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

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

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

3.2.5.   Determination of deterioration factors

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

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

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

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

• (a) 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

• (b) measured directly, when running a service accumulation schedule in accordance with point 3.2.2.1.2.2.

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

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

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

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

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

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

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

Figure 3.1

Example of DF determination

Image omitted; see official source

3.2.6.   Assigned deterioration factors

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

Table 3.1

Assigned deterioration factors

Test cycle	CO	HC	NOx	PM	PN
NRTC and LSI-NRTC	1,3	1,3	1,15	1,05	1,0
NRSC	1,3	1,3	1,15	1,05	1,0

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

• 3.2.6.1.1. Notwithstanding point 3.2.6.1, for PN, either an additive DF of 0,0 or a multiplicative DF of 1,0 may be used, in conjunction with the results of previous DF testing that did not establish a value for PN if both of the following conditions are fulfilled:

• (a) the previous DF test was conducted on engine technology that would have qualified for inclusion in the same engine after-treatment system family, as set out in point 3.1.2, as the engine family to which it is intended to apply the DFs; and,

• (b) the test results were used in a previous type-approval granted before the applicable EU type-approval date given in Annex III to Regulation (EU) 2016/1628.

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

3.2.7.   Application of deterioration factors

• 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:

• (a) Multiplicative: (cycle weighted specific emission) × DF ≤ emission limit

• (b) Additive: (cycle weighted specific emission) + DF ≤ emission limit

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

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

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

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

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

3.3.   Checking of conformity of production

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

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

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

3.4.   Maintenance

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

3.4.1.   Scheduled emission-related maintenance

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

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

• 3.4.1.3. Any scheduled maintenance requirements shall be subject to approval by the approval authority before an EU type-approval is granted and shall be included in the customer's manual.  The approval authority shall not refuse to approve maintenance requirements that are reasonable and technically necessary, including but not limited to those identified in point 3.4.1.4.

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

• — filters and coolers in the exhaust gas recirculation (EGR)

• — positive crankcase ventilation valve, if applicable

• — fuel injector tips (only cleaning is permitted)

• — fuel injectors

• — turbocharger

• — electronic engine control unit and its associated sensors and actuators

• — particulate after-treatment system (including related components)

• — NOx after-treatment system (including related components)

• — exhaust gas recirculation (EGR), including all related control valves and tubing

• — any other exhaust after-treatment system.

• 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.

3.4.2.   Changes to scheduled maintenance

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.

3.4.3.   Non-emission-related scheduled maintenance

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

3.5.   Repair

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

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

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

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

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

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

• 4.3. DFs shall be determined as follows:

• 4.3.1. 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.

• 4.3.2. 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.

• 4.3.3. 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.

• 4.3.4. 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.

• 4.3.5. 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).

• 4.3.6. 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 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.

• 4.3.7. 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. A non-exclusive list of design and technology groupings is given below:
• — conventional two-stroke engines without after-treatment system,
• — conventional two-stroke engines with a catalyst of the same active material and loading, and the same number of cells per cm²,
• — stratified scavenging two-stroke engines,
• — stratified scavenging two-stroke engines with a catalyst of the same active material and loading, and the same number of cells per cm²,
• — four-stroke engines with catalyst with same valve technology and identical lubrication system,
• — four-stroke engines without catalyst with the same valve technology and identical lubrication system.

• 4.4. EDP categories

• 4.4.1. For those engine categories in Table V-3 or V-4 of Annex V to Regulation (EU) 2016/1628 that have alternative values for EDP, manufacturers shall declare the applicable EDP category for each engine family at the time of EU type-approval. Such category shall be the category from Table 3.2 which most closely approximates the expected useful lives of the equipment into which the engines are expected to be installed as determined by the engine manufacturer. Manufacturers shall retain data appropriate to support their choice of EDP category for each engine family. Such data shall be supplied to the approval authority upon request.

Table 3.2

EDP categories

EDP Category	Application of Engine
Cat 1	Consumer products
Cat 2	Semi-professional products
Cat 3	Professional products

• 4.4.2. The manufacturer shall demonstrate to the satisfaction of the approval authority that the declared EDP category is appropriate. Data to support a manufacturer's choice of EDP category, for a given engine family, may include but are not limited to:

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

• — engineering evaluations of field aged engines to ascertain when engine performance deteriorates to the point where usefulness and/or reliability is impacted to a degree sufficient to necessitate overhaul or replacement,

• — warranty statements and warranty periods,

• — marketing materials regarding engine life,

• — failure reports from engine customers, and

• — engineering evaluations of the durability, in hours, of specific engine technologies, engine materials or engine designs.

