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 (Text with EEA relevance. )

Article 1

Definitions

For the purposes of this Regulation, the following definition shall apply:

(1) ‘adjustable parameter’ means any device, system, or element of design that someone can adjust (including those which are difficult to access) and that, if adjusted, may affect emissions or engine performance during emissions testing or normal in-use operation. This includes, but is not limited to, parameters related to injection timing and fuelling rate;

(2) ‘wall-flow particulate after-treatment system’ means a particulate after-treatment system in which all the exhaust gas is forced to flow through a wall which filters out the solid matter.

Article 2

Templates for information folder and information document

Article 3

Templates for statements of conformity

Manufacturers shall use the templates set out in Annex II to this Regulation when delivering statements of conformity in accordance with Article 31 of Regulation (EU) 2016/1628.

Article 4

Templates for the marking of engines

Manufacturers shall use the templates set out in Annex III to this Regulation when affixing markings to an engine in accordance with Article 32 of Regulation (EU) 2016/1628.

Article 5

Templates for the EU type-approval certificate

Approval authorities shall use the template set out in Annex IV to this Regulation when issuing the EU type-approval certificates in accordance with Article 23 of Regulation (EU) 2016/1628.

Article 6

Numbering system of the EU type-approval certificate

Approval authorities shall use the harmonised numbering system set out in Annex V to this Regulation when numbering EU type-approval certificates in accordance with Article 22 of Regulation (EU) 2016/1628.

Article 7

The single format of the test report

Article 8

Format for the list of engines referred to in Article 37(1) of Regulation 2016/1628

Manufacturers shall use the format set out in Annex VII to this Regulation when submitting the list of engines in accordance with Article 37(1) of Regulation 2016/1628.

Article 9

Templates and data structure for the exchange of data by means of IMI

Approval authorities shall use the templates and data structure set out in Annex VIII to this Regulation for the exchange of data by means of Internal Market Information System (IMI) in accordance with Article 22(5) of Regulation (EU) 2016/1628.

Article 10

Technical requirements and procedures for the interconnection of IMI with existing national databases

The first paragraph shall apply only where the Member State concerned has agreed to transfer of such data using web-service of IMI.

Article 11

Parameters for the definition of engine types and engine families, and their operation modes

For the purposes of paragraphs 1, 2 and 3 of Article 18 of Regulation (EU) 2016/1628, manufacturers shall use the parameters laid down in Annex IX to this Regulation when defining engine types and engine families, and their operation modes.

Article 12

Technical details for prevention of tampering

For the purposes of Article 18(4) of Regulation (EU) 2016/1628, manufacturers shall apply the technical details laid down in Annex X to this Regulation for the prevention of tampering.

Article 12a

Transitional provisions

Article 13

Entry into force

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.

TABLE OF CONTENTS

Annex I	Templates for information folder and information document
Annex II	Templates for statements of conformity
Annex III	Templates for the marking of engines
Annex IV	Templates for the EU type-approval certificate
Annex V	Numbering system of the EU type-approval certificate
Annex VI	The single format of the test report
Annex VII	Format for the list of engines referred to in Article 37(1) of Regulation (EU) 2016/1628
Annex VIII	Templates and data structure for the exchange of data by means of IMI
Annex IX	Parameters for the definition of engine types and engine families, and their operation modes
Annex X	Technical details for prevention of tampering

ANNEX I

Templates for information folder and information document

PART A — INFORMATION FOLDER

An information folder referred to in Article 21 of Regulation (EU) 2016/1628 shall contain the following:

1.1. A list of contents;

1.2. Manufacturer's declaration on adherence to all requirements of Regulation (EU) 2016/1628 in accordance with the template set out in Appendix 1;

1.3. Manufacturer's statement on the compliance of the engine type or engine family with the exhaust emission limits set out in Annex II to Regulation (EU) 2016/1628 with regard to specified liquid fuels, fuel mixtures or fuel emulsions other than those set out in point 1.2.2 of Annex I to Delegated Regulation (EU) 2017/654;

1.4. 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, a complete overview of the emission control strategy, including the base emission control strategy and the means by which every auxiliary control strategy directly or indirectly controls the output variables;

1.4.1. Additional confidential information as set out in Appendix 2 shall be made available, only for the technical service performing the tests and not included in the information folder;

1.5. Where applicable, a full description of the functional operational characteristics of the NOx control measures and inducement system as referred to in Annex IV to Delegated Regulation (EU) 2017/654;

1.5.1. Where applicable, a copy of the demonstration reports set out in points 10.5.1 and 13.4.1 of Appendix 1 of Annex IV to Delegated Regulation (EU) 2017/654;

1.5.2. Where applicable, a description of the connection for, and method to read, the records set out in point 5.2.1.1.(e) of Appendix 1 of Annex IV to Delegated Regulation (EU) 2017/654 and point 4.1 of Appendix 2 of that Annex;

1.5.3. Where the engine type or engine family is member of a NCD engine family, a justification of its membership together with the information requested in points 1.5, 1.5.1 and 1.5.2 on the NCD engine family may be supplied alternatively, upon agreement of the approval authority;

1.6. Where applicable, a full description of the functional operational characteristics of the particulate control measures as referred to in Annex IV to Delegated Regulation (EU) 2017/654;

1.6.1. Where applicable, a copy of the demonstration report set out in point 9.3.6.1 of Appendix 4 of Annex IV to Delegated Regulation (EU) 2017/654;

1.6.2. Where applicable, a description of the connection for, and method to read, the records set out in point 5.4 of Appendix 4 of Annex IV to Delegated Regulation (EU) 2017/654 and point 4.1 of Appendix 2 of that Annex;

1.6.3. Where the engine type or engine family is member of a PCD engine family, a justification of its membership together with the information requested in points 1.6, 1.6.1 and 1.6.2 on the PCD engine family may be supplied alternatively, upon agreement of the approval authority;

1.7. Manufacturer's declaration, and supporting test reports or data, on deterioration factors as referred to in Article 25(1)(c) of Regulation (EU) 2016/1628 and in Annex III to Delegated Regulation (EU) 2017/654;

1.7.1 Where the engine type or engine family is a member of an engine after-treatment system family, a justification of its membership together with the information requested in point 1.7 on the after-treatment system family may be supplied alternatively, upon agreement of the approval authority;

1.8. Where applicable, the manufacturer's declaration, and supporting test reports or data, of the infrequent regeneration adjustment factors referred to in Annex VI to Delegated Regulation (EU) 2017/654;

1.8.1 Where the engine type or engine family is a member of an engine-after-treatment system family, a justification of its membership together with the information requested in point 1.8 on the engine-after-treatment system family may be supplied alternatively, upon agreement of the approval authority;

1.9. Manufacturer's declaration and supporting data demonstrating that the emission control strategies fitted are designed in such a way as to prevent tampering to the extent possible, as referred to in Article 18(4) of Regulation (EU) 2016/1628 and in Annex X to this Regulation.

1.9.1. For engine types and engine families that use an Electronic Control Unit (ECU) as part of the emission control system the information shall include a description of the provisions taken to prevent tampering with and modification of the ECU including the facility for updating using a manufacturer approved programme or calibration;

1.9.2. For engine types and engine families that use mechanical devices as part of the emission control system the information shall include a description of the provisions taken to prevent tampering with and modification of the adjustable parameters of the emission control system. This shall include the tamper resistant components such as carburettor limiter caps or sealing of carburettor screws or special screws not adjustable by user;

1.9.3 In order to place engines from different engine families into the same tamper prevention engine family the manufacturer shall provide confirmation to the approval authority that the measures used to prevent tampering are similar.

1.10. A description of the physical connector required to receive the torque signal from the engine ECU during the in-service monitoring test according to Appendix 6 to Commission Delegated Regulation (EU) 2017/655 (⁴) on monitoring of in-service engines, in order to procure such a connector.

1.11. A description of overall quality-assurance management systems for conformity of production in accordance with Annex II to Delegated Regulation (EU) 2017/654;

1.12. A list of scheduled emission-related maintenance requirements and the period at which each should occur including any scheduled exchange of critical emission-related components;

1.13. The completed information document as set out in Part B of this Annex;

1.14. All relevant data, drawings, photographs and other information as required in the information document;

PART B — INFORMATION DOCUMENT

1.1. The information document shall have a reference number issued by the applicant;

1.2. Where the particulars appearing in the information document for an engine approval have changed, the manufacturer shall submit revised pages to the approval authority showing clearly the nature of the change(s) and the date of re-issue;

