.

The PCD system shall be able to identify the particulate control malfunctions (PCM) considered by this Annex by means of Diagnostic Trouble Codes (DTCs) stored in the computer memory and to communicate that information off-board upon request.

2.3.2.

2.3.3.

Requirements for erasing Diagnostic trouble codes (DTCs):

2.3.4.

A PCD system shall not be programmed or otherwise designed to partially or totally deactivate based on age of the non-road mobile machinery during the actual life of the engine, nor shall the system contain any algorithm or strategy designed to reduce the effectiveness of the PCD system over time.

2.3.5.

Any reprogrammable computer codes or operating parameters of the PCD system shall be resistant to tampering.

2.3.6.

The manufacturer is responsible for determining the composition of a PCD engine family. Grouping engines within a PCD engine family shall be based on good engineering judgment and be subject to approval by the approval authority.

Engines that do not belong to the same engine family may still belong to the same PCD engine family.

2.3.6.1.   Parameters defining a PCD engine family

A PCD engine family is characterised by basic design parameters that shall be common to engines within the family.

In order that engines are considered to belong to the same PCD engine family, the following list of basic parameters shall be similar:

These similarities shall be demonstrated by the manufacturer by means of relevant engineering demonstration or other appropriate procedures and subject to the approval of the approval authority.

The manufacturer may request approval by the approval authority of minor differences in the methods of monitoring/diagnosing the PCD monitoring system due to engine configuration variation, when these methods are considered similar by the manufacturer and they differ only in order to match specific characteristics of the components under consideration (for example size, exhaust gas flow, etc.); or their similarities are based on good engineering judgment.

3.1.

The manufacturer shall furnish or cause to be furnished to all end-users of new engines or machines written instructions about the emission control system and its correct operation as required in Annex XV.

4.1.

The non-road mobile machinery shall include an operator warning system using visual alarms.

4.2.

The operator warning system may consist of one or more lamps, or display short messages.

The system used for displaying these messages may be the same as the one used for other maintenance or NCD purposes

The warning system shall indicate that an urgent repair is required. When the warning system includes a message display system, it shall display a message indicating the reason of the warning (for example ‘sensor disconnected’, or ‘critical emission failure’)

4.3.

At the choice of the manufacturer, the warning system may include an audible component to alert the operator. The cancelling of audible warnings by the operator is permitted.

4.4.

The operator warning system shall be activated as specified in point 2.3.2.2.

4.5.

The operator warning system shall be deactivated when the conditions for its activation have ceased to exist. The operator warning system shall not be automatically deactivated without the reason for its activation having been remedied.

4.6.

The warning system may be temporarily interrupted by other warning signals providing important safety related messages.

4.7.

In the application for EU type-approval under Regulation (EU) 2016/1628, the manufacturer shall demonstrate the operation of the operator warning system, as specified in Section 9.

5.1.

The PCD system shall include a non-volatile computer memory or counters to store incidents of engine operation with a DTC confirmed and active in a manner to ensure that the information cannot be intentionally deleted.

5.2.

The PCD shall store in the non-volatile memory the total number and duration of all incidents of engine operation with a DTC confirmed and active where the operator warning system has been active for 20 hours of engine operation, or a shorter period at the choice of the manufacturer.

5.3.

It shall be possible for national authorities to read these records with a scan tool.

6.1.

The PCD shall detect the complete removal of the particulate after-treatment system inclusive of the removal of any sensors used to monitor, activate, de-activate or modulate its operation.

7.1.

In the case of a confirmed and active DTC for either removal of the particulate after-treatment system or loss of the particulate after-treatment system function the reagent dosing shall be immediately interrupted. Dosing shall re-commence when the DTC is no longer active.

7.2.

The warning system shall be activated if the reagent level in the additive tank falls below the minimum value specified by the manufacturer.

8.1.

In addition to monitoring for removal of the particulate after-treatment system the following failures shall be monitored because they may be attributed to tampering:

8.2.

The PCD shall detect the complete removal of the particulate after-treatment system substrate (‘empty can’). In this case the particulate after-treatment system housing and sensors used to monitor, activate, de-activate or modulate its operation are still present.

8.3.

9.2.1.

In the case where engines of an engine family belong to a PCD engine family that has already been EU type-approved in accordance with Figure 4.8, the compliance of that engine family is deemed to be demonstrated without further testing, provided the manufacturer demonstrates to the authority that the monitoring systems necessary for complying with the requirements of this Appendix are similar within the considered engine and PCD engine families.

Figure 4.8

Previously demonstrated conformity of a PCD engine family

9.3.1.

The compliance of the warning system activation shall be demonstrated by performing two tests: loss of the particulate after-treatment system function and one failure category considered in point 6 or point 8.3 of this Annex.

9.3.2.

9.3.3.

9.3.4.

The demonstration of the warning system activation is deemed to be accomplished if, at the end of each demonstration test performed in accordance with point 9.3.3 the warning system has been properly activated and the DTC for the selected failure has a ‘confirmed and active’ status.

9.3.5

Where a particulate after-treatment system that uses a reagent is subjected to a demonstration test for loss of the particulate after-treatment system function or removal of the particulate after-treatment system it shall also be confirmed that reagent dosing has been interrupted.

2.1.1.

Variable-speed engines of category NRE with maximum net power ≥ 19 kW, variable-speed engines of category IWA with maximum net power ≥ 300 kW, variable-speed engines of category RLR and variable-speed engines of category NRG.

The control area (see Figure 5.1) is defined as follows:

upper torque limit : full load torque curve;

speed range : speed A to n hi;

where:

speed A = n lo + 0,15 × (n hi – n lo);

The following engine operating conditions shall be excluded from testing:

If the measured engine speed A is within ± 3 % of the engine speed declared by the manufacturer, the declared engine speeds shall be used. If the tolerance is exceeded for any of the test speeds, the measured engine speeds shall be used.

Intermediate test points within the control area shall be determined as follows:

where: n100 % is the 100 % speed for the corresponding test cycle.

Figure 5.1

Control area for variable-speed engines of category NRE with maximum net power ≥ 19 kW, variable-speed engines of category IWA with maximum net power ≥ 300 kW and variable-speed engines of category NRG

2.1.2.

Variable-speed engines of category NRE with maximum net power < 19 kW and variable-speed engines of category IWA with maximum net power < 300 kW

The control area specified in point 2.1.1 shall apply but with the additional exclusion of the engine operating conditions given in this point and illustrated in Figures 5.2 and 5.3.

where:

If the measured engine speeds A, B and C are within ± 3 % of the engine speed declared by the manufacturer, the declared engine speeds shall be used. If the tolerance is exceeded for any of the test speeds, the measured engine speeds shall be used.

Figure 5.2

Control area for variable-speed engines of category NRE with maximum net power < 19 kW and variable-speed engines of category IWA with maximum net power < 300 kW, speed C < 2 400 rpm

Key:

Figure 5.3

Control area for variable-speed engines of category NRE with maximum net power < 19 kW and variable-speed engines of category IWA with maximum net power < 300 kW, speed C ≥ 2 400 rpm

Key:

speed

:

100 %

torque range

:

50 % to the torque corresponding to maximum power.

Lower speed limit

:

0,7 × n 100 %

Upper boundary curve

:

%power = 100 × (%speed/90)3,5;

Lower boundary curve

:

%power = 70 × (%speed/100)2,5;

Upper power limit

:

Full load power curve

Upper speed limit

:

Maximum speed permitted by governor

1

Lower speed limit

2

Upper boundary curve

3

Lower boundary curve

4

Full load power curve

5

Governor maximum speed curve

6

Engine Control Area

Data evaluation and calculation

:

Annex VII

Test procedures for dual-fuel engines

:

Annex VIII

Reference fuels

:

Annex IX

Test cycles

:

Annex XVII

5.2.1.

The EU type-approval test shall be conducted using the appropriate NRSC and, where applicable, NRTC or LSI-NRTC, as specified in Article 24 and Annex IV to Regulation (EU) 2016/1628.

5.2.2.

The technical specifications and characteristics of the NRSC are set out in Annex XVII, Appendix 1 (discrete-mode NRSC) and Appendix 2 (ramped-modal NRSC). At the choice of the manufacturer, a NRSC test may be run as a discrete-mode NRSC or, where available, as a ramped-modal NRSC (‘RMC’) as set out in point 7.4.1.

5.2.3.

The technical specifications and characteristics of the NRTC and LSI-NRTC are set out in Appendix 3 of Annex XVII.

5.2.4.

The test cycles specified in point 7.4 and in Annex XVII are designed around percentages of maximum torque or power and test speeds that need to be determined for the correct performance of the test cycles:

The determination of the test speeds is set out in point 5.2.5, the use of torque and power in point 5.2.6.

5.2.5.

5.2.5.1.   Maximum test speed (MTS)

The MTS shall be calculated in accordance with point 5.2.5.1.1 or point 5.2.5.1.3.

5.2.5.1.1.   Calculation of MTS

In order to calculate the MTS the transient mapping procedure shall be performed in accordance with point 7.4. The MTS is then determined from the mapped values of engine speed versus power. MTS shall be calculated by means of equation (6-1), (6-2) or (6-3):

with:

with: