ANNEX ISupplementary provisions
ANNEX I Templates for information folder and information document PART A — INFORMATION FOLDER 1. General requirements An information folder referred to in Article 21 of Regulation (EU) 2016/1628 shall contain the following: 1.1. A list of contents; 1.2. Manufacturer's declaration on adherence to all requirements of Regulation (EU) 2016/1628 in accordance with the template set out in Appendix 1; 1.3. Manufacturer's statement on the compliance of the engine type or engine family with the exhaust emission limits set out in Annex II to Regulation (EU) 2016/1628 with regard to specified liquid fuels, fuel mixtures or fuel emulsions other than those set out in point 1.3.1 of Annex I to Delegated Regulation (EU) 2017/654; 1.4. For electronically controlled engines of categories NRE, NRG, IWP, IWA, RLL and RLR, complying with ‘Stage V’ emission limits set out in Annex II to Regulation (EU) 2016/1628 and using electronic control to determine both the quantity and timing of injecting fuel or using electronic control to activate, de-activate or modulate the emission control system used to reduce NO x , a complete overview of the emission control strategy, including the base emission control strategy and the means by which every auxiliary control strategy directly or indirectly controls the output variables; 1.4.1. Additional confidential information as set out in Appendix 2 shall be made available, only for the technical service performing the tests and not included in the information folder; 1.5. Where applicable, a full description of the functional operational characteristics of the NO x control measures and inducement system as referred to in Annex IV to Delegated Regulation (EU) 2017/654; 1.5.1. Where the engine type or engine family is member of a NCD engine family, a justification of its membership together with the information requested in point 1.5 on the NCD engine family may be supplied alternatively, upon agreement of the approval authority; 1.6. Where applicable, a full description of the functional operational characteristics of the particulate control measures as referred to in Annex IV to Delegated Regulation (EU) 2017/654; 1.6.1. Where the engine type or engine family is a member of a PCD engine family, a justification of its membership together with the information requested in point 1.6 on the PCD engine family may be supplied alternatively, upon agreement of the approval authority; 1.7. Manufacturer's declaration, and supporting test reports or data, on deterioration factors as referred to in Article 25(1)(c) of Regulation (EU) 2016/1628 and in Annex III to Delegated Regulation (EU) 2017/654; 1.7.1 Where the engine type or engine family is a member of an engine after-treatment system family, a justification of its membership together with the information requested in point 1.7 on the after-treatment system family may be supplied alternatively, upon agreement of the approval authority; 1.8. Where applicable, the manufacturer's declaration, and supporting test reports or data, of the infrequent regeneration adjustment factors referred to in Annex VI to Delegated Regulation (EU) 2017/654; 1.8.1 Where the engine type or engine family is a member of an engine-after-treatment system family, a justification of its membership together with the information requested in point 1.8 on the engine-after-treatment system family may be supplied alternatively, upon agreement of the approval authority; 1.9. Manufacturer's declaration and supporting data demonstrating that the emission control strategies fitted are designed in such a way as to prevent tampering to the extent possible, as referred to in Article 18(4) of Regulation (EU) 2016/1628 and in Annex X to this Regulation. 1.9.1. For engine types and engine families that use an Electronic Control Unit (ECU) as part of the emission control system the information shall include a description of the provisions taken to prevent tampering with and modification of the ECU including the facility for updating using a manufacturer approved programme or calibration; 1.9.2. For engine types and engine families that use mechanical devices as part of the emission control system the information shall include a description of the provisions taken to prevent tampering with and modification of the adjustable parameters of the emission control system. This shall include the tamper resistant components such as carburettor limiter caps or sealing of carburettor screws or special screws not adjustable by user; 1.9.3 In order to place engines from different engine families into the same tamper prevention engine family the manufacturer shall provide confirmation to the approval authority that the measures used to prevent tampering are similar. 1.10. A description of the physical connector required to receive the torque signal from the engine ECU during the in-service monitoring test according to Appendix 6 to Commission Delegated Regulation (EU) 2017/655 ( 1 ) on monitoring of in-service engines, in order to procure such a connector. 1.11. A description of overall quality-assurance management systems for conformity of production in accordance with Annex II to Delegated Regulation (EU) 2017/654; 1.12. A list of scheduled emission-related maintenance requirements and the period at which each should occur including any scheduled exchange of critical emission-related components; 1.13. The completed information document as set out in Part B of this Annex; 1.14. All relevant data, drawings, photographs and other information as required in the information document; 2. Applications submitted on paper shall be in triplicate. Any drawings shall be to an appropriate scale and in sufficient detail on size A4 sheets or in a folder of A4 format. Photographs (if any) shall show sufficient detail. PART B — INFORMATION DOCUMENT 1. General requirements 1.1. The information document shall have a reference number issued by the applicant; 1.2. Where the particulars appearing in the information document for an engine approval have changed, the manufacturer shall submit revised pages to the approval authority showing clearly the nature of the change(s) and the date of re-issue; 2. Content of information document 2.1. All information documents shall contain the following: 2.1.1. the general information set out in Part A of Appendix 3; 2.1.2. the information set out in Part B of Appendix 3, to identify the common design parameters of all engine types within an engine family or applicable to the engine type where not part of an engine family, intended for EU type-approval; 2.1.3. the information set out in Part C of Appendix 3 following the format of the matrix set out in point 2.1.3.1 to identify the items applicable to the parent engine or engine type and the engine types within the engine family, if applicable: 2.1.3.1. Engine type or engine family matrix with example data Item Number Item Description Test Installation Homologation Parent engine/engine type Engine types within the engine family (if applicable) type 2 type 3 type … type n 3.1 Engine Identification 3.1.1 Engine type designation A01 A02 A03 A04 A05 3.2 Performance Parameters 3.2.1 Declared rated speed(s) (rpm): X 2 200 2 200 2 000 1 800 1 800 3.10. Miscellaneous devices: Yes/No 3.10.1 Exhaust gas recirculation (EGR) 3.10.1.1. Characteristics (cooled/uncooled, high pressure/low pressure, etc.): X … … … … … … 2.1.3.2. An (X) in the corresponding column of the table identifies the purpose(s) for which each item is required for: conduct of type approval test (Test), installation of the engine in the non-road mobile machinery (Installation) and control of homologation (Homologation). 2.1.3.3. In the case of constant speed engines with multiple rated speeds an additional set column(s) of data for each speed shall be recorded in section 3.2 (Performance Parameters). 2.1.3.4. In the case of category IWP intended to be used for both variable speed and constant-speed operation an additional column(s) of data for each operation shall be recorded in section 3.2 (Performance Parameters). 3. Explanatory notes on creation of information document: 3.1. Upon agreement of the approval authority, the information in point 2.1.2 and 2.1.3 may be presented in an alternative format; 3.2. Each engine type or the parent engine in the matrix set out in point 2.1.3.1 shall be identified in accordance with the engine family designation and engine type designation set out in section 4. 3.3. Only those sections or sub-sections of Parts B and C of Appendix 3 relevant for the particular engine family, engine types within the engine family or engine type shall be listed; in any case, the list shall adhere to the proposed numbering system, 3.4. Where several options separated by forward slash are given for an entry, the unused options shall be struck out, or only the used option(s) shall be shown; 3.5. When the same value for or description of a certain engine characteristic applies for several or all members of an engine family the corresponding cells may be merged. 3.6. Where a picture, diagram or detailed information is required, a reference to an appendix may be given; 3.7. Where a ‘type’ of a component is requested, the information supplied shall uniquely identify the component; this may be a list of characteristic, a manufacturers' name and part or drawing number, a drawing, or a combination of the aforementioned or other methods that achieves the same result. 4. Engine type designation and engine family designation The manufacturer shall allocate to each engine type and engine family a unique alphanumeric code. 4.1. In the case of an engine type, the code is named engine type designation and shall clearly and unequivocally identify those engines presenting a unique combination of technical features for those items set out in Part C of Appendix 3 applicable to the engine type. 4.2. In the case of engine types within an engine family, the whole code is named Family-Type or ‘ FT ’, and is composed of two sections: the first section is named engine family designation and identifies the engine family; the second section is the engine type designation of each particular engine type within the engine family; The engine family designation shall clearly and unequivocally identify those engines presenting a unique combination of technical features for those items set out in Parts B and C of Appendix 3 applicable to the particular engine family. The FT shall clearly and unequivocally identify those engines presenting a unique combination of technical features for those items set out in Part C of Appendix 3 applicable to the engine type within the engine family. 4.2.1. The manufacturer may use the same engine family designation to identify the same engine family under two or more engine categories. 4.2.2. The manufacturer shall not use the same engine family designation to identify more than one engine family under the same engine category. 4.2.3. Display of the FT In the FT, a space shall be left between the engine family designation and the engine type designation, as shown in the example below: ‘159AF[space]0054’ 4.3. Number of characters The number of characters shall not exceed the following: (a) 15 for the engine family designation; (b) 25 for the engine type designation; (c) 40 for the FT. 4.4. Characters allowed The engine type designation and engine family designation shall be made up of Roman letters and/or Arabic numerals; 4.4.1. The use of brackets and hyphens is permitted provided they do not replace a letter or a numeral. 4.4.2. The use of variable characters is permitted; variable characters shall be denoted by a ‘#’, where the variable character is unknown at the time of notification; 4.4.2.1. The reasons for using such variable characters shall be explained to the technical service and approval authority. ( 1 ) Commission Delegated Regulation (EU) 2017/655 of 19 December 2016 supplementing Regulation (EU) 2016/1628 of the European Parliament and of the Council with regard to monitoring of gaseous pollutant emissions from in-service internal combustion engines installed in non-road mobile machinery (see page 334 of this Official Journal).