2.1.	All information documents shall contain the following: 2.1.1. the general information set out in Part A of Appendix 3; 2.1.2. the information set out in Part B of Appendix 3, to identify the common design parameters of all engine types within an engine family or applicable to the engine type where not part of an engine family, intended for EU type-approval; 2.1.3. the information set out in Part C of Appendix 3 following the format of the matrix set out in point 2.1.3.1 to identify the items applicable to the parent engine or engine type and the engine types within the engine family, if applicable: 2.1.3.1. Engine type or engine family matrix with example data Item Number Item Description Test Installation Homologation Parent engine/engine type Engine types within the engine family (if applicable) type 2 type 3 type … type n 3.1 Engine Identification 3.1.1 Engine type designation A01 A02 A03 A04 A05 3.2 Performance Parameters 3.2.1 Declared rated speed(s) (rpm): X 2 200 2 200 2 000 1 800 1 800 3.10. Miscellaneous devices: Yes/No 3.10.1 Exhaust gas recirculation (EGR) 3.10.1.1. Characteristics (cooled/uncooled, high pressure/low pressure, etc.): X … … … … … … 2.1.3.2. An (X) in the corresponding column of the table identifies the purpose(s) for which each item is required: (a) ‘Test’ means information required for the conduct of the emissions test, (b) ‘Installation’ means information required for the installation in non-road mobile machinery, and (c) ‘Homologation’ means information required for any inspection to confirm that the engine matches with the characteristics of the specified engine type, and, where applicable, of the specified engine family. The columns ‘test’, ‘installation’ and ‘homologation’ are for information only, and may be omitted from the information document submitted to the approval authority. 2.1.3.3. In the case of constant speed engines with multiple rated speeds an additional set column(s) of data for each speed shall be recorded in section 3.2 (Performance Parameters). 2.1.3.4. In the case of category IWP intended to be used for both variable speed and constant-speed operation an additional column(s) of data for each operation shall be recorded in section 3.2 (Performance Parameters).
Item Number	Item Description	Test	Installation	Homologation	Parent engine/engine type	Engine types within the engine family (if applicable)
type 2	type 3	type …	type n
3.1	Engine Identification
3.1.1	Engine type designation				A01	A02	A03	A04	A05
3.2	Performance Parameters
3.2.1	Declared rated speed(s) (rpm):	X			2 200	2 200	2 000	1 800	1 800
3.10.	Miscellaneous devices: Yes/No
3.10.1	Exhaust gas recirculation (EGR)
3.10.1.1.	Characteristics (cooled/uncooled, high pressure/low pressure, etc.):			X
…	…	…	…	…	…

3.1. Upon agreement of the approval authority, the information in point 2.1.2 and 2.1.3 may be presented in an alternative format;

3.2. Each engine type or the parent engine in the matrix set out in point 2.1.3.1 shall be identified in accordance with the engine family designation and engine type designation set out in section 4.

3.3. Only those sections or sub-sections of Parts B and C of Appendix 3 relevant for the particular engine family, engine types within the engine family or engine type shall be listed; in any case, the list shall adhere to the proposed numbering system,

3.4. Where several options separated by forward slash are given for an entry, the unused options shall be struck out, or only the used option(s) shall be shown;

3.5. When the same value for or description of a certain engine characteristic applies for several or all members of an engine family the corresponding cells may be merged.

3.6. Where a picture, diagram or detailed information is required, a reference to an appendix may be given;

3.7. Where a ‘type’ of a component is requested, the information supplied shall uniquely identify the component; this may be a list of characteristic, a manufacturers' name and part or drawing number, a drawing, or a combination of the aforementioned or other methods that achieves the same result.

The manufacturer shall allocate to each engine type and engine family a unique alphanumeric code.

4.1. In the case of an engine type, the code is named engine type designation and shall clearly and unequivocally identify those engines presenting a unique combination of technical features for those items set out in Part C of Appendix 3 applicable to the engine type.

4.3. The number of characters shall not exceed the following:

Appendix 1

Declaration by manufacturer on compliance with Regulation (EU) 2016/1628

The undersigned:[ …(full name and positon)]

Hereby declares that the following engine type/engine family (*) complies in all respects with the requirements of Regulation (EU) 2016/1628 of the European Parliament and of the Council (⁵), Commission Delegated Regulation (EU) 2017/654 (⁶), Commission Delegated Regulation (EU) 2017/655 (⁷) and Commission Implementing Regulation (EU) 2017/656 (⁸) and does not use any defeat strategy.

All emission control strategies comply, where applicable, with the requirements for Base Emission Control Strategy (BECS) and Auxiliary Emission Control Strategy (AECS) set-out in section 2 of Annex IV to Delegated Regulation (EU) 2017/654, and have been disclosed in accordance with that Annex and with Annex I to Implementing Regulation (EU) 2017/656.

1.1.Make (trade name(s) of manufacturer): …

1.2.Commercial name(s) (if applicable): …

1.3.Company name and address of manufacturer: …

1.4.Name and address of manufacturer's authorised representative (if any): …

1.6.Engine type designation/ engine family designation/ FT (*): …

(Place) (Date) …

Signature (or visual representation of an ‘advanced electronic signature’ according to Regulation (EU) No 910/2014 of the European Parliament and of the Council (⁹), including data for verification): …

Explanatory notes to Appendix 1: