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 Section 2.2.1.13 of Appendix 1 and in Section 2.2.1.13 of Appendix 3 to Annex II.

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

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, when installed in the machine, 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 system (software, hardware, and communication) needed for the correct installation of the engine system in the machine.

The NOx control diagnostic system shall be operational at the following conditions:

ambient temperatures between 266 K and 308 K (– 7 °C and 35 °C); all altitudes below 1 600 m; engine coolant temperatures above 343 K (70 °C).

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

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

Reagent tank and dosing system

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

The NOx Control Diagnostic system (NCD) shall be able to identify the NOx control malfunctions (NCMs) 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.

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

An NCD system shall not be programmed or otherwise designed to partially or totally deactivate based on age of the machine 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.

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

The manufacturer is responsible for determining the composition of an NCD engine family. Grouping engine systems within an NCD engine family shall be based on good engineering judgement 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.

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

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

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

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

Engine torque between the peak torque speed and the governor breakpoint shall be gradually reduced from the low-level inducement torque in Figure 1 by a minimum of 1 per cent per minute to 50 per cent of maximum torque or lower and engine speed shall be gradually reduced to 60 per cent of rated speed or lower within the same time period as the torque reduction, as shown in Figure 2.

Figure 2

Test to establish DFs shall be conducted as follows:

The manufacturer shall conduct durability tests to accumulate engine operating hours according to a test schedule that is selected on the basis of good engineering judgement to be representative of in-use engine operation in respect to characterising emission performance deterioration. The durability test period should typically represent the equivalent of at least one quarter of the emission durability period (EDP). Service accumulation operating hours may be acquired through running engines on a dynamometer test bed or from actual infield machine operation. Accelerated durability tests can be applied whereby the service accumulation schedule is performed at a higher load factor than typically experienced in the field. The acceleration factor relating the number of engine durability test hours to the equivalent number of EDP hours shall be determined by the engine manufacturer based on good engineering judgement. During the period of the durability test, no emission sensitive components can be serviced or replaced other than to the routine service schedule recommended by the manufacturer. The test engine, subsystems, or components to be used to determine exhaust emission DFs for an engine family, or for engine families of equivalent emission control system technology, shall be selected by the engine manufacturer on the basis of good engineering judgement. The criterion is that the test engine should represent the emission deterioration characteristics of the engine families that will apply the resulting DF values for type approval. Engines of different bore and stroke, different configuration, different air management systems, different fuel systems can be considered as equivalent in respect to emissions deterioration characteristics if there is a reasonable technical basis for such determination. DF values from another manufacturer can be applied if there is a reasonable basis for considering technology equivalence with respect to emissions deterioration, and evidence that the tests have been carried according to the specified requirements. Emissions testing shall be performed according to the procedures defined in this Directive for the test engine after initial run-in but before any service accumulation test, and at the completion of the durability test. Emission tests can also be performed at intervals during the service accumulation test period and applied in determining the deterioration trend. The service accumulation tests or the emissions tests performed to determine deterioration need not be witnessed by the approval authority. Determination of DF values from durability tests An additive DF is defined as the value obtained by subtraction of the emission value determine at the beginning of the EDP from the emissions value determined to represent the emission performance at the end of the EDP. A multiplicative DF is defined as the emission level determined for the end of the EDP divided by the emission value recorded at the beginning of the EDP. Separate DF values shall be established for each of the pollutants covered by the legislation. In the case of establishing a DF value relative to the NOx + HC standard, for an additive DF, this is determined based on the sum of the pollutants notwithstanding that a negative deterioration for one pollutant may not offset deterioration for the other. 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 standard. In cases where the testing is not conducted for the full EDP, the emission values at the end of the EDP is determined by extrapolation of the emission deterioration trend established for the test period, to the full EDP. When emissions test results have been recorded periodically during the service accumulation durability testing, standard statistical processing techniques based on good practice shall be applied to determine the emission levels at the end of the EDP; statistical significance testing can be applied in the determination of the final emissions values. 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 DF shall be 1,0 or 0,00, respectively. A manufacturer may, with the approval of the type approval authority, use DF values established from results of durability tests conducted to obtain DF values for certification of on-road HD CI engines. This will be allowed if there is technological equivalency between the test on-road engine and the non-road engine families applying the DF values for certification. The DF values, derived from on-road engine emission durability test results, must be calculated on the basis of EDP values defined in Section 3. In the case where an engine family uses established technology, an analysis based on good engineering practices may be used in lieu of testing to determine a deterioration factor for that engine family subject to approval of the type approval authority.

