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

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

Article 1

Definitions

The following definitions shall apply:

(1) ‘wobbe index’ or ‘W’ means the ratio of the corresponding calorific value of a gas per unit volume and the square root of its relative density under the same reference conditions:

(2) ‘λ-shift factor’ or ‘Sλ’ means an expression that describes the required flexibility of the engine management system regarding a change of the excess-air ratio λ if the engine is fuelled with a gas composition different from pure methane;

(3) ‘liquid-fuel mode’ means the normal operating mode of a dual-fuel engine during which the engine does not use any gaseous fuel for any engine operating condition;

(4) ‘dual-fuel mode’ means the normal operating mode of a dual-fuel engine during which the engine simultaneously uses liquid fuel and a gaseous fuel at some engine operating conditions;

(5) ‘particulate after-treatment system’ means an exhaust after-treatment system designed to reduce emissions of particulate pollutants through a mechanical, aerodynamic, diffusional or inertial separation;

(6) ‘governor’ means a device or control strategy that automatically controls engine speed or load, other than an over-speed limiter as installed in an engine of category NRSh limiting the maximum engine speed for the sole purpose of preventing the engine operating at speeds in excess of a certain limit;

(7) ‘ambient temperature’ means, in relation to a laboratory environment (e.g. filter weighing room or chamber), the temperature within the specified laboratory environment;

(8) ‘base emission control strategy’ or ‘BECS’ means an emission control strategy that is active throughout the range of torque and speed over which the engine operates, unless an auxiliary emission control strategy (AECS) is activated;

(9) ‘reagent’ means any consumable or non-recoverable medium required and used for the effective operation of the exhaust after-treatment system;

(10) ‘auxiliary emission control strategy’ or ‘AECS’ means an emission control strategy that is activated and temporarily modifies a base emission control strategy (BECS) for a specific purpose and in response to a specific set of ambient and/or operating conditions and only remains in operation as long as those conditions exist;

(11) ‘good engineering judgment’ means judgments consistent with generally accepted scientific and engineering principles and available relevant information;

(12) ‘high speed’ or ‘nhi’ means the highest engine speed where 70 % of the maximum power occurs;

(13) ‘low speed’ or ‘nlo’ means the lowest engine speed where 50 % of the maximum power occurs;

(14) ‘maximum power’ or ‘Pmax’ means the maximum power in kW as designed by the manufacturer;

(15) ‘partial flow dilution’ means the method of analysing the exhaust gas whereby a part of the total exhaust gas flow is separated, then mixed with an appropriate amount of dilution air prior to reaching the particulate sampling filter;

(16) ‘drift’ means the difference between a zero or calibration signal and the respective value reported by a measurement instrument immediately after it was used in an emission test;

(17) ‘to span’ means to adjust an instrument so that it gives a proper response to a calibration standard that represents between 75 % and 100 % of the maximum value in the instrument range or expected range of use;

(18) ‘span gas’ means a purified gas mixture used to span gas analysers;

(19) ‘HEPA filter’ means high-efficiency particulate air filters that are rated to achieve a minimum initial particle-removal efficiency of 99,97 % using ASTM F 1471–93;

(20) ‘calibration’ means the process of setting a measurement system's response to an input signal so that its output agrees with a range of reference signals;

(21) ‘specific emissions’ means the mass emissions expressed in g/kWh;

(22) ‘operator demand’ means an engine operator's input to control engine output;

(23) ‘maximum torque speed’ means the engine speed at which the maximum torque is obtained from the engine, as designed by the manufacturer;

(24) ‘engine governed speed’ means the engine operating speed when it is controlled by the installed governor;

(25) ‘open crankcase emissions’ means any flow from an engine's crankcase that is emitted directly into the environment;

(26) ‘probe’ means the first section of the transfer line which transfers the sample to the next component in the sampling system;

(27) ‘test interval’ means a duration of time over which brake-specific emissions are determined;

(28) ‘zero gas’ means a gas that yields the value zero as response to its input in an analyser;

(29) ‘zeroed’ means that an instrument was adjusted in a manner that it gives a zero response to a zero calibration standard, such as purified nitrogen or purified air;

(30) ‘variable-speed non-road steady-state test cycle'’ (hereinafter ‘variable-speed NRSC’) means a non-road steady-state test cycle that is not a constant-speed NRSC;

(31) ‘constant-speed non-road steady-state test cycle’ (hereinafter ‘constant-speed NRSC’) means any of the following non-road steady-state test cycles defined in Annex IV to Regulation (EU) 2016/1628: D2, E2, G1, G2 or G3;

(32) ‘updating-recording’ means the frequency at which the analyser provides new, current, values;

(33) ‘calibration gas’ means a purified mixture of gases used to calibrate gas analysers;

(34) ‘stoichiometric’ means relating to the particular ratio of air and fuel such that if the fuel were fully oxidised, there would be no remaining fuel or oxygen;

(35) ‘storage medium’ means a particulate filter, sample bag, or any other storage device used for batch sampling;

(36) ‘full flow dilution’ means the method of mixing the exhaust gas flow with dilution air prior to separating a fraction of the diluted exhaust gas flow for analysis;

(37) ‘tolerance’ means the interval in which 95 % of a set of recorded values of a certain quantity shall lie, with the remaining 5 % of the recorded values deviating from the tolerance interval;

(38) ‘service mode’ means a special mode of a dual-fuel engine that is activated for the purpose of repairing, or of moving the non-road mobile machinery to a safe location when operation in the dual-fuel mode is not possible;

Article 2

Requirements for any other specified fuels, fuel mixtures or fuel emulsions

The reference fuels and other specified fuels, fuel mixtures or fuel emulsions included by a manufacturer in an application for EU type-approval as referred to in Article 25(2) of Regulation (EU) 2016/1628 shall comply with the technical characteristics and be described in the information folder as laid down in Annex I to this Regulation.

Article 3

Arrangements with regard to conformity of production

In order to ensure that the engines in production conform to the approved type in accordance with Article 26(1) of Regulation (EU) 2016/1628, the approval authorities shall take the measures and follow the procedures laid down in Annex II to this Regulation.

Article 4

Methodology for adapting the emission laboratory test results to include the deterioration factors

The emission laboratory test results shall be adapted to include the deterioration factors, comprising those related with the measurement of the particle number (PN) and with gaseous-fuelled engines, referred to in Article 25(1)(c) of Regulation (EU) 2016/1628, in accordance with the methodology laid down in Annex III to this Regulation.

Article 5

Requirements with regard to emission control strategies, NOx control measures and particulate control measures

The measurements and tests in respect of the emission control strategies referred to in Article 25(3)(f)(i) of Regulation (EU) 2016/1628 and of the NOx control measures referred to in Article 25(3)(f)(ii) of that Regulation and the particulate pollutant emission control measures, as well as the documentation required to demonstrate them, shall be conducted in compliance with the technical requirements laid down in Annex IV to this Regulation.

Article 6

Measurements and tests with regard to the area associated with the non-road steady-state test cycle

The measurements and tests with regard to the area referred to in Article 25(3)(f)(iii) of Regulation (EU) 2016/1628 shall be conducted in compliance with the detailed technical requirements laid down in Annex V to this Regulation.

Article 7

Conditions and methods for the conduct of tests

The conditions for conduct of the tests referred to in Articles 25(3)(a) and (b) of Regulation (EU) 2016/1628, the methods for determining the engine load and speed settings referred to in Article 24 of that Regulation, the methods for taking account of emissions of crankcase gases referred to in Article 25(3)(e)(i) of that Regulation and the methods for determining and taking account of continuous and periodic regeneration of exhaust after-treatment systems referred to in Article 25(3)(e)(ii) of that Regulation shall meet the requirements laid down in Sections 5 and 6 of Annex VI to this Regulation.

Article 8

Procedures for the conduct of tests

The tests referred to in points (a) and (f)(iv) of Article 25(3) of Regulation (EU) 2016/1628 shall be conducted in accordance with the procedures laid down in Section 7 of Annex VI and in Annex VIII to this Regulation.

Article 9

Procedures for emission measurement and sampling

The emission measurement and sampling referred to in Article 25(3)(b) of Regulation (EU) 2016/1628 shall be conducted in accordance with the procedures laid down in Section 8 of Annex VI to this Regulation and in Appendix 1 to that Annex.

Article 10

Apparatus for the conduct of tests and for emission measurement and sampling

The apparatus for the conduct of tests as referred to in Article 25(3)(a) of Regulation (EU) 2016/1628 and for emission measurement and sampling as referred to in Article 25(3)(b) of that Regulation shall comply with the technical requirements and characteristics laid down in Section 9 of Annex VI to this Regulation.

Article 11

Method for data evaluation and calculations

The data referred to in Article 25(3)(c) of Regulation (EU) 2016/1628 shall be evaluated and calculated in accordance with the method laid down in Annex VII to this Regulation.

Article 12

Technical characteristics of the reference fuels

The reference fuels referred to in Article 25(2) of Regulation (EU) 2016/1628 shall meet the technical characteristics laid down in Annex IX to this Regulation.

Article 13

Detailed technical specifications and conditions for delivering an engine separately from its exhaust after-treatment system

Where a manufacturer delivers an engine separately from its exhaust after-treatment system to an original equipment manufacturer (‘OEM’) in the Union, as provided for in Article 34(3) of Regulation (EU) 2016/1628, that delivery shall comply with the detailed technical specifications and conditions laid down in Annex X to this Regulation.

Article 14

Detailed technical specifications and conditions for the temporary placing on the market for the purposes of field testing

Engines that have not been EU type-approved in accordance with Regulation (EU) 2016/1628 shall be authorised, in accordance with Article 34(4) of that Regulation, to be temporarily placed on the market for the purposes of field testing if they comply with the detailed technical specifications and conditions laid down in Annex XI to this Regulation.

Article 15

Detailed technical specifications and conditions for special purpose engines

EU type-approvals for special purpose engines and authorisations for the placing on the market of those engines shall be granted in accordance with Article 34(5) and (6) of Regulation (EU) 2016/1628 if the detailed technical specifications and conditions laid down in Annex XII to this Regulation are fulfilled.

Article 16

Acceptance of equivalent engine type-approvals

The UNECE regulations, or amendments thereto, referred to in Article 42(4)(a) of Regulation (EU) 2016/1628 and the Union acts referred to in Article 42(4)(b) of that Regulation are set out in Annex XIII to this Regulation.

Article 17

Details of the relevant information and instructions for OEMs

The details of the information and instructions for OEMs referred to in Article 43(2), (3) and (4) of Regulation (EU) 2016/1628 are laid down in Annex XIV to this Regulation.

Article 18

Details of the relevant information and instructions for end-users

The details of the information and instructions for end-users referred to in Article 43(3) and (4) of Regulation (EU) 2016/1628 are laid down in Annex XV to this Regulation.

Article 19

Performance standards and assessment of technical services

Article 20

Characteristics of the steady-state and transient test cycles

The steady-state and transient test cycles, referred to in Article 24 of Regulation (EU) 2016/1628, shall meet the characteristics laid down in Annex XVII to this Regulation.

Article 20a

Transitional provisions

Article 21

Entry into force and application

This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

ANNEXES

Annex Number	Annex title	Page
I	Requirements for any other specified fuels, fuel mixtures or fuel emulsions
II	Arrangements with regard to conformity of production
III	Methodology for adapting the emission laboratory test results to include the deterioration factors
IV	Requirements with regard to emission control strategies, NOx control measures and particulate control measures
V	Measurements and tests with regard to the area associated with the non-road steady-state test cycle
VI	Conditions, methods, procedures and apparatus for the conduct of tests and for emission measurement and sampling
VII	Method for data evaluation and calculations
VIII	Performance requirements and test procedures for dual-fuel engines
IX	Technical characteristics of the reference fuels
X	Detailed technical specifications and conditions for delivering an engine separately from its exhaust after-treatment system
XI	Detailed technical specifications and conditions for the temporary placing on the market for the purposes of field testing
XII	Detailed technical specifications and conditions for special purpose engines
XIII	Acceptance of equivalent engine type-approvals
XIV	Details of the relevant information and instructions for OEMs
XV	Details of the relevant information and instructions for end-users
XVI	Performance standards and assessment of technical services
XVII	Characteristics of the steady-state and transient test cycles

ANNEX I

Requirements for any other specified fuels, fuel mixtures or fuel emulsions

1. Requirements for engines fuelled with liquid fuels

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:

2. Requirements for engines fuelled with natural gas/biomethane (NG) or liquefied petroleum gas (LPG), including dual-fuel engines

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.

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

Appendix 1

Summary of approval process for natural gas and LPG fuelled engines including dual-fuel engines

Tables 1.1 to 1.3.show a summary of the approval process for of natural gas fuelled engines and LPG fuelled engines and of the minimum number of tests required for approval of dual-fuel engines.

	Point 2.3: Requirements for an universal fuel range engine	Number of test runs	Calculation of ‘r’	Point 2.4: Requirements for a restricted fuel range engine	Number of test runs	Calculation of ‘r’
Refer to point 2.3.1. NG-engine adaptable to any fuel composition	GR (1) and G25 (2) At manufacturer's request engine may be tested on an additional market fuel (3), if Sl = 0,89 – 1,19	2 (max. 3)	and, if tested with an additional fuel; and
Refer to point 2.3.2. NG-engine which is self-adaptive by a switch	GR (1) and G23 (3) for H and G25 (2) and G23 (3) for L At manufacturer's request engine may be tested on a market fuel (3) instead of G23, if Sl = 0,89 – 1,19	2 for the H-range, and 2 for the L-range; at respective position of switch	and
Refer to point 2.4.1. NG-engine laid out for operation on either H-range gas or L-range gas				GR (1) and G23 (3) for H or G25 (2) and G23 (3) for L At manufacturer's request engine may be tested on a market fuel (3) instead of G23, if Sl = 0,89 – 1,19	2 for the H-range or 2 for the L-range 2	for the H-range or for the L-range
Refer to point 2.4.2. NG-engine laid out for operation on one specific fuel composition				GR (1) and G25 (2), Fine-tuning between the tests allowed. At manufacturer's request engine may be tested on: GR (1) and G23 (3) for H or G25 (2) and G23 (3) for L	2 2 for the H-range or 2 for the L-range
	Point 2.3: Requirements for an universal fuel range engine	Number of test runs	Calculation of ‘r’	Point 2.4: Requirements for a restricted fuel range engine	Number of test runs	Calculation of ‘r’
---	---	---	---	---	---	---
Refer to point 2.3.4. LPG-engine adaptable to any fuel composition	Fuel A and fuel B	2
Refer to point 2.4.2. LPG-engine laid out for operation on one specific fuel composition				Fuel A and fuel B, fine-tuning between the tests allowed	2
Dual-fuel type	Liquid-fuel mode	Dual-fuel mode
---	---	---	---	---	---
CNG	LNG	LNG20	LPG
1A		Universal or restricted (2 tests)	Universal (2 tests)	Fuel-specific (1 test)	Universal or restricted (2 tests)
1B	Universal (1 test)	Universal or restricted (2 tests)	Universal (2 tests)	Fuel-specific (1 test)	Universal or restricted (2 tests)
2A		Universal or restricted (2 tests)	Universal (2 tests)	Fuel-specific (1 test)	Universal or restricted (2 tests)
2B	Universal (1 test)	Universal or restricted (2 tests)	Universal (2 tests)	Fuel-specific (1 test)	Universal or restricted (2 tests)
3B	Universal (1 test)	Universal or restricted (2 tests)	Universal (2 tests)	Fuel-specific (1 test)	Universal or restricted (2 tests)

ANNEX II

Arrangements with regard to conformity of production

1. Definitions

For the purposes of this Annex the following definitions shall apply:

1.1. ‘quality management system’ means a set of interrelated or interacting elements that organisations use to direct and control how quality policies are implemented and quality objectives are achieved;

1.2. ‘audit’ means an evidence-gathering process used to evaluate how well audit criteria are being applied; it should be objective, impartial and independent, and the audit process should be both systematic and documented;

1.3. ‘corrective actions’ means a problem-solving process with subsequent steps taken to remove the causes of a nonconformity or undesirable situation and designed to prevent their recurrence;

2. Purpose

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. Initial assessment

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.

4. Product conformity arrangements

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. Continued verification arrangements

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. Conformity of production test requirements in cases of an unsatisfactory level of product conformity control as referred to in point 5.4.

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.

6.3. 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.  For engines fuelled with natural gas/biomethane (NG) or liquefied petroleum gas (LPG), including dual-fuel engines, the tests shall be performed 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 type-approval where only one reference fuel is required, as described in Appendix 1 to Annex I. 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

Appendix 1

Procedure for production conformity testing

1.This appendix describes the procedure to be used to verify production conformity for the emissions of pollutants.

2.With a minimum sample size of three engines, the sampling procedure shall be set out so that the probability of a lot passing a test with 30 % of the engines defective is 0,90 (producer's risk = 10 %) while the probability of a lot being accepted with 65 % of the engines defective is 0,10 (consumer's risk = 10 %).

3.The following procedure is used for each of the emission pollutants (see Figure 2.1):

4.Determine for the sample the test statistic quantifying the cumulative number of nonconforming tests at the n^th test.

5.Then:

(a) If the test statistic is less than or equal to the pass decision number for the sample size given in Table 2.1, a pass decision shall be reached for the pollutant;

(b) If the test statistic is greater than or equal to the fail decision number for the sample size given in Table 2.1, a fail decision shall be reached for the pollutant;

(c) Otherwise, an additional engine is tested in accordance with point 6.2 and the calculation procedure shall be applied to the sample increased by one more unit.

In Table 2.1 the pass and fail decision numbers shall be calculated by means of the International Standard ISO 8422/1991.

Table 2.1

Test statistics for production conformity testing

Minimum sample size: 3	Minimum sample size for pass decision: 4
Cumulative number of engines tested (sample size)	Pass decision number
---	---
3	—
4	0
5	0
6	1
7	1
8	2
9	2
10	3
11	3
12	4
13	4
14	5
15	5
16	6
17	6
18	7
19	8

ANNEX III

Methodology for adapting the emission laboratory test results to include the deterioration factors

1. Definitions

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

1.1. ‘Ageing cycle’ means the non-road mobile machinery or engine operation (speed, load, power) to be executed during the service accumulation period.

1.2. ‘Critical emission-related components’ means the exhaust after- treatment system, the electronic engine control unit and its associated sensors and actuators, and the exhaust gas recirculation (EGR) including all related filters, coolers, control valves and tubing.

1.3. ‘Critical emission-related maintenance’ means the maintenance to be performed on critical emission-related components of the engine.

1.4. ‘Emission-related maintenance’ means the maintenance which substantially affects emissions or which is likely to affect emissions performance of the non-road mobile machinery or the engine during normal in-use operation.

1.5. ‘Engine-after-treatment system family’ means a manufacturer's grouping of engines that comply with the definition of engine family, but which are further grouped into a family of engine families utilising a similar exhaust after-treatment system.

1.6. ‘Non-emission-related maintenance’ means maintenance which does not substantially affect emissions and which does not have a lasting effect on the emissions performance deterioration of the non-road mobile machinery or the engine during normal in-use operation once the maintenance is performed.

1.7. ‘Service accumulation schedule’ means the ageing cycle and the service accumulation period for determining the deterioration factors for the engine-after-treatment system family.

2. General

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. Engine categories NRE, NRG, IWP, IWA, RLL, RLR, SMB, ATS and sub-categories NRS-v-2b and NRS-v-3

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 or where no after-treatment is used, based upon the similarity of the technical characteristics of the emission control system. Engines of different bore and stroke, different configuration, different air management systems or different fuel systems may be considered equivalent in respect to emissions deterioration characteristics if the manufacturer provides data to the approval authority that there is a reasonable technical basis for such determination. In order to place engine families 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 test engine shall represent the emission deterioration characteristics of the engine families that will apply the resulting deterioration factors for type approval. The engine manufacturer shall select one engine representing the engine family, group of engine families or 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, which 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 family, group of engine families or 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.

Deterioration factors applicable to an engine family, group of engine families or an engine-after-treatment system family shall be developed from the selected engines based on a service accumulation schedule that includes periodic testing for gaseous and particulate emissions over each test cycle applicable to the engine category, as given in Annex IV to Regulation (EU) 2016/1628. In the case of non-road transient test cycles for engines of category NRE (‘NRTC’), only the results of the hot-start run of the NRTC (‘hot-start NRTC’) shall be used.

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.

Service accumulation schedules may be carried out at the choice of the manufacturer by running a non-road mobile machinery equipped with the selected engine over an ‘in-service’ accumulation schedule or by running the selected engine over a ‘dynamometer service’ accumulation schedule. The manufacturer shall not be required to use reference fuel for the service accumulation in-between emission measurement test points.

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 group of engine families or 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. Figure 3.1 Example of DF determination

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. Table 3.1 Assigned deterioration factors Test cycle CO HC NOx PM PN NRTC and LSI-NRTC 1,3 1,3 1,15 1,05 1,0 NRSC 1,3 1,3 1,15 1,05 1,0 Assigned additive DFs shall not be given. The assigned multiplicative DFs shall not be transformed into additive DFs. ————— 3.2.6.1.1. Notwithstanding point 3.2.6.1, 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: (a) the previous DF test was conducted on engine technology that would have qualified for inclusion in the same engine after-treatment system family, as set out in point 3.1.2, as the engine family to which it is intended to apply the DFs; and, (b) the test results were used in a previous type-approval granted before the applicable EU type-approval date given in Annex III to Regulation (EU) 2016/1628.
Test cycle	CO	HC	NOx	PM	PN
NRTC and LSI-NRTC	1,3	1,3	1,15	1,05	1,0
NRSC	1,3	1,3	1,15	1,05	1,0
3.2.6.1.1.	Notwithstanding point 3.2.6.1, 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: (a) the previous DF test was conducted on engine technology that would have qualified for inclusion in the same engine after-treatment system family, as set out in point 3.1.2, as the engine family to which it is intended to apply the DFs; and, (b) the test results were used in a previous type-approval granted before the applicable EU type-approval date given in Annex III to Regulation (EU) 2016/1628.

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.

For the purpose of the service accumulation schedule, maintenance shall be performed in accordance with the manufacturer's manual for service and maintenance.

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 3.4.1.4.

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.

The manufacturer shall submit a request to the approval authority for approval of any new scheduled maintenance that it wishes to perform during the service accumulation schedule and subsequently to recommend to end-users of non-road mobile machinery and engines. The request shall be accompanied by data supporting the need for the new scheduled maintenance and the maintenance interval.

Non-emission-related scheduled maintenance which is reasonable and technically necessary (for example oil change, oil filter change, fuel filter change, air filter change, cooling system maintenance, idle speed adjustment, governor, engine bolt torque, valve lash, injector lash, adjustment of the tension of any drive-belt, etc.) may be performed on engines or non-road mobile machinery selected for the service accumulation schedule at the least frequent intervals recommended by the manufacturer to the end-user (for example not at the intervals recommended for severe service).

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. Engine categories and sub-categories NRSh and NRS, except for NRS-v-2b and NRS-v-3

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:

4.4.	EDP categories4.4.1. For those engine categories in Table V-3 or V-4 of Annex V to Regulation (EU) 2016/1628 that have alternative values for EDP, manufacturers shall declare the applicable EDP category for each engine family at the time of EU type-approval. Such category shall be the category from Table 3.2 which most closely approximates the expected useful lives of the equipment into which the engines are expected to be installed as determined by the engine manufacturer. Manufacturers shall retain data appropriate to support their choice of EDP category for each engine family. Such data shall be supplied to the approval authority upon request. Table 3.2 EDP categories EDP Category Application of Engine Cat 1 Consumer products Cat 2 Semi-professional products Cat 3 Professional products 4.4.2. The manufacturer shall demonstrate to the satisfaction of the approval authority that the declared EDP category is appropriate. Data to support a manufacturer's choice of EDP category, for a given engine family, may include but are not limited to: — surveys of the life spans of the equipment in which the subject engines are installed, — engineering evaluations of field aged engines to ascertain when engine performance deteriorates to the point where usefulness and/or reliability is impacted to a degree sufficient to necessitate overhaul or replacement, — warranty statements and warranty periods, — marketing materials regarding engine life, — failure reports from engine customers, and — engineering evaluations of the durability, in hours, of specific engine technologies, engine materials or engine designs.
4.4.1.	For those engine categories in Table V-3 or V-4 of Annex V to Regulation (EU) 2016/1628 that have alternative values for EDP, manufacturers shall declare the applicable EDP category for each engine family at the time of EU type-approval. Such category shall be the category from Table 3.2 which most closely approximates the expected useful lives of the equipment into which the engines are expected to be installed as determined by the engine manufacturer. Manufacturers shall retain data appropriate to support their choice of EDP category for each engine family. Such data shall be supplied to the approval authority upon request. Table 3.2 EDP categories EDP Category Application of Engine Cat 1 Consumer products Cat 2 Semi-professional products Cat 3 Professional products
EDP Category	Application of Engine
Cat 1	Consumer products
Cat 2	Semi-professional products
Cat 3	Professional products
4.4.2.	The manufacturer shall demonstrate to the satisfaction of the approval authority that the declared EDP category is appropriate. Data to support a manufacturer's choice of EDP category, for a given engine family, may include but are not limited to: — surveys of the life spans of the equipment in which the subject engines are installed, — engineering evaluations of field aged engines to ascertain when engine performance deteriorates to the point where usefulness and/or reliability is impacted to a degree sufficient to necessitate overhaul or replacement, — warranty statements and warranty periods, — marketing materials regarding engine life, — failure reports from engine customers, and — engineering evaluations of the durability, in hours, of specific engine technologies, engine materials or engine designs.

ANNEX IV

Requirements with regard to emission control strategies, NOx control measures and particulate control measures

1. Definitions abbreviations and general requirements

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. Technical requirements relating to emission control strategies

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.

2.5. 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.

3. Technical requirements relating to NOx control measures

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. Technical requirements relating to particulate pollutant control measures

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.

Appendix 1

Additional technical requirements on NOx control measures for engines of categories NRE and NRG, including the method to demonstrate these strategies

1. Introduction

This Appendix sets out the additional requirements to ensure the correct operation of NOx control measures. It includes requirements for engines that rely on the use of a reagent in order to reduce emissions. The EU type-approval shall be made conditional upon the application of the relevant provisions on operator instruction, installation documents, operator warning system, inducement system and reagent freeze protection that are set out in this Appendix.

2. General requirements

The engine shall be equipped with a NOx Control Diagnostic system (NCD) able to identify the NOx control malfunctions (NCMs). Any engine covered by this section 2 shall be designed, constructed and installed so as to be capable of meeting these requirements throughout the normal life of the engine under normal conditions of use. In achieving this objective it is acceptable that engines which have been used in excess of the emission durability period as specified in Annex V to Regulation (EU) 2016/1628 show some deterioration in the performance and the sensitivity of the NOx Control Diagnostic system (NCD), such that the thresholds specified in this Annex may be exceeded before the warning and/or inducement systems are activated.

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. Monitoring for reagent level in the storage tank shall be conducted under all conditions where measurement is technically feasible (for instance, under all conditions when a liquid reagent is not frozen).

2.2.2. Reagent freeze protection shall apply at ambient temperatures at or below 266 K (– 7 °C).

2.2.3. All elements of the NOx control diagnostic system other than those listed in points 2.2.1 and 2.2.2 shall, at a minimum, be operational at the applicable control conditions set out in point 2.4 of this Annex for each engine category. The diagnostic system shall remain operational outside of this range where technically possible.

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.

2.4.4. 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. Maintenance requirements

3.1. The OEM shall provide to all end-users of new non-road mobile machinery written instructions about the emission control system and its correct operation in accordance with Annex XV.

4. Operator warning system

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. Operator inducement system

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

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. Reagent availability

The non-road mobile machinery shall include an indicator that clearly informs the operator of the level of reagent in the reagent storage tank. The minimum acceptable performance level for the reagent indicator is that it shall continuously indicate the reagent level whilst the operator warning system referred to in section 4 is activated. The reagent indicator may be in the form of an analogue or digital display, and may show the level as a proportion of the full tank capacity, the amount of remaining reagent, or the estimated operating hours remaining.

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. Reagent quality monitoring

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’).

8. Reagent dosing activity

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

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’).

9. Other failures that may be attributed to tampering

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:

9.3. 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’).

9.5. As an alternative to the monitoring requirements set out in point 9.2, the manufacturer may monitor for failures using a NOx sensor located in the exhaust system. In this case,

10. Demonstration requirements

The compliance to the requirements of this Appendix shall be demonstrated during EU type-approval by performing, as illustrated in Table 4.1 and specified in this section 10:

(a) a demonstration of the warning system activation;

(b) a demonstration of the low level inducement system activation, if applicable;

(c) a demonstration of the severe inducement system activation

The compliance of an engine family or an NCD engine family with the requirements of this section 10 may be demonstrated by testing one of the members of the considered family, provided the manufacturer demonstrates to the approval authority that the monitoring systems necessary for complying with the requirements of this Appendix are similar within the family.

10.2.1. The demonstration that the monitoring systems for other members of the NCD engine 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, as referred to in 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.

Mechanism	demonstration elements
Warning system activation specified in point 10.3	— 2 activation tests (incl. lack of reagent) — Supplementary demonstration elements, as appropriate
Low-level inducement activation specified in point 10.4.	— 2 activation tests (incl. lack of reagent) — Supplementary demonstration elements, as appropriate — 1 torque reduction test
Severe inducement activation specified in point 10.4	— 2 activation tests (incl. lack of reagent) — Supplementary demonstration elements, as appropriate

10.3.1. The compliance of the warning system activation shall be demonstrated by performing two tests: lack of reagent, and one failure category identified in sections 7, 8 or 9.

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.

10.4.2. The test sequence shall demonstrate the activation of the inducement system in case of the failure selected by the approval authority from the list as referred to in point 10.3.2.1 for the test of the warning system.

10.4.3. For the purpose of this demonstration,

10.5.1. A demonstration report shall document the demonstration of the NCD system. The report shall:

11. Description of the operator warning and inducement activation and deactivation mechanisms

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.