Appendix 1

This Appendix sets out the additional requirements to ensure the correct operation of NO_x 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.

The engine shall be equipped with a NO_x Control Diagnostic system (NCD) able to identify the NO_x 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 NO_x Control Diagnostic system (NCD), such that the thresholds specified in this Annex may be exceeded before the warning and/or inducement systems are activated.

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.

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.

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.

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).

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

All elements of the NO _x 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.

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.

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.

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.

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.

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.

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:

1. (a)

   10 to 20 minutes idling; followed by

2. (b)

   up to 50 minutes at no more than 40 % of rated load.

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

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.

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

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).

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).

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

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

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.

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.).

1. (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.

2. (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.

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.

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 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.

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:

1. (a)

   emission control systems;

2. (b)

   methods of NCD monitoring;

3. (c)

   criteria for NCD monitoring;

4. (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.

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.

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.

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.

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

1. (a)

   the remaining time before activation of the low-level and/or severe inducements,

2. (b)

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

3. (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.

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

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

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.

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

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

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.

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

1. 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);

2. 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.

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.

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.

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

1. (a)

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

2. (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’;

3. (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;

4. (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;

5. (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;

6. (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;

7. (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.

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.

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.

Other inducement measures that are demonstrated to the 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 points 2.3.3.2, 6.3.2, 7.3.2, 8.4.2, and 9.4.2 has occurred.

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:

1. 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

   

2. 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.

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

1. (a)

   is active for no longer than 30 minutes; and

2. (b)

   is limited to 3 activations during each period that the operator inducement system is active.

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.

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

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.

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.

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.

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’).

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.

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.

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.

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.

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.

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.

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.

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

The value of CD _min 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.

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

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.

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.

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

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’).

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.

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.

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.

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

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.

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.

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

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’).

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.

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.

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.

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:

1. (a)

   failures of the NO _x Control Diagnostic (NCD) system as described in point 9.2.1;

2. (b)

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

The NO _x 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 NO _x concentration, urea quality sensors, ambient sensors and sensors used for monitoring reagent dosing activity, reagent level, or reagent consumption.

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.

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.

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

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

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.

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.

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

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’).

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.

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.

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.

As an alternative to the monitoring requirements set out in point 9.2, the manufacturer may monitor for failures using a NO _x sensor located in the exhaust system. In this case,

1. (a)

   the NO _x value at which the NCM shall be detected shall not exceed the lower of either the applicable NO _x limit multiplied by 2,25 or the applicable NO _x limit plus 1,5 g/kWh. For engine sub-categories with a combined HC and NO _x limit, the applicable NO _x limit value for the purpose of this point shall be the combined limit value for HC and NO _x reduced by 0,19 g/kWh.

2. (b)

   a single warning may be used, including, where messages are used, the statement ‘high NO _x – root cause unknown’,

3. (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,

4. (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.

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:

1. (a)

   a demonstration of the warning system activation;

2. (b)

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

3. (c)

   a demonstration of the severe inducement system activation

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

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.

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.

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.

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.

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.

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.

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:

1. 10.3.2.3.1.

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

2. 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.

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.

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

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

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

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

1. 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.

2. 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.

For the purpose of demonstrating the activation of the warning system in case of lack of reagent availability, the engine shall be operated over one or more NCD test cycles at the discretion of the manufacturer.

The demonstration shall start with a level of reagent in the tank to be agreed between the manufacturer and the approval authority but representing not less than 10 % of the nominal capacity of the tank.

The warning system is deemed to have performed in the correct manner if the following conditions are met simultaneously:

1. (a)

   the warning system has been activated with a reagent availability greater or equal to 10 % of the capacity of the reagent tank; and

2. (b)

   the ‘continuous’ warning system has been activated with a reagent availability greater or equal to the value declared by the manufacturer in accordance with the provisions of section 6.

The NCD test cycle considered in this section 10 for demonstrating the correct performance of the NCD system is the hot-start NRTC cycle for engines of sub-category NRE-v-3, NRE-v-4, NRE-v-5 NRE-v-6 and the applicable NRSC for all other categories.

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

1. (a)

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

2. (b)

   the applicable NCD test-cycle specified in point 10.3.3.7.1 is shown to be less appropriate for the considered monitoring.

The demonstration of the warning system activation is deemed to be accomplished if, at the end of each demonstration test performed according to point 10.3.3, the warning system has been properly activated.

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

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

If the manufacturer chooses, and subject to the agreement of the approval authority, the demonstration tests may be performed on a complete non-road mobile machinery or machinery either by mounting the non-road mobile machinery on a suitable test bed or, notwithstanding point 10.4.1, by running it on a test track under controlled conditions.

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

For the purpose of this demonstration,

1. (a)

   the manufacturer shall, in agreement with the approval authority, be permitted to accelerate the test by simulating the achievement of a certain number of operating hours,

2. (b)

   the achievement of the torque reduction required for low-level inducement may be demonstrated at the same time as the general engine performance approval process performed in accordance with this Regulation. A separate torque measurement during the inducement system demonstration is not required in this case,

3. (c)

   the low-level inducement, if applicable, shall be demonstrated in accordance with the requirements of point 10.4.5,

4. (d)

   the severe inducement shall be demonstrated in accordance with the requirements of point 10.4.6.

The manufacturer shall, in addition, demonstrate the operation of the inducement system under those failure conditions defined in sections 7, 8 or 9 which have not been chosen for use in demonstration tests described in points 10.4.1 to 10.4.3.

These additional demonstrations may be performed by presentation to the approval authority of a technical case using evidence such as algorithms, functional analyses, and the result of previous tests.

These additional demonstrations shall in particular demonstrate to the satisfaction of the approval authority the inclusion of the correct torque reduction mechanism in the engine ECU.

This demonstration starts when the warning system or when appropriate ‘continuous’ warning system has been activated as a result of the detection of a failure selected by the approval authority.

When the system is being checked for its reaction to the case of lack of reagent in the tank, the engine shall be run until the reagent availability has reached a value of 2,5 % of the tank nominal full capacity of the tank or the value declared by the manufacturer in accordance with point 6.3.1 at which the low-level inducement system is intended to operate.

The manufacturer may, with the agreement of the approval authority, simulate continuous running by extracting reagent from the tank, either whilst the engine is running or is stopped.

When the system is checked for its reaction in the case of a failure other than a lack of reagent in the tank, the engine shall be run for the relevant number of operating hours indicated in Table 4.3 or, at the choice of the manufacturer, until the relevant counter has reached the value at which the low-level inducement system is activated.

The demonstration of the low level inducement system shall be deemed to be accomplished if, at the end of each demonstration test performed according to points 10.4.5.2 and 10.4.5.3, the manufacturer has demonstrated to the approval authority that the engine ECU has activated the torque reduction mechanism.

This demonstration shall start from a condition where the low-level inducement system has been previously activated and may be performed as a continuation of the tests undertaken to demonstrate the low-level inducement system.

When the system is checked for its reaction in the case of lack of reagent in the tank, the engine shall be run until the reagent tank is empty, or has reached the level below 2,5 % of nominal full capacity of the tank at which the manufacturer has declared to activate the severe inducement system.

The manufacturer may, with the agreement of the approval authority, simulate continuous running by extracting reagent from the tank, either whilst the engine is running or is stopped.

When the system is checked for its reaction in the case of a failure that is not a lack of reagent in the tank, the engine shall then be run for the relevant number of operating hours indicated in Table 4.4 or, at the choice of the manufacturer, until the relevant counter has reached the value at which the severe inducement system is activated.

The demonstration of the severe inducement system shall be deemed to be accomplished if, at the end of each demonstration test performed according to points 10.4.6.2 and 10.4.6.3, the manufacturer has demonstrated to the approval authority that the severe inducement mechanism considered in this Appendix has been activated.

Alternatively, if the manufacturer chooses, and subject to the agreement of the approval authority, the demonstration of the inducement mechanisms may be performed on a complete non-road mobile machinery in accordance with the requirements of points 5.4 and 10.4.1.2, either by mounting the non-road mobile machinery on a suitable test bed or by running it on a test track under controlled conditions.

The non-road mobile machinery shall be operated until the counter associated with the selected failure has reached the relevant number of operating hours indicated in Table 4.4 or, as appropriate, until either the reagent tank is empty or, has reached the level below 2,5 % of nominal full capacity of the tank at which the manufacturer has chosen to activate the severe inducement system.

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

1. (a)

   identify the failures examined;

2. (b)

   describe the demonstration performed including the applicable test cycle;

3. (c)

   confirm that the applicable warnings and inducements were activated as required by this regulation; and

4. (d)

   be included in the information folder as set out in Part A of Annex I of Implementing Regulation (EU) 2017/656.

To complement the requirements specified in this Appendix concerning the warning and inducement activation and deactivation mechanisms, this section 11 specifies the technical requirements for an implementation of those activation and deactivation mechanisms.

The operator warning system shall be activated when the diagnostic trouble code (DTC) associated with a NCM justifying its activation has the status defined in Table 4.2.

The operator warning system shall be deactivated when the diagnosis system concludes that the malfunction relevant to that warning is no longer present or when the information including DTCs relative to the failures justifying its activation is erased by a scan tool.

On request of the scan tool, the following data shall be erased or reset to the value specified in this Appendix from the computer memory (see Table 4.3).

NO_x control information shall not be erased by disconnection of the non-road mobile machinery's battery(s).

The erasing of ‘NO_x control information’ shall only be possible under ‘engine-off’ conditions.

When ‘NO_x control information’ including DTCs are erased, any counter associated with these failures and which is specified in this Appendix shall not be erased, but reset to the value specified in the appropriate section of this Appendix.

The operator inducement system shall be activated when the warning system is active and the counter relevant to the type of NCM justifying their activation have reached the value specified in Table 4.4.

The operator inducement system shall be deactivated when the system no longer detects a malfunction justifying its activation, or if the information including the DTCs relative to the NCMs justifying its activation has been erased by a scan tool or maintenance tool.

The operator warning and inducement systems shall be immediately activated or deactivated as appropriate according to the provisions of section 6 after assessment of the reagent quantity in the reagent tank. In that case, the activation or deactivation mechanisms shall not depend upon the status of any associated DTC.

To comply with the requirements of this Appendix, the system shall contain counters to record the number of hours during which the engine has been operated while the system has detected any of the following NCM:

1. (a)

   an incorrect reagent quality;

2. (b)

   an interruption of reagent dosing activity;

3. (c)

   an impeded EGR valve;

4. (d)

   a failure of the NCD system.

The manufacturer may use one or more counters for grouping the NCMs indicated in point 11.4.1.1.

Each of the counters shall count up to the maximum value provided in a 2 byte counter with 1 hour resolution and hold that value unless the conditions allowing the counter to be reset to zero are met.

A manufacturer may use a single or multiple NCD system counters. A single counter may accumulate the number of hours of 2 or more different malfunctions relevant to that type of counter, none of them having reached the time the single counter indicates.

When the manufacturer decides to use multiple NCD system counters, the system shall be capable of assigning a specific monitoring system counter to each malfunction relevant according to this Appendix to that type of counters.

Each of the counters shall operate as follows:

1. 11.4.2.1.1.

   If starting from zero, the counter shall begin counting as soon as a malfunction relevant to that counter is detected and the corresponding diagnostic trouble code (DTC) has the status defined in Table 4.2.

2. 11.4.2.1.2.

   In case of repeated failures, one of the following provisions shall apply at the choice of the manufacturer.

   1. (a)

      If a single monitoring event occurs and the malfunction that originally activated the counter is no longer detected or if the failure has been erased by a scan tool or a maintenance tool, the counter shall halt and hold its current value. If the counter stops counting when the severe inducement system is active, the counter shall be kept frozen at the value defined in Table 4.4 or a value of greater than or equal to the counter value for severe inducement minus 30 minutes.