Additive DFs shall be specified for each pollutant in an engine family approval application for CI engines not using any after treatment device.

Multiplicative DFs shall be specified for each pollutant in an engine family certification application for CI engines using an after treatment device.

The manufacture shall furnish the type-approval authority on request with information to support the DF values. This would typically include emission test results, service accumulation schedule, maintenance procedures together with information to support engineering judgements of technological equivalency, if applicable.

This section shall apply to CI engines Stage IV. At the request of the manufacturer it may also be applied to CI engines stage IIIA and IIIB as an alternative to the requirements in Section 1 of this Appendix.

This Section 2 details the procedures for selecting engines to be tested over a service accumulation schedule for the purpose of determining deterioration factors for stage IV engine type approval and conformity of production assessments. The deterioration factors shall be applied in accordance with paragraph 2.4.7 to the emissions measured according to Annex III to this Directive.

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

This Section 2 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 owners of new engines.

At the request of the manufacturer, the type-approval authority may allow the use of deterioration factors that have been established using alternative procedures to those specified in Sections 2.4.1 to 2.4.5. In this case, the manufacturer must demonstrate to the satisfaction of the approval authority that the alternative procedures that have been used are no less rigorous than those contained in Sections 2.4.1 to 2.4.5.

“Ageing cycle” means the machine or engine operation (speed, load, power) to be executed during the service accumulation period.

“Critical emission-related components” means the components which are designed primarily for emission control, that is, any exhaust after-treatment system, the electronic engine control unit and its associated sensors and actuators, and the EGR system including all related filters, coolers, control valves and tubing.

“Critical emission-related maintenance” means the maintenance to be performed on critical emission-related components.

“Emission-related maintenance” means the maintenance which substantially affects emissions or which is likely to affect emissions performance deterioration of the vehicle or the engine during normal in-use operation.

“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.

“Non-emission-related maintenance” means maintenance which does not substantially affect emissions and which does not have a lasting affect on the emissions performance deterioration of the machine or the engine during normal in-use operation once the maintenance is performed.

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

Engines shall be selected from the engine family defined in Section 6 of Annex I to this Directive for emission testing to establish emission durability period deterioration factors.

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 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 engine systems is similar.

One engine representing the engine-after-treatment system family, as determined in accordance with paragraph 2.3.2, shall be selected by the engine manufacturer for testing over the service accumulation schedule defined in paragraph 2.4.2, and shall be reported to the type-approval authority before any testing commences.

Deterioration factors applicable to an engine-after-treatment system family are developed from the selected engines based on a service accumulation schedule that includes periodic testing for gaseous and particulate emissions over the NRSC and NRTC tests.

Service accumulation schedules may be carried out at the choice of the manufacturer by running a machine equipped with the selected engine over an “in-service” accumulation schedule or by running the selected engine over a “dynamometer service” accumulation schedule.

CO2 in the raw exhaust gas emitted by the engine submitted for testing shall be measured with a non-dispersive infrared (NDIR) analyser in accordance with Section 1.4.3.2 (NRSC) or Section 2.3.3.2 (NRTC), respectively, of Appendix 1 to Annex III.

The measurement system shall meet the linearity requirements of Section 1.5 of Appendix 2 to Annex III.

