{
  "url": "https://openlegislation.uk/eu-regulation-2017-654/annex-IV/appendix-4",
  "json_url": "https://openlegislation.uk/eu-regulation-2017-654/annex-IV/appendix-4.json",
  "legislation": "eur/2017/654",
  "legislation_title": "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",
  "legislation_url": "https://openlegislation.uk/eu-regulation-2017-654",
  "path": "annex/IV/appendix/4",
  "kind": "appendix",
  "number": "4",
  "heading": null,
  "text": "Technical requirements on particulate pollutant control measures, including the method to demonstrate these measures\n1.\nIntroduction\nThis Appendix sets out the requirements to ensure the correct operation of particulate control measures.\n2.\nGeneral requirements\nThe engine shall be equipped with a Particulate Control Diagnostic system (PCD) able to identify the particulate after-treatment system malfunctions considered by this Annex. Any engine covered by this section 2 shall be designed, constructed and installed so as to be capable of meeting these requirements throughout the normal life of the engine under normal conditions of use. In achieving this objective it is acceptable that engines which have been used in excess of the emission durability period as specified in Annex V to Regulation (EU) 2016/1628 show some deterioration in the performance and the sensitivity of the PCD.\n2.1.\nRequired information\n2.1.1.\nIf the emission control system requires a reagent e.g. fuel borne catalyst, the characteristics of that reagent, including the type of reagent, information on concentration when the reagent is in solution, operational temperature conditions and reference to international standards for composition and quality must be specified by the manufacturer, in the information document set out in Appendix 3 to Annex I to Implementing Regulation (EU) 2017/656.\n2.1.2.\nDetailed written information fully describing the functional operation characteristics of the operator warning system in section 4 shall be provided to the approval authority at the time of EU type-approval.\n2.1.3.\nThe manufacturer shall provide installation documents that, when used by the OEM, will ensure that the engine, inclusive of the emission control system that is part of the approved engine type or engine family, when installed in the non-road mobile machinery, will operate, in conjunction with the necessary machinery parts, in a manner that will comply with the requirements of this Annex. This documentation shall include the detailed technical requirements and the provisions of the engine (software, hardware, and communication) needed for the correct installation of the engine in the non-road mobile machinery.\n2.2.\nOperating conditions\n2.2.1.\nThe PCD system shall, at a minimum, be operational at the applicable control conditions set out in point 2.4 of Annex IV for each engine category. The diagnostic system shall remain operational outside of this range where technically possible.\n2.3.\nDiagnostic requirements\n2.3.1.\nThe PCD system shall be able to identify the particulate control malfunctions (PCM) considered by this Annex by means of Diagnostic Trouble Codes (DTCs) stored in the computer memory and to communicate that information off-board upon request.\n2.3.2.\nRequirements for recording Diagnostic Trouble Codes (DTCs)\n2.3.2.1.\nThe PCD system shall record a DTC for each distinct PCM.\n2.3.2.2.\nThe PCD system shall conclude within the periods of engine operation indicated in Table 4.5 whether a detectable malfunction is present. At this time, a ‘confirmed and active’ DTC shall be stored and the warning system specified in section 4 shall be activated.\n2.3.2.3.\nIn cases where more than the period of running time indicated in Table 4.5 is required for the monitors to accurately detect and confirm a PCM (e.g. monitors using statistical models or with respect to fluid consumption on the non-road mobile machinery), the approval authority may permit a longer period for monitoring provided the manufacturer justifies the need for the longer period (for example by technical rationale, experimental results, in-house experience, etc.).\nTable 4.5\nMonitor types and corresponding period within which a ‘confirmed and active’ DTC shall be stored\nMonitor type\nPeriod of accumulated running time within which a ‘confirmed and active’ DTC shall be stored\nRemoval of the particulate after-treatment system\n60 minutes of non-idle engine operation\nLoss of function of the particulate after-treatment system\n240 minutes of non-idle engine operation\nFailures of the PCD system\n60 minutes of engine operation\n2.3.3.\nRequirements for erasing Diagnostic trouble codes (DTCs):\n(a) DTCs shall not be erased by the PCD system itself from the computer memory until the failure related to that DTC has been remedied;\n(b) the PCD system may erase all the DTCs upon request of a proprietary scan or maintenance tool that is provided by the engine manufacturer upon request, or using a pass code provided by the engine manufacturer.\n(c) the record of incidents of operation with a DTC confirmed and active that are stored in non-volatile memory as required by point 5.2 shall not be erased.\n2.3.4.\nA PCD system shall not be programmed or otherwise designed to partially or totally deactivate based on age of the non-road mobile machinery during the actual life of the engine, nor shall the system contain any algorithm or strategy designed to reduce the effectiveness of the PCD system over time.\n2.3.5.\nAny reprogrammable computer codes or operating parameters of the PCD system shall be resistant to tampering.\n2.3.6.\nPCD engine family\nThe manufacturer is responsible for determining the composition of a PCD engine family. Grouping engines within a PCD engine family shall be based on good engineering judgment and be subject to approval by the approval authority.\nEngines that do not belong to the same engine family may still belong to the same PCD engine family.\n2.3.6.1.\nParameters defining a PCD engine family\nA PCD engine family is characterised by basic design parameters that shall be common to engines within the family.\nIn order that engines are considered to belong to the same PCD engine family, the following list of basic parameters shall be similar:\n(a) working principle of particulate after-treatment system (e.g. mechanical, aerodynamic, diffusional, inertial, periodically regenerating, continuously regenerating, etc.)\n(b) methods of PCD monitoring;\n(c) criteria for PCD monitoring;\n(d) monitoring parameters (e.g. frequency).\nThese 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.\nThe manufacturer may request approval by the approval authority of minor differences in the methods of monitoring/diagnosing the PCD monitoring system due to engine configuration variation, when these methods are considered similar by the manufacturer and they differ only in order to match specific characteristics of the components under consideration (for example size, exhaust gas flow, etc.); or their similarities are based on good engineering judgment.\n3.\nMaintenance requirements\n3.1.\nThe OEM shall provide to all end-users of new non-road mobile machinery written instructions about the emission control system and its correct operation as required in Annex XV.\n4.\nOperator warning system\n4.1.\nThe non-road mobile machinery shall include an operator warning system using visual alarms.\n4.2.\nThe operator warning system may consist of one or more lamps, or display short messages.\nThe system used for displaying these messages may be the same as the one used for other maintenance or NCD purposes\nThe warning system shall indicate that an urgent repair is required. When the warning system includes a message display system, it shall display a message indicating the reason of the warning (for example ‘sensor disconnected’, or ‘critical emission failure’)\n4.3.\nAt 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.\n4.4.\nThe operator warning system shall be activated as specified in point 2.3.2.2.\n4.5.\nThe 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.\n4.6.\nThe warning system may be temporarily interrupted by other warning signals providing important safety related messages.\n4.7.\nIn the application for EU type-approval under Regulation (EU) 2016/1628, the manufacturer shall demonstrate the operation of the operator warning system, as specified in Section 9.\n5.\nSystem to store information on operator warning system activation\n5.1.\nThe PCD system shall include a non-volatile computer memory or counters to store incidents of engine operation with a DTC confirmed and active in a manner to ensure that the information cannot be intentionally deleted.\n5.2.\nThe PCD shall store in the non-volatile memory the total number and duration of all incidents of engine operation with a DTC confirmed and active where the operator warning system has been active for 20 hours of engine operation, or a shorter period at the choice of the manufacturer.\n5.3.\nIt shall be possible for national authorities to read these records with a scan tool.\n5.4.\nA description of the connection for, and method to read, these records shall be included in the information folder as set out in Part A of Annex I of Implementing Regulation (EU) 2017/656.\n6.\nMonitoring for removal of the particulate after-treatment system\n6.1.\nThe PCD system shall detect the complete removal of the particulate after-treatment system inclusive of the removal of any sensors used to monitor, activate, de-activate or modulate its operation.\n7.\nAdditional requirements in the case of a particulate after-treatment system that uses a reagent (e.g. fuel-borne catalyst)\n7.1.\nIn the case of a confirmed and active DTC for either removal of the particulate after-treatment system or loss of the particulate after-treatment system function the reagent dosing shall be immediately interrupted. Dosing shall re-commence when the DTC is no longer active.\n7.2.\nThe warning system shall be activated if the reagent level in the additive tank falls below the minimum value specified by the manufacturer.\n8.\nMonitoring failures that may be attributed to tampering\n8.1.\nIn addition to monitoring for removal of the particulate after-treatment system the following failures shall be monitored because they may be attributed to tampering:\n(a) loss of the particulate after-treatment system function,\n(b) failures of the PCD system, as described in point 8.3.\n8.2.\nMonitoring of loss of the particulate after-treatment system function\nThe PCD shall detect the complete removal of the particulate after-treatment system substrate (‘empty can’). In this case the particulate after-treatment system housing and sensors used to monitor, activate, de-activate or modulate its operation are still present.\n8.3.\nMonitoring of failures of the PCD system\n8.3.1.\nThe PCD system shall be monitored for electrical failures and for removal or deactivation of any sensor or actuator that prevents it from diagnosing any other failures mentioned in point 6.1 and 8.1(a) (component monitoring).\nA non-exhaustive list of sensors that affect the diagnostic capability are those directly measuring differential pressures over the particulate after-treatment system and exhaust gas temperature sensors for controlling the particulate after-treatment system regeneration.\n8.3.2.\nWhere the failure, removal or deactivation of a single sensor or actuator of the PCD system does not prevent the diagnosis within the required time period of the failures mentioned in point 6.1 and 8.1(a) (redundant system), the activation of the warning system and storage of information on operator warning system activation shall not be required unless additional sensor or actuator failures are confirmed and active.\n9.\nDemonstration requirements\n9.1.\nGeneral\nThe compliance to the requirements of this Appendix shall be demonstrated during EU type-approval by performing, as illustrated in Table 4.6 and specified in this section 9 a demonstration of the warning system activation.\nTable 4.6\nIllustration of the content of the demonstration process in accordance with the provisions in point 9.3.\nMechanism\nDemonstration elements\nWarning system activation specified in point 4.4.\n2 activation tests (incl. loss of the particulate after-treatment system function)\nSupplementary demonstration elements, as appropriate\n9.2.\nEngine families and PCD engine families\n9.2.1.\nIn the case where engines of an engine family belong to a PCD engine family that has already been EU type-approved, in accordance with point 2.3.6 (Figure 4.8), the compliance of that engine family is deemed to be demonstrated without further testing, provided the manufacturer demonstrates to the authority that the monitoring systems necessary for complying with the requirements of this Appendix are similar within the considered engine and PCD engine families.\nFigure 4.8\nPreviously demonstrated conformity of a PCD engine family\n9.3.\nDemonstration of the warning system activation\n9.3.1.\nThe compliance of the warning system activation shall be demonstrated by performing two tests: loss of the particulate after-treatment system function and one failure category considered in point 6 or point 8.3 of this Annex.\n9.3.2.\nSelection of the failures to be tested\n9.3.2.1.\nThe manufacturer shall provide the approval authority with a list of such potential failures.\n9.3.2.2.\nThe failure to be considered in the test shall be selected by the approval authority from this list referred to in point 9.3.2.1.\n9.3.3.\nDemonstration\n9.3.3.1.\nFor the purpose of this demonstration, a separate test shall be performed for the loss of the particulate after-treatment system function set out in point 8.2 and for the failures laid down in points 6 and 8.3. The loss of the particulate after-treatment system function shall be created by a complete removal of the substrate from the particulate after-treatment system housing.\n9.3.3.2.\nDuring a test, no failure shall be present other than the one addressed by the test.\n9.3.3.3.\nPrior to starting a test, all DTC shall have been erased.\n9.3.3.4.\nAt the request of the manufacturer, and with the agreement of the approval authority, the failures subject to testing may be simulated.\n9.3.3.5.\nDetection of failures\n9.3.3.5.1.\nThe PCD system shall respond to the introduction of a failure selected as appropriate by the approval authority in accordance to the provisions of this Appendix. This is considered to be demonstrated if activation occurs within the number of consecutive PCD test-cycles given in Table 4.7.\nWhen it has been specified in the monitoring description and agreed by the approval authority that a specific monitor needs more PCD test-cycles to complete its monitoring than indicated in Table 4.7, the number of PCD test-cycles may be increased by up to 50 %.\nEach individual PCD test-cycle in the demonstration test may be separated by an engine shut-off. The time until the next start-up shall take into consideration any monitoring that may occur after engine shut- off and any necessary condition that must exist for monitoring to occur at the next start-up.\nTable 4.7\nMonitor types and corresponding number of PCD test cycles within which a ‘confirmed and active’ DTC shall be stored\nMonitor type\nNumber of PCD test cycles within which a ‘confirmed and active’ DTC shall be stored\nRemoval of the particulate after-treatment system\n2\nLoss of function of the particulate after-treatment system\n8\nFailures of the PCD system\n2\n9.3.3.6.\nPCD test cycle\n9.3.3.6.1.\nThe PCD test cycle considered in this Section 9 for demonstrating the correct performance of the particulate after-treatment system monitoring system is the hot-start NRTC cycle for engines of sub-category NRE-v-3, NRE-v-4, NRE-v-5, NRE-v-6 and the applicable NRSC for all other categories.\n9.3.3.6.2.\nOn request of the manufacturer and with approval of the approval authority, an alternative PCD test- cycle (e.g. other than the NRTC or the NRSC) can be used for a specific monitor. The request shall contain elements (technical considerations, simulation, test results, etc.) demonstrating:\n(a) the requested test-cycle results in a monitor that will run in real world operation conditions; and\n(b) the applicable PCD test-cycle specified in point 9.3.3.6.1 is less appropriate for the considered monitoring.\n9.3.3.7\nConfiguration for demonstration of the warning system activation\n9.3.3.7.1.\nThe demonstration of the warning system activation shall be done by tests performed on an engine test bench.\n9.3.3.7.2.\nAny components or subsystems not physically mounted on the engine, such as, but not limited to, ambient temperature sensors, level sensors, and operator warning and information systems, that are required in order to perform the demonstrations shall be connected to the engine for that purpose, or shall be simulated, to the satisfaction of the approval authority.\n9.3.3.7.3.\nIf the manufacturer chooses, and subject to the agreement of the approval authority, the demonstration tests may be performed, notwithstanding point 9.3.3.7.1, on a complete non-road mobile machinery or machinery either by mounting the non-road mobile machinery on a suitable test bed or by running it on a test track under controlled conditions.\n9.3.4.\nThe demonstration of the warning system activation is deemed to be accomplished if, at the end of each demonstration test performed in accordance with point 9.3.3 the warning system has been properly activated and the DTC for the selected failure has a ‘confirmed and active’ status.\n9.3.5\nWhere a particulate after-treatment system that uses a reagent is subjected to a demonstration test for loss of the particulate after-treatment system function or removal of the particulate after-treatment system it shall also be confirmed that reagent dosing has been interrupted.\n9.3.6.\nDocumentation of the demonstration\n9.3.6.1.\nA demonstration report shall document the demonstration of the PCD system. The report shall:\n(a) identify the failures examined;\n(b) describe the demonstration performed including the applicable test cycle;\n(c) confirm that the applicable warnings were activated as required by this regulation;\n(d) be included in the information folder as set out in Part A of Annex I to Implementing Regulation (EU) 2017/656.",
  "extent": "E+W+S+N.I.",
  "status": null,
  "version": "current",
  "annotations": [
    {
      "type": "F",
      "label": "F1",
      "text": "Substituted by Commission Delegated Regulation (EU) 2018/989 of 18 May 2018 amending and correcting Delegated Regulation (EU) 2017/654 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 (Text with EEA relevance)."
    },
    {
      "type": "F",
      "label": "F2",
      "text": "Inserted by Commission Delegated Regulation (EU) 2018/989 of 18 May 2018 amending and correcting Delegated Regulation (EU) 2017/654 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 (Text with EEA relevance)."
    }
  ],
  "outstanding_effects": [],
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/eur/2017/654/annex/IV/appendix/4",
    "retrieved_at": "2026-11-01T14:45:01.864924+00:00"
  },
  "licence": "Open Government Licence v3.0",
  "licence_url": "https://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/",
  "attribution": "Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives."
}