ANNEX IVSupplementary provisions
ANNEX IV Requirements with regard to emission control strategies, NO x control measures and particulate control measures 1. Definitions abbreviations and general requirements 1.1. For the purposes of this Annex, the following definitions and abbreviations apply: (1) ‘diagnostic trouble code (“DTC”)’ means a numeric or alphanumeric identifier which identifies or labels a NCM and/ PCM; (2) ‘confirmed and active DTC’ means a DTC that is stored during the time the NCD and/or PCD system concludes that a malfunction exists; (3) ‘NCD engine family’ means a manufacturer's grouping of engines having common methods of monitoring/diagnosing NCMs; (4) ‘NO x Control Diagnostic system (NCD)’ means a system on-board the engine which has the capability of (a) detecting a NO x Control Malfunction, (b) identifying the likely cause of NO x control malfunctions by means of information stored in computer memory and/or communicating that information off-board; (5) ‘NO x Control Malfunction (NCM)’ means an attempt to tamper with the NO x control system of an engine or a malfunction affecting that system that might be due to tampering, that is considered by this Regulation as requiring the activation of a warning or an inducement system once detected; (6) ‘Particulate Control Diagnostic system (PCD)’ means a system on-board the engine which has a capability of: (a) detecting a Particulate Control Malfunction, (b) identifying the likely cause of particulate control malfunctions by means of information stored in computer memory and/or communicating that information off-board; (7) ‘Particulate Control Malfunction (PCM)’ means an attempt to tamper with the particulate after-treatment system of an engine or a malfunction affecting the particulate after-treatment system that might be due to tampering, that is considered by this Regulation as requiring the activation of a warning once detected; (8) ‘PCD engine family’ means a manufacturer's grouping of engines having common methods of monitoring/diagnosing PCMs; (9) ‘Scan-tool’ means an external test equipment used for off-board communication with the NCD and/or PCD system. 1.2. Ambient temperature Notwithstanding Article 2(7), where reference is made to ambient temperature in relation to environments other than a laboratory environment, the following provisions shall apply: 1.2.1. For an engine installed in a test-bed, ambient temperature shall be the temperature of the combustion air supplied to the engine, upstream of any part of the engine being tested. 1.2.2. For an engine installed in non-road mobile machinery, ambient temperature shall be the air temperature immediately outside the perimeter of the non-road mobile machinery. 2. Technical requirements relating to emission control strategies 2.1. This section 2 shall apply for electronically controlled engines of categories NRE, NRG, IWP, IWA, RLL and RLR, complying with ‘Stage V’ emission limits set out in Annex II to Regulation (EU) 2016/1628 and using electronic control to determine both the quantity and timing of injecting fuel or using electronic control to activate, de-activate or modulate the emission control system used to reduce NO x . 2.2. Requirements for base emission control strategy 2.2.1. The base emission control strategy shall be designed as to enable the engine, in normal use, to comply with the provisions of this Regulation. Normal use is not restricted to the control conditions as specified in point 2.4. 2.2.2. Base emission control strategies are, but not limited to, maps or algorithms for controlling: (a) timing of fuel injection or ignition (engine timing); (b) exhaust gas recirculation (EGR); (c) SCR catalyst reagent dosing. 2.2.3. Any base emission control strategy that can distinguish engine operation between a standardised EU type-approval test and other operating conditions and subsequently reduce the level of emission control when not operating under conditions substantially included in the EU type-approval procedure is prohibited. 2.3. Requirements for auxiliary emission control strategy 2.3.1. An auxiliary emission control strategy may be activated by an engine or a non-road mobile non-road mobile machinery, provided that the auxiliary emission control strategy: 2.3.1.1. does not permanently reduce the effectiveness of the emission control system; 2.3.1.2. operates only outside the control conditions specified in points 2.4.1, 2.4.2 or 2.4.3 for the purposes defined in point 2.3.5 and only as long as is needed for those purposes, except as permitted by points 2.3.1.3, 2.3.2 and 2.3.4; 2.3.1.3. is activated only exceptionally within the control conditions in points 2.4.1, 2.4.2 or 2.4.3, respectively, has been demonstrated to be necessary for the purposes identified in point 2.3.5 has been approved by the approval authority, and is not activated for longer than is needed for those purposes; 2.3.1.4. ensures a level of performance of the emission control system that is as close as possible to that provided by the base emission control strategy. 2.3.2. Where the auxiliary emission control strategy is activated during the EU type-approval test, activation shall not be limited to occur outside the control conditions set out in point 2.4, and the purpose shall not be limited to the criteria set out in point 2.3.5. 2.3.3. Where the auxiliary emission control strategy is not activated during the EU type-approval test, it must be demonstrated that the auxiliary emission control strategy is active only for as long as required for the purposes set out in point 2.3.5. 2.3.4. Cold temperature operation An auxiliary emission control strategy may be activated on an engine equipped with exhaust gas recirculation (EGR) irrespective of the control conditions in point 2.4 if the ambient temperature is below 275 K (2 °C) and one of the two following criteria is met: (a) intake manifold temperature is less than or equal to the temperature defined by the following equation: IMT c = P IM /15,75 + 304,4, where: IMT c is the calculated intake manifold temperature, K and P IM is the absolute intake manifold pressure in kPa; (b) engine coolant temperature is less than or equal to the temperature defined by the following equation: ECT c = P IM /14,004 + 325,8, where: ECT c is the calculated engine coolant temperature, K and P IM is the absolute intake manifold pressure, kPa. 2.3.5. Except as permitted by point 2.3.2, an auxiliary emission control strategy may solely be activated for the following purposes: (a) by on-board signals, for protecting the engine (including air-handling device protection) and/or non-road mobile machinery into which the engine is installed from damage; (b) for operational safety reasons; (c) for prevention of excessive emissions, during cold start or warming-up, during shut-down; (d) if used to trade-off the control of one regulated pollutant under specific ambient or operating conditions, for maintaining control of all other regulated pollutants, within the emission limit values that are appropriate for the engine concerned. The purpose is to compensate for naturally occurring phenomena in a manner that provides acceptable control of all emission constituents. 2.3.6. The manufacturer shall demonstrate to the technical service at the time of the EU type-approval test that the operation of any auxiliary emission control strategy complies with the provisions of this section. The demonstration shall consist of an evaluation of the documentation referred to in point 2.6. 2.3.7. Any operation of an auxiliary emission control strategy non-compliant with points 2.3.1 to 2.3.5 is prohibited. 2.4. Control conditions The control conditions specify an altitude, ambient temperature and engine coolant range that determines whether auxiliary emission control strategies may generally or only exceptionally be activated in accordance with point 2.3. The control conditions specify an atmospheric pressure which is measured as absolute atmospheric static pressure (wet or dry) (‘Atmospheric pressure’) 2.4.1. Control conditions for engines of categories IWP and IWA: (a) an altitude not exceeding 500 metres (or equivalent atmospheric pressure of 95,5 kPa); (b) an ambient temperature within the range 275 K to 303 K (2 °C to 30 °C); (c) the engine coolant temperature above 343 K (70 °C). 2.4.2. Control conditions for engines of category RLL: (a) an altitude not exceeding 1 000 metres (or equivalent atmospheric pressure of 90 kPa); (b) an ambient temperature within the range 275 K to 303 K (2 °C to 30 °C); (c) the engine coolant temperature above 343 K (70 °C). 2.4.3. Control conditions for engines of categories NRE, NRG and RLR: (a) the atmospheric pressure greater than or equal to 82,5 kPa; (b) the ambient temperature within the following range: — equal to or above 266 K (– 7 °C), — less than or equal to the temperature determined by the following equation at the specified atmospheric pressure: T c = – 0,4514 × (101,3 – P b ) + 311, where: T c is the calculated ambient air temperature, K and P b is the atmospheric pressure, kPa; (c) the engine coolant temperature above 343 K (70 °C). 2.5. Where the engine inlet air temperature sensor is being used to estimate ambient air temperature the nominal offset between the two measurement points shall be evaluated for an engine type or engine family. Where used, the measured intake air temperature shall be adjusted by an amount equal to the nominal offset to estimate ambient temperature for an installation using the specified engine type or engine family. The evaluation of the offset shall be made using good engineering judgement based on technical elements (calculations, simulations, experimental results, data etc.) including: (a) the typical categories of non-road mobile machinery into which the engine type or engine family will be installed; and, (b) the installation instructions provided to the OEM by the manufacturer. A copy of the evaluation shall be made available to the approval authority upon request. 2.6. Documentation requirements The manufacturer shall comply with the documentation requirements laid down in point 1.4 of Part A of Annex I to Implementing Regulation (EU) 2017/656 and Appendix 2 to that Annex. 3. Technical requirements relating to NO x control measures 3.1. This section 3 shall apply to electronically controlled engines of categories NRE, NRG, IWP, IWA, RLL and RLR, complying with ‘stage V’ emission limits set out in Annex II to Regulation (EU) 2016/1628 and using electronic control to determine both the quantity and timing of injecting fuel or using electronic control to activate, de-activate or modulate the emission control system used to reduce NO x . 3.2. The manufacturer shall provide complete information on the functional operational characteristics of the NO x control measures using the documents set out in Annex I to Implementing Regulation (EU) 2017/656. 3.3. The NO x control strategy shall be operational under all environmental conditions regularly occurring in the territory of the Union, especially at low ambient temperatures. 3.4. The manufacturer shall demonstrate that the emission of ammonia during the applicable emission test cycle of the EU type-approval procedure, when a reagent is used, does not exceed a mean value of 25 ppm for engines of category RLL and 10 ppm for engines of all other applicable categories. 3.5. If reagent containers are installed on or connected to a non-road mobile machinery, means for taking a sample of the reagent inside the containers must be included. The sampling point must be easily accessible without requiring the use of any specialised tool or device. 3.6. In addition to the requirements set out in points 3.2 to 3.5, the following requirements shall apply: (a) For engines of category NRG the technical requirements set out in Appendix 1; (b) For engines of category NRE: (i) the requirements set out in Appendix 2, when the engine is exclusively intended for use in the place of Stage V engines of categories IWP and IWA, in accordance with Article 4(1), point (1)(b) of Regulation (EU) 2016/1628; or (ii) the requirements set out in Appendix 1 for engines not covered by subparagraph (i); (c) For engines of category IWP, IWA and RLR the technical requirements set out in Appendix 2; (d) For engines of category RLL the technical requirements set out in Appendix 3 4. Technical requirements relating to particulate pollutant control measures 4.1. This section shall apply to engines of sub-categories subject to a PN limit in accordance with the ‘stage V’ emission limits set out in Annex II to Regulation (EU) 2016/1628 fitted with a particulate after-treatment system In cases where the NO x control system and the particulate control system share the same physical components (e.g. same substrate (SCR on filter), same exhaust gas temperature sensor) the requirements of this section shall not apply to any component or malfunction where, after consideration of a reasoned assessment provided by the manufacturer, the approval authority concludes that a particulate control malfunction within the scope of this section would lead to a corresponding NO x control malfunction within the scope of section 3. 4.2. The detailed technical requirements relating to particulate pollutant control measures are specified in Appendix 4.