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

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Regulation (EU) 2016/1628 of the European Parliament and of the Council of 14 September 2016 on requirements relating to gaseous and particulate pollutant emission limits and type-approval for internal combustion engines for non-road mobile machinery, amending Regulations (EU) No 1024/2012 and (EU) No 167/2013, and amending and repealing Directive 97/68/EC (1), and in particular Article 24(11), Article 25(4)(a), (b) and (c), Article 26(6), Article 34(9), Article 42(4), Article 43(5) and Article 48 thereof,

Whereas:

In order to complete the framework established by Regulation (EU) 2016/1628, it is necessary to set out the technical and general requirements and test methods relating to emission limits, EU type-approval procedures for internal combustion engines for non-road mobile machinery, arrangements with regard to conformity of production and the requirements and procedures relating to technical services for those engines.

By Council Decision 97/836/EC (2) , the Union has acceded to the Agreement of the United Nations Economic Commission for Europe (UNECE) concerning the adoption of uniform technical prescriptions for wheeled vehicles, equipment and parts which can be fitted to and/or be used on wheeled vehicles and the conditions for reciprocal recognition of approvals granted on the basis of these prescriptions.

With the aim to ensure that the provisions on the construction of engines to be installed in non-road mobile machinery correspond to the technical progress, the latest versions of CEN/Cenelec or ISO standards which are accessible to the public should be made applicable as regards to certain requirements.

Checks on the conformity of engines with the applicable technical requirements throughout the production process are an essential part of the EU type-approval process. Therefore, checks on the conformity of production procedures should be further improved and aligned with the stricter procedures applicable to road vehicles in order to increase the overall efficiency of the EU type-approval process.

In order to ensure that technical services meet the same high level of performance standards in all Member States, this Regulation should set out the harmonised requirements with which technical services have to comply, as well as the procedure for the assessment of that compliance and for the accreditation of those services.

For the sake of clarity, it is appropriate to align the numbering of test procedures in this Regulation with those in Global Technical Regulation No 11 (3) and in UNECE Regulation 96 (4) ,

HAS ADOPTED THIS REGULATION:

Article 1

Definitions

The following definitions shall apply:

‘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:

‘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;

‘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;

‘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;

‘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;

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

‘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;

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

‘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;

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

‘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;

‘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;

‘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;

‘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;

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

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

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

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

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

‘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;

‘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;

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

‘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;

‘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;

‘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;

‘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(3)(d), Article 25(4)(d) and Article 25(4)(e) 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

1. Technical services shall comply with the performance standards laid down in Annex XVI.

2. Approval authorities shall assess the technical services in accordance with the procedure laid down in Annex XVI to this Regulation.

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 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.

(1) OJ L 252, 16.9.2016, p. 53.

(2) Council Decision of 27 November 1997 with a view to accession by the European Community to the Agreement of the United Nations Economic Commission for Europe concerning the adoption of uniform technical prescriptions for wheeled vehicles, equipment and parts which can be fitted to and/or be used on wheeled vehicles and the conditions for reciprocal recognition of approvals granted on the basis of these prescriptions (‘Revised 1958 Agreement’) (OJ L 346, 17.12.1997, p. 78).

(3) http://www.unece.org/trans/main/wp29/wp29wgs/wp29gen/wp29glob_registry.html

(4) OJ L 88, 22.3.2014, p. 1.

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

Conditions, methods, procedures and apparatus for the conduct of tests and for emission measurement and sampling

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

At manufacturer's request engine may be tested on a market fuel (3) instead of G23,

At manufacturer's request engine may be tested on a market fuel (3) instead of G23,

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.

(3) Commission Delegated Regulation (EU) 2017/655 of 19 December 2016 supplementing Regulation (EU) 2016/1628 of the European Parliament and of the Council with regard to monitoring of gaseous pollutant emissions from in-service internal combustion engines installed in non-road mobile machinery (See page 334 of this Official Journal).

(2) Commission Implementing Regulation (EU) 2017/656 of 19 December 2016 laying down the administrative requirements relating to emission limits and type-approval of internal combustion engines for non-road mobile machinery in accordance with Regulation (EU) 2016/1628 of the European Parliament and of the Council (See page 364 of this Official Journal).

(1) Directive 98/70/EC of the European Parliament and of the Council of 13 October 1998 relating to the quality of petrol and diesel fuels and amending Council Directive 93/12/EEC ( OJ L 350, 28.12.1998, p. 58 ).

in addition to the requirements set out in section 2, demonstrate that the dual-fuel engines are subject to the tests and comply with the requirements set out in Annex VIII.

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

2.6.2. Where the technical service determines that, with regard to the selected parent engine the submitted application does not fully represent the engine family defined in Annex IX to Implementing Regulation (EU) 2017/656, an alternative and if necessary an additional reference test engine may be selected by the technical service and tested.

2.6.1. With the exception of the case mentioned in point 2.6.2, the EU type-approval of a parent engine shall be extended to all family members, without further testing, for any fuel composition within the range for which the parent engine has been EU type-approved (in the case of engines described in point 2.5) or the same range of fuels (in the case of engines described in either point 2.3 or 2.4) for which the parent engine has been EU type-approved.

2.5.2.1. For a dual-fuel engine family the engines shall be calibrated for a specific LNG gas composition resulting in a λ-shift factor not differing by more than 3 % from the λ-shift factor of the G20 fuel specified in Annex IX, and the ethane content of which does not exceed 1,5 %, the parent engine shall only be tested on the G20 reference gas fuel, or on the equivalent fuel created using an admixture of pipeline gas with other gases, as specified in Appendix 1 of Annex IX.

2.5.1.2. If the requirements set out in point 2.5.1.1.are not fulfilled, the manufacturer shall apply for a universal fuel engine according to the specifications set out in point 2.1.3.2.

2.5.1.1. The engine shall be calibrated for a specific LNG gas composition resulting in a λ-shift factor not differing by more than 3 % from the λ -shift factor of the G20 fuel specified in Annex IX, and the ethane content of which does not exceed 1,5 %.

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.

2.4.2.3. On delivery to the customer the engine shall bear a label as specified in Annex III to Implementing Regulation (EU) 2017/656 stating for which fuel range composition the engine has been calibrated.

2.4.2.2. For engines fuelled with CNG, the manufacturer may test the engine on the reference fuels GR and G23, or on the reference fuels G25 and G23, or on the equivalent fuels created using admixtures of pipeline gas with other gases as specified in Appendix 1 of Annex IX, in which case the EU type-approval is only valid for the H-range or the L-range of gases respectively.

2.4.2.1. The parent engine shall meet the emission requirements on the reference fuels GR and G25 or on the equivalent fuels created using admixtures of pipeline gas with other gases as specified in Appendix 1 of Annex IX in the case of CNG, on the reference fuels GR and G20 or on the equivalent fuels created using admixtures of pipeline gas with other gases as specified in Appendix 2 of Annex VI in the case of LNG, or on the reference fuels A and B in the case of LPG, as specified in Annex IX. Fine-tuning of the fuelling system is allowed between the tests. This fine-tuning will consist of a recalibration of the fuelling database, without any alteration to either the basic control strategy or the basic structure of the database. If necessary the exchange of parts that are directly related to the amount of fuel flow such as injector nozzles is allowed.

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

2.4.1.4. On delivery to the customer the engine shall bear a label as specified in Annex III to Regulation (EU) 2016/1628 stating for which range of gases the engine is EU type-approved.

2.4.1.3. The ratio of emission results ‘r’ shall be determined for each pollutant as follows:

2.4.1.2. The manufacturers may test the engine on a third fuel instead of G23 (fuel 3) if the λ-shift factor (Sλ) lies between 0,89 (that is the lower range of GR) and 1,19 (that is the upper range of G25), for example when fuel 3 is a market fuel. The results of this test may be used as a basis for the evaluation of the conformity of the production.

2.4.1.1. The parent engine shall be tested on the relevant reference fuel, as specified in Annex IX, for the relevant range. The fuels are GR (fuel 1) and G23 (fuel 3) for the H-range of gases and G25 (fuel 2) and G23 (fuel 3) for the L-range of gases or the equivalent fuels created using admixtures of pipeline gas with other gases as specified in Appendix 1 of Annex IX. The parent engine shall meet the requirements of this Regulation without any readjustment to the fuelling between the two tests. One adaptation run is permitted after the change of the fuel. The adaption run shall consist of performing the pre-conditioning for the following emission test according to the respective test cycle. In the case of engines tested on the NRSC, where the pre-conditioning cycle is inadequate for the engine fuelling to self-adapt an alternative adaption run specified by the manufacturer may be performed prior to pre-conditioning the engine.

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

2.3.4.1. The ratio of emission results ‘r’ shall be determined for each pollutant as follows:

For engines fuelled with LPG there are variations in C3/C4 composition. These variations are reflected in the reference fuels. The parent engine shall meet the emission requirements on the reference fuels A and B as specified in Annex IX without any readjustment to the fuelling between the two tests. One adaptation run is permitted after the change of the fuel. The adaption run shall consist of performing the pre-conditioning for the following emission test according to the respective test cycle. In the case of engines tested on the NRSC, where the pre-conditioning cycle is inadequate for the engine fuelling to self-adapt an alternative adaption run specified by the manufacturer may be performed prior to pre-conditioning the engine.

2.3.4. For engines fuelled with LPG the manufacturer shall demonstrate the parent engine's capability to adapt to any fuel composition that may occur across the market.

2.3.3. For engines fuelled with natural gas/biomethane, the ratio of the emission results ‘r’ shall be determined for each pollutant as follows:

2.3.2.1. The manufacturers may test the engine on a third fuel instead of G23 (fuel 3) if the λ-shift factor (Sλ) lies between 0,89 (that is the lower range of GR) and 1,19 (that is the upper range of G25), for example when fuel 3 is a market fuel. The results of this test may be used as a basis for the evaluation of the conformity of the production.

2.3.2. For engines fuelled with compressed natural gas/biomethane (CNG) which are self-adaptive for the range of H-gases on the one hand and the range of L-gases on the other hand, and which switch between the H-range and the L-range by means of a switch, the parent engine shall be tested on the relevant reference fuel as specified in in Annex IX for each range, at each position of the switch. The fuels are GR (fuel 1) and G23 (fuel 3) for the H-range of gases and G25 (fuel 2) and G23 (fuel 3) for the L-range of gases, or the equivalent fuels created using admixtures of pipeline gas with other gases as specified in Appendix 1 of Annex IX. The parent engine shall meet the requirements of this Regulation at both positions of the switch without any readjustment to the fuelling between the two tests at each position of the switch. One adaptation run is permitted after the change of the fuel. The adaption run shall consist of performing the pre-conditioning for the following emission test according to the respective test cycle. In the case of engines tested on the NRSC, where the pre-conditioning cycle is inadequate for the engine fuelling to self-adapt an alternative adaption run specified by the manufacturer may be performed prior to pre-conditioning the engine.

2.3.1.2. For engines fuelled with liquefied natural gas/liquefied biomethane (LNG), the parent engine shall meet the requirements of this Regulation on the reference fuels GR (fuel 1) and G20 (fuel 2), as specified in Annex IX, or on the equivalent fuels created using admixtures of pipeline gas with other gases as specified in Appendix 1 of Annex IX, without any manual readjustment to the engine fuelling system between the two tests (self-adaptation is required). One adaptation run is permitted after the change of the fuel. The adaption run shall consist of performing the pre-conditioning for the following emission test according to the respective test cycle. In the case of engines tested on the NRSC, where the pre-conditioning cycle is inadequate for the engine fuelling to self-adapt an alternative adaption run specified by the manufacturer may be performed prior to pre-conditioning the engine.

2.3.1.1.1. The manufacturer may test the engine on a third fuel (fuel 3) if the λ-shift factor (Sλ) lies between 0,89 (that is the lower range of GR) and 1,19 (that is the upper range of G25), for example when fuel 3 is a market fuel. The results of this test may be used as a basis for the evaluation of the conformity of the production.

The parent engine shall meet the requirements of this Regulation on the reference fuels GR (fuel 1) and G25 (fuel 2), as specified in Annex IX, or on the equivalent fuels created using admixtures of pipeline gas with other gases as specified in Appendix 1 of Annex IX, without any manual readjustment to the engine fuelling system between the two tests (self-adaptation is required). One adaptation run is permitted after the change of the fuel. The adaption run shall consist of performing the pre-conditioning for the following emission test according to the respective test cycle. In the case of engines tested on the non-road steady-state test cycles (‘NRSC’), where the pre-conditioning cycle is inadequate for the engine fuelling to self-adapt an alternative adaption run specified by the manufacturer may be performed prior to pre-conditioning the engine.

2.3.1.1. For engines fuelled with compressed natural gas/biomethane (CNG) there are generally two types of fuel, high calorific fuel (H-gas) and low calorific fuel (L-gas), but with a significant spread within both ranges; they differ significantly in their energy content expressed by the Wobbe Index and in their λ-shift factor (Sλ). Natural gases with a λ-shift factor between 0,89 and 1,08 (0,89 ≤ Sλ ≤ 1,08) are considered to belong to H-range, while natural gases with a λ-shift factor between 1,08 and 1,19 (1,08 ≤ Sλ ≤ 1,19) are considered to belong to L-range. The composition of the reference fuels reflects the extreme variations of Sλ.

2.3.1. For engines fuelled with natural gas/biomethane, including dual-fuel engines, the manufacturer shall demonstrate the parent engine's capability to adapt to any natural gas/biomethane composition that may occur across the market. That demonstration shall be carried out in accordance with this section 2 and in case of dual-fuel engines, also in accordance with the additional provisions regarding the fuel adaptation procedure set out in point 6.4 of Annex VIII.

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.

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

1.3.2. For E 85, the parent engine shall meet the applicable limit values set out in Annex II to Regulation (EU) 2016/1628 and the requirements set out in this Regulation when the engine is operated on the reference fuel specified point 2.2 of Annex IX.

1.3.1. For ED 95, the parent engine shall meet the applicable limit values set out in Annex II to Regulation (EU) 2016/1628 and the requirements set out in this Regulation when the engine is operated on the reference fuel specified in point 1.2 of Annex IX.

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

1.2.4. For SI engines, the fuel/oil mixture ratio must be the ratio which shall be recommended by the manufacturer. The percentage of oil in the fuel/lubricant mixture shall be recorded in the information document set out in Implementing Regulation (EU) 2017/656.

be liable to meet the requirements of in-service monitoring specified in Commission Delegated Regulation (EU) 2017/655 (3) on the fuels, fuel mixtures or emulsions declared, including any blend between the declared fuels, fuel mixtures or emulsions, and the applicable market fuel identified in point 1.2.2.1.

demonstrate the capability of the parent engine to meet the requirements of this Regulation on the fuels, fuel mixtures or emulsions declared;

declare, in the information document set out in Commission Implementing Regulation (EU) 2017/656 (2) , the specification of the commercial fuels, fuel mixtures or emulsions on which the engine family is capable to run;

1.2.3. If the manufacturer permits engines to run on additional market fuels other than those identified in point 1.2.2, such as running on B100 (EN 14214:2012+A1:2014), B20 or B30 (EN16709:2015), or on specific fuels, fuel mixtures or fuel emulsions, all of the following actions shall be taken by the manufacturer in addition to the requirements of point 1.2.2.1:

In the case of diesel (non-road gas-oil), Directive 98/70/EC and also both a cetane number not less than 45 and FAME not greater than 7,0 % v/v.

In the case of diesel (other than non-road gas-oil), Directive 98/70/EC of the European Parliament and of the Council or the CEN standard EN 590:2013;

In the case of petrol, Directive 98/70/EC or the CEN standard EN 228:2012. Lubricating oil may be added according to the specification of the manufacturer;

1.2.2.1. The engine manufacturer shall not indicate at the moment of EU type-approval that an engine type or engine family may be operated within the Union on market fuels other than those that comply with the requirements in this point unless the manufacturer additionally complies with the requirement in point 1.2.3.

1.2.2. In the absence of either a standard from the European Committee for Standardization (‘CEN standard’) for non-road gas-oil or a table of fuel properties for non-road gas-oil in Directive 98/70/EC of the European Parliament and of the Council (1) , the diesel (non-road gas-oil) reference fuel in Annex IX shall represent market non-road gas-oils with a sulphur content not greater than 10 mg/kg, cetane number not less than 45 and an Fatty-Acid Methyl Ester (‘FAME’) content not greater than 7,0 % v/v. Except where otherwise permitted in accordance with points 1.2.2.1, 1.2.3 and 1.2.4, the manufacturer shall make a corresponding declaration to the end-users in accordance with the requirements in Annex XV that operation of the engine on non-road gas-oil is limited to those fuels with a sulphur content not greater than 10 mg/kg (20 mg/kg at point of final distribution) cetane number not less than 45 and an FAME content not greater than 7,0 % v/v. The manufacturer may optionally specify other parameters (e.g. for lubricity).

1.2.1. The parent engine shall meet the applicable limit values set out in Annex II to Regulation (EU) 2016/1628 and the requirements set out in this Regulation when the engine is operated on the reference fuels specified in sections 1.1 or 2.1 of Annex IX.

standard fuel range engine, in accordance with the requirements set out in point 1.2; or,

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:

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

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.

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;

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;

Determine for the sample the test statistic quantifying the cumulative number of nonconforming tests at the nth test.

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

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 %).

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

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).

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.

If the test does not satisfy the requirements outlined in point 6.2.4, the procedure outlined in points 6.2.6 to 6.2.9 shall be followed.

If the engine meets the requirements outlined in point 6.2.4, a pass decision is reached and no further test is necessary.

One engine and, if applicable, one after-treatment system shall be taken randomly for inspection from the series production of the engine type under consideration.

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:

6.2.8. If no decision is reached, the manufacturer may at any time decide to stop testing. In that case a fail decision shall be recorded.

If a pass decision is not reached for all the pollutants and no fail decision is reached for any of the pollutant, a test shall be carried out on another engine.

6.2.7. When a pass decision has been reached for one pollutant, this decision may not be changed as a consequence of a result from any additional tests made in order to reach a decision for the other pollutants.

6.2.6. On the basis of tests of the engine by sampling as set out in Appendix 1, the series production of the engines under consideration is regarded as conforming to the approved type where a pass decision is reached for all the pollutants and as non-conforming to the approved type where a fail decision is reached for one pollutant, in accordance with the test criteria applied in Appendix 1, and as shown in Figure 2.1.

6.2.5.1. At the request of the manufacturer, the tests may be conducted on engines which have been run-in, up either 2 % of the emission durability period or, if this is a shorter period of time, 125 hours. Where the run-in procedure shall be conducted by the manufacturer who shall undertake not to make any adjustments to those engines. Where the manufacturer has specified a run-in procedure in point 3.3 of the information document, as set out in Annex I to Implementing Regulation (EU) 2017/656, the run-in shall be conducted using that procedure.

6.2.4. The limit values shall be those set out in Annex II to Regulation (EU) 2016/1628. Where an engine with after-treatment regenerates infrequently as referred to in point 6.6.2 of Annex VI, each gaseous or particulate pollutant emission result shall be adjusted by the factor applicable to the engine type. In all cases each gaseous or particulate pollutant emission result shall be adjusted by application of the appropriate deterioration factors (DFs) for that engine type, as determined in accordance with Annex III.

6.2.3. Engines shall be subjected to emissions testing in accordance with the requirements of Annex VI, or, in the case of dual fuel engines, in accordance with Appendix 2 of Annex VIII, and shall be subject to the test cycles relevant for the engine type in accordance with Annex XVII.

6.2.2. After the inspector's selection of the engines, the manufacturer shall not carry out any adjustment to the engines selected.

6.2.1. Three engines and, if applicable, three after-treatment systems shall randomly be taken for inspection from the series production of the engine type under consideration. Additional engines shall be taken as necessary to reach a pass or fail decision. For reaching a pass decision, a minimum of four engines needs to be tested.

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

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

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.

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.

5.3. 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.

5.2. 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.

5.1.1.2. The minimum frequency of verifications (other than those referred to in point 5.1.1.1) to ensure that the relevant conformity of production controls applied in accordance with sections 3 and 4 are reviewed over a period consistent with the climate of trust established by the approval authority shall be at least once every two years. However, additional verifications shall be carried out by the approval authority depending on the yearly production, the results of previous evaluations, the need to monitor corrective actions and upon a reasoned request from another approval authority or any market surveillance authority.

5.1.1.1. Surveillance activities carried out by the technical services (qualified or recognised as required in point 3.3.3) shall be accepted as satisfying the requirements of point 5.1.1 with regard to the procedures established at initial assessment.

5.1.1. The normal approach for such periodic audits shall be to monitor the continued effectiveness of the procedures laid down in sections 3 and 4 (initial assessment and product conformity arrangements).

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.

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.

ensure that any set of samples or test pieces giving evidence of non-conformity in the type of test in question gives rise to a further sampling and test or check.

analyse the results of each type of test or check, in order to verify and ensure the stability of the product characteristics, making allowance for variation in industrial production;

for engine categories NRSh and NRS, except for NRS-v-2b and NRS-v-3, ensure that for each type of engine, at least the checks and the tests prescribed in Regulation (EU) 2016/1628 and the delegated and implementing acts adopted pursuant to that Regulation are carried out. For other categories tests at a component or assembly of components level with appropriate criterion may be agreed between the manufacturer and the approval authority.

ensure that test or check result data are recorded and that annexed documents remain available for a period of up to 10 years to be determined in agreement with the approval authority;

have access to the testing or other appropriate equipment necessary for checking conformity to each approved engine type or engine family;

ensure the existence and application of procedures for effective control of the conformity of engines to the approved engine type or engine family;

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.

4.1. 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.

3.3.3. The approval authority shall also accept the manufacturer's suitable certification to harmonised standard EN ISO 9001:2008 or an equivalent harmonised standard as satisfying the initial assessment requirements of point 3.3. The manufacturer shall provide details of the certification and undertake to inform the approval authority of any revisions to its validity or scope.

3.3.2.3. The statement of compliance shall include at least the following:

3.3.2.2. On receiving an application for a compliance statement from the approval authority of a Member State granting EU type-approval, the approval authority of another Member State shall send forthwith the statement of compliance or advise that it is not in a position to provide such a statement.

3.3.2.1. In such a case, the approval authority of the other Member State shall prepare a statement of compliance outlining the areas and production facilities it has covered as relevant to the engines to be EU type-approved.

3.3.2. The initial assessment and verification of product conformity arrangements may also be carried out by the approval authority of another Member State, or the appointed body designated for this purpose by the approval authority.

3.3.1.1. When considering the extent of the initial assessment to be carried out, the approval authority may take account of available information relating to the manufacturer's certification which has not been accepted under point 3.3.3.

3.3.1. The initial assessment and/or verification of product conformity arrangements shall be carried out by the approval authority granting the approval or an appointed body acting on behalf of the approval authority.

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.

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.

3.1. 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.

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.

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.

‘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;

‘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;

‘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;

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

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,

surveys of the life spans of the equipment in which the subject engines are installed,

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:

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.

stratified scavenging two-stroke engines with a catalyst of the same active material and loading, and the same number of cells per cm2,

conventional two-stroke engines with a catalyst of the same active material and loading, and the same number of cells per cm2,

Calculated deterioration factors may cover families in addition to the one on which they were generated if the manufacturer submits a justification acceptable to the approval authority in advance of EU type-approval that the affected engine families can be reasonably expected to have similar emission deterioration characteristic based on the design and technology used.

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.

For each pollutant HC + NOx and CO, a straight line must be fitted to the data points treating the initial test as occurring at hour zero, and using the method of least-squares. The DF is the calculated emission at the end of the durability period divided by the calculated emission at zero hours.

The manufacturer may schedule additional emission test points between the stabilised emission test point and the end of the EDP. If intermediate tests are scheduled, the test points shall be evenly spaced over the EDP (plus or minus two hours) and one such test point shall be at one half of full EDP (plus or minus two hours).

The emissions at the end of the EDP (average emissions, if applicable) for each regulated pollutant shall be divided by the stabilised emissions (average emissions, if applicable) and rounded to two significant figures. The resulting number shall be the DF, unless it is less than 1,00, in which case the DF shall be 1,00.

Such emission testing shall be conducted again following ageing of the engine. The ageing procedure should be designed to allow the manufacturer to appropriately predict the in-use emission deterioration expected over the EDP of the engine, taking into account the type of wear and other deterioration mechanisms expected under typical consumer use which could affect emissions performance. If more than one engine is tested, the results shall be calculated as the average of the results for all the engines tested, rounded to the same number of decimal places contained in the applicable limit, expressed to one additional significant figure.

If more than one engine is tested, the results shall be calculated as the average of the results for all the engines tested, rounded to the same number of decimal places as in the applicable limit, expressed to one additional significant figure.

On at least one test engine representing the configuration chosen to be the most likely to exceed HC + NOx emission limits, and constructed to be representative of production engines, the (full) test procedure emission testing shall be conducted as described in Annex VI after the number of hours representing stabilised emissions.

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.

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

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.

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.

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.

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).

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.

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.

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

3.4.1.3. 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.

3.4.1.2. 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.

3.4.1.1. 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.

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

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.

3.3.2. 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.

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

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.

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.

3.2.7.3. 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.

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.

3.2.7.1. 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:

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.

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.

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,

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:

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

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.

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.

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.

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

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

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.

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).

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.

determined by extrapolation of the regression equation in point 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, or

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:

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

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.

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.

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.

3.2.4.1. 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.

3.2.3.2.3. 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.

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

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.

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.

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.

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.

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.

3.2.3.1.1. 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.

3.2.2.2. 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.

3.2.2.1.10. 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.

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

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 %.

3.2.2.1.7. 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.

3.2.2.1.5. 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.

3.2.2.1.4. 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.

3.2.2.1.3. 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.

When completing the service accumulation up to the end of the emission durability period, the minimum number of test points shall be two, one at the beginning and one at the end of the service accumulation.

When running a service accumulation schedule shorter than the emission durability period in accordance with point 3.2.2.1.7, the minimum number of test points shall be three, one at the beginning, one approximately in the middle and one at the end of the service accumulation schedule.

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:

3.2.2.1.1. 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.

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.

3.2.1.1. 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.

Deterioration factors applicable to 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.

3.1.4. 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.

3.1.3. 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.

3.1.2. 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.

3.1.1. 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.

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.

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

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.

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

‘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.

‘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.

‘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.

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

‘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.

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

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

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.

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.