ANNEX IV

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

1. Definitions abbreviations and general requirements

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

• (1) ‘diagnostic trouble code (“DTC”)’ means a numeric or alphanumeric identifier which identifies or labels a NCM and/ PCM;

• (2) ‘confirmed and active DTC’ means a DTC that is stored during the time the NCD and/or PCD system concludes that a malfunction exists;

• (3) ‘NCD engine family’ means a manufacturer's grouping of engines having common methods of monitoring/diagnosing NCMs;

• (4) ‘NOx Control Diagnostic system (NCD)’ means a system on-board the engine which has the capability of
• (a) detecting a NOx Control Malfunction,
• (b) identifying the likely cause of NOx control malfunctions by means of information stored in computer memory and/or communicating that information off-board;

• (5) ‘NOx Control Malfunction (NCM)’ means an attempt to tamper with the NOx control system of an engine or a malfunction affecting that system that might be due to tampering, that is considered by this Regulation as requiring the activation of a warning or an inducement system once detected;

• (6) ‘Particulate Control Diagnostic system (PCD)’ means a system on-board the engine which has a capability of:
• (a) detecting a Particulate Control Malfunction,
• (b) identifying the likely cause of particulate control malfunctions by means of information stored in computer memory and/or communicating that information off-board;

• (7) ‘Particulate Control Malfunction (PCM)’ means an attempt to tamper with the particulate after-treatment system of an engine or a malfunction affecting the particulate after-treatment system that might be due to tampering, that is considered by this Regulation as requiring the activation of a warning once detected;

• (8) ‘PCD engine family’ means a manufacturer's grouping of engines having common methods of monitoring/diagnosing PCMs;

• (9) ‘Scan-tool’ means an external test equipment used for off-board communication with the NCD and/or PCD system.

• 1.2. Ambient temperature

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

• 1.2.1. For an engine installed in a test-bed, ambient temperature shall be the temperature of the combustion air supplied to the engine, upstream of any part of the engine being tested.

• 1.2.2. For an engine installed in non-road mobile machinery, ambient temperature shall be the air temperature immediately outside the perimeter of the non-road mobile machinery.

2. Technical requirements relating to emission control strategies

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

• 2.2. Requirements for base emission control strategy

• 2.2.1. The base emission control strategy shall be designed as to enable the engine, in normal use, to comply with the provisions of this Regulation. Normal use is not restricted to the control conditions as specified in point 2.4.

• 2.2.2. Base emission control strategies are, but not limited to, maps or algorithms for controlling:

• (a) timing of fuel injection or ignition (engine timing);

• (b) exhaust gas recirculation (EGR);

• (c) SCR catalyst reagent dosing.

• 2.2.3. Any base emission control strategy that can distinguish engine operation between a standardised EU type-approval test and other operating conditions and subsequently reduce the level of emission control when not operating under conditions substantially included in the EU type-approval procedure is prohibited.

• 2.2.3.1. Notwithstanding point 2.2.3, in the case of engine (sub-)categories that are not subject to non-road transient test cycles for EU type-approval purposes, the base emission control strategy may identify when transient operating conditions occur and apply the corresponding emission control strategy. In this case, this emission control strategy shall be included in the overview of the base emission control strategy required by point 1.4 of Annex I to Implementing Regulation (EU) 2017/656 and in the confidential information on emission control strategy set out in Appendix 2 to that Annex.

• 2.2.4. The manufacturer shall demonstrate to the technical service at the time of the EU type-approval test that the operation of the base emission control strategy complies with the provisions of this section on the basis of the documentation referred to in point 2.6.

• 2.3. Requirements for auxiliary emission control strategy

• 2.3.1. An auxiliary emission control strategy may be activated by an engine or a non-road mobile machinery, provided that the auxiliary emission control strategy:

• 2.3.1.1. does not permanently reduce the effectiveness of the emission control system;

• 2.3.1.2. operates only outside the control conditions specified in points 2.4.1, 2.4.2 or 2.4.3 for the purposes defined in point 2.3.5 and only as long as is needed for those purposes, except as permitted by points 2.3.1.3, 2.3.2 and 2.3.4;

• 2.3.1.3. is activated only exceptionally within the control conditions in points 2.4.1, 2.4.2 or 2.4.3, respectively, has been demonstrated to be necessary for the purposes identified in point 2.3.5 has been approved by the approval authority, and is not activated for longer than is needed for those purposes;

• 2.3.1.4. ensures a level of performance of the emission control system that is as close as possible to that provided by the base emission control strategy.

• 2.3.2. Where the auxiliary emission control strategy is activated during the EU type-approval test, activation shall not be limited to occur outside the control conditions set out in point 2.4, and the purpose shall not be limited to the criteria set out in point 2.3.5.

• 2.3.3. Where the auxiliary emission control strategy is not activated during the EU type-approval test, it must be demonstrated that the auxiliary emission control strategy is active only for as long as required for the purposes set out in point 2.3.5.

• 2.3.4. Cold temperature operation

An auxiliary emission control strategy may be activated on an engine equipped with exhaust gas recirculation (EGR) irrespective of the control conditions in point 2.4 if the ambient temperature is below 275 K (2 °C) and one of the two following criteria is met:

• (a) intake manifold temperature is less than or equal to the temperature defined by the following equation: IMTc = PIM/15,75 + 304,4, where: IMTc is the calculated intake manifold temperature, K and PIM is the absolute intake manifold pressure in kPa;

• (b) engine coolant temperature is less than or equal to the temperature defined by the following equation: ECTc = PIM/14,004 + 325,8, where: ECTc is the calculated engine coolant temperature, K and PIM is the absolute intake manifold pressure, kPa.

• 2.3.5. Except as permitted by point 2.3.2, an auxiliary emission control strategy may solely be activated for the following purposes:

• (a) by on-board signals, for protecting the engine (including air-handling device protection) and/or non-road mobile machinery into which the engine is installed from damage;

• (b) for operational safety reasons;

• (c) for prevention of excessive emissions, during cold start or warming-up, during shut-down;

• (d) if used to trade-off the control of one regulated pollutant under specific ambient or operating conditions, for maintaining control of all other regulated pollutants, within the emission limit values that are appropriate for the engine concerned. The purpose is to compensate for naturally occurring phenomena in a manner that provides acceptable control of all emission constituents.

• 2.3.6. The manufacturer shall demonstrate to the technical service at the time of the EU type-approval test that the operation of any auxiliary emission control strategy complies with the provisions of this section. The demonstration shall consist of an evaluation of the documentation referred to in point 2.6.

• 2.3.7. Any operation of an auxiliary emission control strategy non-compliant with points 2.3.1 to 2.3.5 is prohibited.

• 2.4. Control conditions

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

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

• 2.4.1. Control conditions for engines of categories IWP and IWA:

• (a) an altitude not exceeding 500 metres (or equivalent atmospheric pressure of 95,5 kPa);

• (b) an ambient temperature within the range 275 K to 303 K (2 °C to 30 °C);

• (c) the engine coolant temperature above 343 K (70 °C).

• 2.4.2. Control conditions for engines of category RLL:

• (a) an altitude not exceeding 1 000 metres (or equivalent atmospheric pressure of 90 kPa);

• (b) an ambient temperature within the range 275 K to 303 K (2 °C to 30 °C);

• (c) the engine coolant temperature above 343 K (70 °C).

• 2.4.3. Control conditions for engines of categories NRE, NRG and RLR:

• (a) the atmospheric pressure greater than or equal to 82,5 kPa;

• (b) the ambient temperature within the following range:
• — equal to or above 266 K (– 7 °C),
• — less than or equal to the temperature determined by the following equation at the specified atmospheric pressure: Tc = – 0,4514 × (101,3 – Pb) + 311, where: Tc is the calculated ambient air temperature, K and Pb is the atmospheric pressure, kPa;

• (c) the engine coolant temperature above 343 K (70 °C).

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

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

• (a) the typical categories of non-road mobile machinery into which the engine type or engine family will be installed; and,

• (b) the installation instructions provided to the OEM by the manufacturer.

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

• 2.6. Documentation requirements

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

• 2.6.2. The manufacturer shall ensure that all documents used for this purpose are marked with an identification number and date of issue. The manufacturer shall notify to the approval authority whenever the particulars recorded are changed. In this case, it shall issue, either a updated version of the documents concerned where the relevant pages are marked clearly showing the date of revision and the nature of the amendment, or alternatively, a new consolidated version accompanied by an index containing a detailed description and date of each amendment.

3. Technical requirements relating to NOx control measures

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

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

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

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

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

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

• (a) For engines of category NRG the technical requirements set out in Appendix 1;

• (b) For engines of category NRE:
• (i) the requirements set out in Appendix 2, when the engine is exclusively intended for use in the place of Stage V engines of categories IWP and IWA, in accordance with Article 4(1), point (1)(b) of Regulation (EU) 2016/1628; or
• (ii) the requirements set out in Appendix 1 for engines not covered by subparagraph (i);

• (c) For engines of category IWP, IWA and RLR the technical requirements set out in Appendix 2;

• (d) For engines of category RLL the technical requirements set out in Appendix 3

4. Technical requirements relating to particulate pollutant control measures

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

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

Appendix 1

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

1. Introduction

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

2. General requirements

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

2.1.   Required information

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

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

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

2.2.   Operating conditions

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

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

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

2.3.   Reagent freeze protection

• 2.3.1. It is permitted to use a heated or a non-heated reagent tank and dosing system. A heated system shall meet the requirements of points 2.3.2.2 to 2.3.2.2.4. A non-heated system shall meet the requirements of point 2.3.2.3.

• 2.3.1.1. The use of a non-heated reagent tank and dosing system shall be indicated in the written instructions to the end-user of the non-road mobile machinery.

• 2.3.2. Reagent tank and dosing system

• 2.3.2.1. If the reagent has frozen, the reagent shall be available for use within a maximum of 70 minutes after the start of the engine at 266 K (– 7 °C) ambient temperature.

• 2.3.2.2. Design criteria for a heated system

A heated system shall be so designed that it meets the performance requirements set out in points 2.3.2 to 2.3.2.2.4 when tested using the procedure defined.

• 2.3.2.2.1. The reagent tank and dosing system shall be soaked at 255 K (– 18 °C) for 72 hours or until the reagent becomes solid, whichever occurs first.

• 2.3.2.2.2. After the soak period set out in point 2.3.2.2.1, the non-road mobile machinery/engine shall be started and operated at 266 K (– 7 °C) ambient temperature or lower as follows:

• (a) 10 to 20 minutes idling; followed by

• (b) up to 50 minutes at no more than 40 % of rated load.

• 2.3.2.2.3. At the conclusion of the test procedure set out in point 2.3.2.2.2, the reagent dosing system shall be fully functional.

• 2.3.2.2.4. Evaluation of the design criteria may be performed in a cold chamber test cell using an entire non-road mobile machinery or parts representative of those to be installed on a non-road mobile machinery or based on field tests.

• 2.3.2.3. Activation of the operator warning and inducement system for a non-heated system.

• 2.3.2.3.1. The operator warning system described in points 4 to 4.9 shall be activated if no reagent dosing occurs at an ambient temperature ≤ 266 K (– 7 °C).

• 2.3.2.3.2. The severe inducement system as referred to in point 5.4 shall be activated if no reagent dosing occurs within a maximum of 70 minutes after engine start at an ambient temperature ≤ 266 K (– 7 °C).

2.4.   Diagnostic requirements

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

• 2.4.2 Requirements for recording Diagnostic Trouble Codes (DTCs)

• 2.4.2.1 The NCD system shall record a DTC for each distinct NOx Control Malfunction (NCM).

• 2.4.2.2 The NCD system shall conclude within 60 minutes of engine operation whether a detectable malfunction is present. At this time, a ‘confirmed and active’ DTC shall be stored and the warning system be activated according to section 4.

• 2.4.2.3 In cases where more than 60 minutes running time is required for the monitors to accurately detect and confirm a NCM (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.).

• 2.4.3. Requirements for erasing Diagnostic trouble codes (DTCs)

• (a) DTCs shall not be erased by the NCD system itself from the computer memory until the failure related to that DTC has been remedied.

• (b) The NCD 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.

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

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

• 2.4.6. NCD engine family

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

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

2.4.6.1.   Parameters defining an NCD engine family

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

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

• (a) emission control systems;

• (b) methods of NCD monitoring;

• (c) criteria for NCD monitoring;

• (d) monitoring parameters (e.g. frequency).

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

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

3. Maintenance requirements

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

4. Operator warning system

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

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

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

• (a) the remaining time before activation of the low-level and/or severe inducements,

• (b) the amount of low-level and/or severe inducement, for example the amount of torque reduction,

• (c) the conditions under which non-road mobile machinery disablement can be cleared.

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

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

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

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

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

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

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

5. Operator inducement system

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

• 5.1.1. a two-stage inducement system starting with a low-level inducement (performance restriction) followed by a severe inducement (effective disablement of non-road mobile machinery operation);

• 5.1.2. a one-stage severe inducement system (effective disablement of non-road mobile machinery operation) activated under the conditions of a low-level inducement system as specified in points 6.3.1, 7.3.1, 8.4.1, and 9.4.1. Where the manufacturer elects to shut down the engine to fulfil the requirement for one-stage severe inducement then the inducement for reagent level may, at the choice of the manufacturer, be activated under the conditions of point 6.3.2 instead of the conditions of point 6.3.1.

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

• 5.2.1 The engine may be fitted with a means to temporarily disable the operator inducement during an emergency declared by a national or regional government, their emergency services or their armed services.

• 5.2.1.1 All of the following conditions shall apply when a means to temporarily disable the operator inducement in an emergency is fitted to an engine:

• (a) The maximum operating period for which the inducement may be disabled by the operator shall be 120 hours;

• (b) The method of activation shall be designed to prevent accidental operation by requiring a double voluntary action and shall be clearly marked, at a minimum, with the warning ‘EMERGENCY USE ONLY’;

• (c) The disablement shall de-activate automatically after the 120 hours has expired, and there shall be a means for the operator to manually de-activate the disablement if the emergency has ended;

• (d) After the 120 hours of operation has expired it shall no longer be possible to disable the inducement unless the means to disable has been re-armed by the input of a manufacturer's temporary security code, or re-configuration of the engine's ECU by a qualified service technician, or an equivalent security feature that is unique to each engine;

• (e) The total number and duration of activations of the disablement must be stored in non-volatile electronic memory or counters in a manner to ensure that the information cannot be intentionally deleted. It shall be possible for national inspection authorities to read these records with a scan tool;

• (ea) A description of the connection for, and method to read, the records referred to in point (e) shall be included in the information folder set out in Part A of Annex I to Implementing Regulation (EU) 2017/656;

• (f) The manufacturer shall maintain a record of each request to re-arm the means to temporarily disable the operator inducement and shall make those records available to Commission or national authorities upon request.

• 5.3. Low-level inducement system

• 5.3.1. The low-level inducement system shall be activated after any of the conditions specified in points 6.3.1, 7.3.1, 8.4.1, and 9.4.1 has occurred.

• 5.3.2. The low-level inducement system shall gradually reduce the maximum available engine torque across the engine speed range by at least 25 % between the peak torque speed and the governor breakpoint as shown in Figure 4.1. The rate of torque reduction shall be a minimum of 1 % per minute.

• 5.3.3. Other inducement measures that are demonstrated to the approval authority as having the same or greater level of severity may be used.

Figure 4.1

Low-level inducement torque reduction scheme

Image omitted; see official source

• 5.4. Severe inducement system

• 5.4.1. The severe inducement system shall be activated after any of the conditions specified in points 2.3.3.2, 6.3.2, 7.3.2, 8.4.2, and 9.4.2 has occurred.

• 5.4.2. The severe inducement system shall reduce the non-road mobile machinery's utility to a level that is sufficiently onerous as to cause the operator to remedy any problems related to sections 6 to 9. The following strategies are acceptable:

• 5.4.2.1. Engine torque between the peak torque speed and the governor breakpoint shall be gradually reduced from the low-level inducement torque in Figure 4.1 by a minimum of 1 % per minute to 50 % of maximum torque or lower and for variable-speed engines the engine speed shall be gradually reduced to 60 % of rated speed or lower within the same time period as the torque reduction, as shown in Figure 4.2. Figure 4.2

Severe inducement torque reduction scheme Image omitted; see official source

• 5.4.2.2. Other inducement measures that are demonstrated to the approval authority as having the same or greater level of severity may be used.

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

• (a) is active for no longer than 30 minutes; and

• (b) is limited to 3 activations during each period that the operator inducement system is active.

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

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

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

6. Reagent availability

6.1.   Reagent level indicator

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

6.2.   Activation of the operator warning system

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

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

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

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

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

6.3   Activation of the operator inducement system

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

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

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

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

• 7.1.1. The manufacturer shall specify a minimum acceptable reagent concentration CDmin, which results in tailpipe NOx emissions not exceeding the lower of either the applicable NOx limit multiplied by 2,25 or the applicable NOx limit plus 1,5 g/kWh. For engine sub-categories with a combined HC and NOx limit, the applicable NOx limit value for the purpose of this point shall be the combined limit value for HC and NOx reduced by 0,19 g/kWh.

• 7.1.1.1. The value of CDmin specified by the manufacturer shall be used during the demonstration set out in section 13 and recorded in Part C of the information document specified in Annex I to Implementing Regulation (EU) 2017/656.

• 7.1.2. Any reagent concentration lower than CDmin shall be detected and be regarded, for the purpose of point 7.1, as being incorrect reagent.

• 7.1.3. A specific counter (‘the reagent quality counter’) shall be attributed to the reagent quality. The reagent quality counter shall count the number of engine operating hours with an incorrect reagent.

• 7.1.3.1. Optionally, the manufacturer may group the reagent quality failure together with one or more of the failures listed in sections 8 and 9 into a single counter.

• 7.1.4. Details of the reagent quality counter activation and deactivation criteria and mechanisms are described in section 11.

• 7.2. Activation of the operator warning system

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

• 7.3 Activation of the operator inducement system

• 7.3.1. The low-level inducement system described in point 5.3 shall be activated if the reagent quality is not rectified within a maximum of 10 engine operating hours after the activation of the operator warning system as described in point 7.2.

• 7.3.2. The severe inducement system described in point 5.4 shall be activated if the reagent quality is not rectified within a maximum of 20 engine operating hours after the activation of the operator warning system as described in point 7.2.

- 7.3.3. The number of hours prior to activation of the inducement systems shall be reduced in case of a repetitive occurrence of the malfunction according to the mechanism described in section 11.

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

• 8.2. Reagent dosing activity counter

• 8.2.1. A specific counter shall be attributed to the dosing activity (the ‘dosing activity counter’). The counter shall count the number of engine operating hours which occur with an interruption of the reagent dosing activity. This is not required where such interruption is demanded by the engine ECU because the non-road mobile machinery operating conditions are such that the non-road mobile machinery's emission performance does not require reagent dosing.

• 8.2.1.1. Optionally, the manufacturer may group the reagent dosing failure together with one or more of the failures listed in sections 7 and 9 into a single counter.

• 8.2.2. Details of the reagent dosing activity counter activation and deactivation criteria and mechanisms are described in section 11.

• 8.3. Activation of the operator warning system

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

• 8.4. Activation of the operator inducement system

• 8.4.1. The low-level inducement system described in point 5.3 shall be activated if an interruption in reagent dosing is not rectified within a maximum of 10 engine operating hours after the activation of the operator warning system in accordance with point 8.3.

• 8.4.2. The severe inducement system described in point 5.4 shall be activated if an interruption in reagent dosing is not rectified within a maximum of 20 engine operating hours after the activation of the operator warning system in accordance with point 8.3.

- 8.4.3. The number of hours prior to activation of the inducement systems shall be reduced in case of a repetitive occurrence of the malfunction according to the mechanism described in section 11.

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

• (a) failures of the NOx Control Diagnostic (NCD) system as described in point 9.2.1;

• (b) failures of the exhaust gas recirculation (EGR) valve as described in point 9.2.2.

• 9.2. Monitoring requirements and counters

9.2.1.   NCD system

• 9.2.1.1. The NOx Control Diagnostic (NCD) system shall be monitored for electrical failures and for removal or deactivation of any sensor that prevents it from diagnosing any other failures set out in sections 6 to 8 (component monitoring).

A non-exhaustive list of sensors that affect the diagnostic capability are those directly measuring NOx concentration, urea quality sensors, ambient sensors and sensors used for monitoring reagent dosing activity, reagent level, or reagent consumption.

• 9.2.1.2. A counter shall be attributed to each of the monitoring failures. The NCD system counters shall count the number of engine operating hours when the DTC associated to a malfunction of the NCD system is confirmed to be active. Different NCD system failures may be grouped into a single counter.

• 9.2.1.2.1. The manufacturer may group the NCD system failure together with one or more of the systems listed in sections 7, 8 and point 9.2.2 into a single counter.

• 9.2.1.3. Details of the NCD system counter(s) activation and deactivation criteria and mechanisms are described in section 11.

9.2.2.   Impeded EGR valve

• 9.2.2.1. The exhaust gas recirculation (EGR) system shall be monitored for an impeded EGR valve.

• 9.2.2.2. A counter shall be attributed to an impeded EGR valve. The EGR valve counter shall count the number of engine operating hours when the DTC associated to an impeded EGR valve is confirmed to be active.

• 9.2.2.2.1. The manufacturer may group the impeded EGR valve failure together with one or more of the systems listed in sections 7, 8 and point 9.2.1 into a single counter.

• 9.2.2.3. Details of the EGR valve counter activation and deactivation criteria and mechanisms are described in section 11.

• 9.3. Activation of the operator warning system

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

• 9.4. Activation of the operator inducement system

• 9.4.1. The low-level inducement system described in point 5.3 shall be activated if a failure specified in point 9.1 is not rectified within a maximum of 36 engine operating hours after the activation of the operator warning system set out in point 9.3.

• 9.4.2. The severe inducement system described in point 5.4 shall be activated if a failure specified in point 9.1 is not rectified within a maximum of 100 engine operating hours after the activation of the operator warning system set out in point 9.3.

• 9.4.3. The number of hours prior to activation of the inducement systems shall be reduced in case of a repetitive occurrence of the malfunction according to the mechanism described in section 11.

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

• (a) the NOx value at which the NCM shall be detected shall not exceed the lower of either the applicable NOx limit multiplied by 2,25 or the applicable NOx limit plus 1,5 g/kWh. For engine sub-categories with a combined HC and NOx limit, the applicable NOx limit value for the purpose of this point shall be the combined limit value for HC and NOx reduced by 0,19 g/kWh.

• (b) a single warning may be used, including, where messages are used, the statement ‘high NOx – root cause unknown’,

• (c) in point 9.4.1 the maximum number of engine operating hours between the activation of the operator warning system and the activation of the low-level inducement system shall be reduced to 10,

- (d) in point 9.4.2 the maximum number of engine operating hours between the activation of the operator warning system and the activation of the severe inducement system shall be reduced to 20.

10. Demonstration requirements

10.1.   General

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

• (a) a demonstration of the warning system activation;

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

- (c) a demonstration of the severe inducement system activation

10.2.   Engine families and NCD engine families

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

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

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

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

Table 4.1

Illustration of the content of the demonstration process in accordance with the provisions in points 10.3 and 10.4.

| Mechanism | demonstration elements |

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

Figure 4.3

Previously demonstrated conformity of an NCD engine family

Image omitted; see official source

10.3.   Demonstration of the warning system activation

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

• 10.3.2. Selection of the failure to be tested among those referred to in sections 7, 8 or 9.

• 10.3.2.1. The approval authority shall select one failure category. In the case that a failure is selected from points 7 or 9, the additional requirements set out in points 10.3.2.2 or 10.3.2.3 shall apply, respectively.

• 10.3.2.2. For the purpose of demonstrating the activation of the warning system in case of a wrong reagent quality, a reagent shall be selected with a dilution of the active ingredient at least as dilute as that communicated by the manufacturer in accordance with the requirements set out in points 7 to 7.3.3.

• 10.3.2.3. For the purpose of demonstrating the activation of the warning system in case of failures that may be attributed to tampering, and are defined in section 9 the selection shall be performed in accordance with the following requirements:

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

• 10.3.2.3.2. The failure to be considered in the test shall be selected by the approval authority from the list referred to in point 10.3.2.3.1.

• 10.3.3. Demonstration

• 10.3.3.1. For the purpose of this demonstration, a separate test shall be performed for the lack of reagent and the failure selected in accordance with points 10.3.2 to 10.3.2.3.2.

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

• 10.3.3.3. Prior to starting a test, all DTC shall have been erased.

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

• 10.3.3.5. Detection of failures other than lack of reagent.

For failures other than lack of reagent, once the failure installed or simulated, the detection of that failure shall be performed as follows:

• 10.3.3.5.1. The NCD 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 two consecutive NCD test-cycles according to point 10.3.3.7. When it has been specified in the monitoring description and agreed by the approval authority that a specific monitor needs more than two NCD test-cycles to complete its monitoring, the number of NCD test-cycles may be increased to 3 NCD test-cycles. Each individual NCD 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.

• 10.3.3.5.2. 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 10.3.3, the warning system has been properly activated and the DTC for the selected failure has got the ‘confirmed and active’ status.

• 10.3.3.6. Detection in case of lack of reagent availability