   2. (b)

      The counter shall be kept frozen at the value defined in Table 4.4 or a value of greater than or equal to the counter value for severe inducement minus 30 minutes.

3. 11.4.2.1.3.

   In the case of a single monitoring system counter, that counter shall continue counting if a NCM relevant to that counter has been detected and its corresponding Diagnostic trouble code (DTC) has the status ‘confirmed and active’. It shall halt and hold one of the values specified in point 11.4.2.1.2, if no NCM that would justify the counter activation is detected or if all the failures relevant to that counter have been erased by a scan tool or a maintenance tool.

   Table 4.4
   Counters and inducement
   	DTC status for first activation of the counter	Counter value for low-level inducement	Counter value for severe inducement	Frozen value held by the counter
   Reagent quality counter	confirmed and active	≤ 10 hours	≤ 20 hours	≥ 90 % of counter value for severe inducement
   Dosing counter	confirmed and active	≤ 10 hours	≤ 20 hours	≥ 90 % of counter value for severe inducement
   EGR valve counter	confirmed and active	≤ 36 hours	≤ 100 hours	≥ 95 % of counter value for severe inducement
   Monitoring system counter	confirmed and active	≤ 36 hours	≤ 100 hours	≥ 95 % of counter value for severe inducement
   NOx threshold, if applicable	confirmed and active	≤ 10 hours	≤ 20 hours	≥ 90 % of counter value for severe inducement

4. 11.4.2.1.4.

   Once frozen, the counter shall be reset to zero when the monitors relevant to that counter have run at least once to completion of their monitoring cycle without having detected a malfunction and no malfunction relevant to that counter has been detected during 40 engine operating hours since the counter was last held (see Figure 4.4).

5. 11.4.2.1.5.

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

This section 12 illustrates the activation and deactivation and counter mechanisms for some typical cases. The Figures and descriptions given in points 12.2, 12.3 and 12.4 are provided solely for the purposes of illustration in this Appendix and should not be referenced as examples of either the requirements of this Regulation or as definitive statements of the processes involved. The counter hours in Figures 4.6 and 4.7 refer to the maximum severe inducement values in Table 4.4. For simplification purposes, for example, the fact that the warning system will also be active when the inducement system is active has not been mentioned in the illustrations given.

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

1. (a)

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

2. (b)

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

3. (c)

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

4. (d)

   refilling case 4 (‘very inadequate’ refilling): The low level inducement is activated immediately.

Figure 4.6 illustrates three cases of wrong reagent quality:

1. (a)

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

2. (b)

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

3. (c)

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

Figure 4.7 illustrates three cases of failure of the urea dosing system. This Figure also illustrates the process that applies in the case of the monitoring failures described in section 9:

1. (a)

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

2. (b)

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

3. (c)

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

The manufacturer shall demonstrate the correct value of CD_min during EU type-approval by performing the hot-start NRTC cycle for engines of sub-category NRE-v-3, NRE-v-4, NRE-v-5 NRE-v-6 and the applicable NRSC for all other categories using a reagent with the concentration CD_min.

The test shall follow the appropriate NCD cycle(s) or manufacturer defined pre-conditioning cycle, permitting a closed loop NO_x control system to perform adaptation to the quality of the reagent with the concentration CD_min.

The pollutant emissions resulting from this test shall not exceed the NO _x threshold specified in point 7.1.1.

A demonstration report shall document the demonstration of the minimum acceptable reagent concentration. The report shall:

1. (a)

   identify the failures examined;

2. (b)

   describe the demonstration performed including the applicable test cycle;

3. (c)

   confirm that the pollutant emissions arising from this demonstration did not exceed the NO _x threshold specified in point 7.1.1;

4. (d)

   be included in the information folder as set out in Part A of Annex I to Implementing Regulation (EU) 2017/656.