The measurement system shall meet the requirements of Section 1.4.1 (NRSC) or Section 2.3.1 (NRTC), respectively, of Appendix 1 to Annex III.

The relevant data shall be recorded and stored in accordance with Section 3.7.4 (NRSC) or Section 4.5.7.2 (NRTC), respectively, of Annex III.

If measured on a dry basis, the dry/wet correction in accordance with Section 1.3.2 (NRSC) or Section 2.1.2.2 (NRTC), respectively, of Appendix 3 to Annex III shall be applied.

For the NRSC, the mass of CO2 (g/h) shall be calculated for each individual mode in accordance with Section 1.3.4 of Appendix 3 to Annex III. The exhaust gas flows shall be determined in accordance with Sections 1.2.1 to 1.2.5 of Appendix 1 to Annex III.

For the NRTC, the mass of CO2 (g/test) shall be calculated in accordance with Section 2.1.2.1 of Appendix 3 to Annex III. The exhaust gas flow shall be determined in accordance with Section 2.2.3 of Appendix 1 to Annex III.

CO2 in the dilute exhaust gas emitted by the engine submitted for testing shall be measured with a non-dispersive infrared (NDIR) analyser in accordance with Section 1.4.3.2 (NRSC) or Section 2.3.3.2 (NRTC), respectively, of Appendix 1 to Annex III. Dilution of the exhaust shall be done with filtered ambient air, synthetic air or nitrogen. The flow capacity of the full flow system shall be large enough to completely eliminate water condensation in the dilution and sampling systems.

The measurement system shall meet the linearity requirements of Section 1.5 of Appendix 2 to Annex III.

The measurement system shall meet the requirements of Section 1.4.1 (NRSC) or Section 2.3.1 (NRTC), respectively, of Appendix 1 to Annex III.

The relevant data shall be recorded and stored in accordance with Section 3.7.4 (NRSC) or Section 4.5.7.2 (NRTC), respectively, of Annex III.

If measured on a dry basis, the dry/wet correction in accordance with Section 1.3.2 (NRSC) or Section 2.1.2.2 (NRTC), respectively, of Appendix 3 to Annex III shall be applied.

For the NRSC, the mass of CO2 (g/h) shall be calculated for each individual mode in accordance with Section 1.3.4 of Appendix 3 to Annex III. The diluted exhaust gas flows shall be determined in accordance with Section 1.2.6 of Appendix 1 to Annex III.

For the NRTC, the mass of CO2 (g/test) shall be calculated in accordance with Section 2.2.3 of Appendix 3 to Annex III. The diluted exhaust gas flow shall be determined in accordance with Section 2.2.1 of Appendix 3 to Annex III.

Background correction shall be applied in accordance with Section 2.2.3.1.1 of Appendix 3 to Annex III.

The brake specific emissions e CO2 (g/kWh) shall be calculated as follows:

$e_{\mathrm{CO2}}=\frac{\underset{\mathrm{i\; =\; 1}}{\overset{\mathrm{i\; =\; n}}{\Sigma }}\left({\mathrm{CO2}}_{\mathrm{mass,i}}\times W_{\mathrm{F,i}}\right)}{\underset{\mathrm{i\; =\; 1}}{\overset{\mathrm{i\; =\; n}}{\Sigma }}\left(P_i\times W_{\mathrm{F,i}}\right)}$

where:

$P_i=P_{\mathrm{m,i}}+P_{\mathrm{AE,i}}$

and

CO2 mass,i is the mass of CO2 of the individual mode (g/h) Pm,i is the measured power of the individual mode (kW) PAE,i is the power of the auxiliaries of the individual mode (kW) WF,i is the weighting factor of the individual mode.

The cycle work needed for the calculation of brake specific CO2 emissions shall be determined in accordance with Section 4.6.2 of Annex III.