9.3.3.7.3. If the manufacturer chooses, and subject to the agreement of the approval authority, the demonstration tests may be performed, notwithstanding point 9.3.3.7.1, on a complete non-road mobile machinery or machinery either by mounting the non-road mobile machinery on a suitable test bed or by running it on a test track under controlled conditions.

9.3.3.7.2. Any components or subsystems not physically mounted on the engine, such as, but not limited to, ambient temperature sensors, level sensors, and operator warning and information systems, that are required in order to perform the demonstrations shall be connected to the engine for that purpose, or shall be simulated, to the satisfaction of the approval authority.

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

the applicable PCD test-cycle specified in point 9.3.3.6.1 is less appropriate for the considered monitoring.

the requested test-cycle results in a monitor that will run in real world driving; and

9.3.3.6.2. On request of the manufacturer and with approval of the approval authority, an alternative PCD test- cycle (e.g. other than the NRTC or the NRSC) can be used for a specific monitor. The request shall contain elements (technical considerations, simulation, test results, etc.) demonstrating:

9.3.3.6.1. The PCD test cycle considered in this Section 9 for demonstrating the correct performance of the particulate after-treatment system monitoring system is 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.

Number of PCD test cycles within which a ‘confirmed and active’ DTC shall be stored

Monitor types and corresponding number of PCD test cycles within which a ‘confirmed and active’ DTC shall be stored

Each individual PCD test-cycle in the demonstration test may be separated by an engine shut-off. The time until the next start-up shall take into consideration any monitoring that may occur after engine shut- off and any necessary condition that must exist for monitoring to occur at the next start-up.

When it has been specified in the monitoring description and agreed by the approval authority that a specific monitor needs more PCD test-cycles to complete its monitoring than indicated in Table 4.7, the number of PCD test-cycles may be increased by up to 50 %.

9.3.3.5.1. The PCD system shall respond to the introduction of a failure selected as appropriate by the approval authority in accordance to the provisions of this Appendix. This is considered to be demonstrated if activation occurs within the number of consecutive PCD test-cycles given in Table 4.7.

9.3.3.4. At the request of the manufacturer, and with the agreement of the approval authority, the failures subject to testing may be simulated.

9.3.3.2. During a test, no failure shall be present other than the one addressed by the test.

9.3.3.1. For the purpose of this demonstration, a separate test shall be performed for the loss of the particulate after-treatment system function set out in point 8.2 and for the failures laid down in points 6 and 8.3. The loss of the particulate after-treatment system function shall be created by a complete removal of the substrate from the particulate after-treatment system housing.

9.3.2.2. The failure to be considered in the test shall be selected by the approval authority from this list referred to in point 9.3.2.1.

9.3.2.1. The manufacturer shall provide the approval authority with a list of such potential failures.

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.

9.2.1. 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.

Illustration of the content of the demonstration process in accordance with the provisions in point 9.3.

The compliance to the requirements of this Appendix shall be demonstrated during EU type-approval by performing, as illustrated in Table 4.6 and specified in this section 9 a demonstration of the warning system activation.

8.3.2. Where the failure, removal or deactivation of a single sensor or actuator of the PCD system does not prevent the diagnosis within the required time period of the failures mentioned in point 6.1 and 8.1(a) (redundant system), the activation of the warning system and storage of information on operator warning system activation shall not be required unless additional sensor or actuator failures are confirmed and active.

A non-exhaustive list of sensors that affect the diagnostic capability are those directly measuring differential pressures over the particulate after-treatment system and exhaust gas temperature sensors for controlling the particulate after-treatment system regeneration.

8.3.1. The PCD system shall be monitored for electrical failures and for removal or deactivation of any sensor or actuator that prevents it from diagnosing any other failures mentioned in point 6.1 and 8.1(a) (component monitoring).

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.

8.1. 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:

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.

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.

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.

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

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.

5.1. 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.

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.

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.

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

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.

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’)

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

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

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.

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.

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.

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

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

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

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.

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

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.

the record of incidents of operation with a DTC confirmed and active that are stored in non-volatile memory as required by point 5.2 shall not be erased.

the PCD system may erase all the DTCs upon request of a proprietary scan or maintenance tool that is provided by the engine manufacturer upon request, or using a pass code provided by the engine manufacturer.

DTCs shall not be erased by the PCD system itself from the computer memory until the failure related to that DTC has been remedied;

Period of accumulated running time within which a ‘confirmed and active’ DTC shall be stored

Monitor types and corresponding period within which a ‘confirmed and active’ DTC shall be stored

2.3.2.3. In cases where more than the period of running time indicated in Table 1 is required for the monitors to accurately detect and confirm a PCM (e.g. monitors using statistical models or with respect to fluid consumption on the non-road mobile machinery), the approval authority may permit a longer period for monitoring provided the manufacturer justifies the need for the longer period (for example by technical rationale, experimental results, in-house experience, etc.).

2.3.2.2. The PCD system shall conclude within the periods of engine operation indicated in Table 4.5 whether a detectable malfunction is present. At this time, a ‘confirmed and active’ DTC shall be stored and the warning system specified in section 4 shall be activated.

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.

2.2.1. The PCD system shall be operational at the following conditions:

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.

2.1.2. 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.

2.1.1. 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.

The engine shall be equipped with a Particulate Control Diagnostic system (PCD) able to identify the particulate after-treatment system malfunctions considered by this Annex. 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 PCD.

This Appendix sets out the requirements to ensure the correct operation of particulate control measures.

any other means, provided that its efficacy is at least equal to the one resulting by the use of the means of points (a) or (b) and the main requirements of this section 4 are maintained.

indirect means, such as the use of a NOx sensor in the exhaust system to evaluate reagent effectiveness.

By the choice of the manufacturer the requirements of reagent compliance with the declared characteristics and the associated NOx emission tolerance shall be satisfied by one of the following means:

when the dosing activity of the reagent is interrupted, in cases other than those executed by the engine ECU or the dosing controller, reacting to engine operating conditions where the dosing is not required, provided that these operating conditions are made available to the approval authority.

when the reagent in the storage tank does not comply with the characteristics declared and recorded in the information document set out in Appendix 3 of Annex I to Implementing Regulation (EU) 2017/656, in accordance with the installed means of assessment.

the amount of reagent remaining in the reagent storage container and by an additional specific signal, when the remaining reagent is less than 10 % of the full container's capacity;

When a reagent is used the EU type-approval shall be conditional upon providing indicators or other appropriate means, according to the configuration of the non-road mobile machinery, informing the operator on:

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. 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.

This Appendix sets out the additional requirements to ensure the correct operation of NOx control measures for engines of category RLL. 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 and operator warning system that are set out in this Appendix.

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.

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.

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

4.3. 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.

4.2. 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.

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

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.

In order to account for safety concerns the inducements required in Appendix 1 shall not apply to engines in scope of this Appendix. Consequently the following points of Appendix 1 shall not apply: 2.3.3.2, 5, 6.3, 7.3, 8.4, 9.4, 10.4 and 11.3.

The requirements of Appendix 1 apply additionally to engines in scope of this Appendix.

This Appendix sets out the additional requirements to ensure the correct operation of NOx control measures for engines of categories IWP, IWA and RLR.

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

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

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.

13.1. 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.

repair case 2 (‘bad’ repair): during the low-level inducement time (torque reduction), the operator repairs the dosing system. Soon after, however, the dosing system fails again. The low-level inducement system is immediately reactivated and the counter restarts from the value it had at the time of repair.

repair case 1 (‘good’ repair): after disablement of the non-road mobile machinery, the operator repairs the dosing system. However some time afterwards, the dosing system fails again. The warning, inducement and counting processes restart from zero.

use case 1: the operator continues operating the non-road mobile machinery in spite of the warning until non-road mobile machinery operation is disabled.

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:

repair case 2 (‘good’ repair): after disablement of the non-road mobile machinery, the operator rectifies the quality of the reagent. However some time afterwards, he refills again with a poor quality reagent. The warning, inducement and counting processes restart from zero.

repair case 1 (‘bad’ or ‘dishonest’ repair): after disablement of the non-road mobile machinery, the operator changes the quality of the reagent, but soon after, changes it again for a poor quality one. The inducement system is immediately reactivated and non-road mobile machinery operation is disabled after 2 engine operating hours.

use case 1: the operator continues operating the non-road mobile machinery in spite of the warning until non-road mobile machinery operation is disabled.

refilling cases 2 and 3 (‘inadequate’ refilling): The warning system is activated. The level of warning depends on the amount of available reagent;

refilling case 1 (‘adequate’ refilling): the operator refills the reagent tank so that a level above the 10 % threshold is reached. Warning and inducement are de-activated;

use case 1: the operator continues operating the non-road mobile machinery in spite of the warning until non-road mobile machinery operation is disabled;

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

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

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.

The counter shall continue counting from the point at which it had been held if a malfunction relevant to that counter is detected during a period when the counter is frozen (see Figure 4.4).

Once frozen, the counter shall be reset to zero when the monitors relevant to that counter have run at least once to completion of their monitoring cycle without having detected a malfunction and no malfunction relevant to that counter has been detected during 40 engine o