The brake specific emissions e CO2 (g/kWh) shall be calculated as follows:

$e_{\mathrm{CO2}}=\frac{m_{\mathrm{CO2,hot}}}{W_{\mathrm{act,hot}}}$

where:

m CO2, hot is the CO2 mass emissions of the hot start NRTC (g) W act, hot is the actual cycle work of the hot start NRTC (kWh).

CO2 in the raw exhaust gas emitted by the engine submitted for testing shall be measured with a non-dispersive infrared (NDIR) analyser in accordance with Section 9.4.6 of Annex 4B to UNECE Regulation No 96.03 series of amendments.

The measurement system shall meet the linearity requirements of Section 8.1.4 of Annex 4B to UNECE Regulation No 96.03 series of amendments.

The measurement system shall meet the requirements of Section 8.1.9 of Annex 4B to UNECE Regulation No 96.03 series of amendments.

The relevant data shall be recorded and stored in accordance with Section 7.8.3.2 of Annex 4B to UNECE Regulation No 96.03 series of amendments.

If measured on a dry basis, the dry/wet correction in accordance with Section A.8.2.2 of Appendix 8 or Section A.7.3.2 of Appendix 7 to Annex 4B to UNECE Regulation No 96.03 series of amendments shall be applied to the instantaneous concentration values before any further calculation is done.

The mass of CO2 (g/test) shall be calculated by multiplication of the time aligned instantaneous CO2 concentrations and exhaust gas flows and integration over the test cycle in accordance with either of the following:

Section A.8.2.1.2 and Section A.8.2.5 of Appendix 8 to Annex 4B to UNECE Regulation No 96.03 series of amendments, by using the u values of CO2 from Table A.8.1 or calculating the u values in accordance with Section A.8.2.4.2 of Appendix 8 to Annex 4B to UNECE Regulation No 96.03 series of amendments; Section A.7.3.1 and Section A.7.3.3 of Appendix 7 to Annex 4B to UNECE Regulation No 96.03 series of amendments.

CO2 in the dilute exhaust gas emitted by the engine submitted for testing shall be measured with a non-dispersive infrared (NDIR) analyser in accordance with Section 9.4.6 of Annex 4B to UNECE Regulation No 96.03 series of amendments. Dilution of the exhaust shall be done with filtered ambient air, synthetic air or nitrogen. The flow capacity of the full flow system shall be large enough to completely eliminate water condensation in the dilution and sampling systems.

The measurement system shall meet the linearity requirements of Section 8.1.4 of Annex 4B to UNECE Regulation No 96.03 series of amendments.

The measurement system shall meet the requirements of Section 8.1.9 of Annex 4B to UNECE Regulation No 96.03 series of amendments.

The relevant data shall be recorded and stored in accordance with Section 7.8.3.2 of Annex 4B to UNECE Regulation No 96.03 series of amendments.

If measured on a dry basis, the dry/wet correction in accordance with Section A.8.3.2 of Appendix 8 or Section A.7.4.2 of Appendix 7 to Annex 4B to UNECE Regulation No 96.03 series of amendments shall be applied to the instantaneous concentration values before any further calculation is done.

The mass of CO2 (g/test) shall be calculated by multiplication of the CO2 concentrations and the diluted exhaust gas flows in accordance with either of the following:

Section A.8.3.1 and Section A.8.3.4 of Appendix 8 to Annex 4B to UNECE Regulation No 96.03 series of amendments, by using the u values of CO2 from Table A.8.2 or calculating the u values in accordance with Section A.8.3.3 of Appendix 8 to Annex 4B to UNECE Regulation No 96.03 series of amendments; Section A.7.4.1 and Section A.7.4.3 of Appendix 7 to Annex 4B to UNECE Regulation No 96.03 series of amendments.

Background correction shall be applied in accordance with Section A.8.3.2.4 of Appendix 8 or Section A.7.4.1 of Appendix 8 to Annex 4B to UNECE Regulation No 96.03 series of amendments.