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HJ 1014-2020 (HJ1014-2020) PDF English
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HJ 1014-2020: PDF in English

HJ 1014-2020
ENVIRONMENTAL PROTECTION STANDARD
OF THE PEOPLE’S REPUBLIC OF CHINA
Emissions control technical requirements of non-road diesel
mobile machinery
ISSUED ON: DECEMBER 28, 2020
IMPLEMENTED ON: DECEMBER 28, 2020
Issued by: Ministry of Ecological Environment
Table of Contents
Foreword ... 3 
1 Scope ... 5 
2 Normative references ... 6 
3 Terms and definitions... 7 
4 Pollution control requirements ... 14 
5 Technical requirements and tests ... 16 
6 Installation on the machine ... 24 
7 Emission compliance requirements and inspection of newly produced machinery
(diesel engine) ... 25 
8 In-use compliance requirements and inspections ... 27 
9 Environmental protection information label for machinery ... 29 
10 Family ... 30 
Appendix A (Normative) Type inspection materials ... 32 
Appendix B (Normative) Bench test procedures ... 46 
Appendix C (Normative) Requirements for correct operation of NOX control measures
... 112 
Appendix D (Normative) Requirements for correct operation of particulate control
measures ... 140 
Appendix E (Normative) On-board testing procedures and requirements ... 150 
Appendix F (Normative) Requirements for production consistency assurance and
inspection ... 168 
Appendix G (Normative) Technical requirements for in-use compliance ... 171 
Appendix H (Normative) Technical requirements for on-board terminals ... 178 
Appendix I (Normative) Machinery's environmental information label ... 190 
Appendix J (Normative) Technical requirements for confirmatory inspection ... 193 
Appendix K (Normative) Machinery's environmental protection code ... 202 
Emissions control technical requirements of non-road diesel
mobile machinery
1 Scope
This standard specifies the technical requirements for pollutant emission control of the
stage IV non-road diesel mobile machinery (hereinafter referred to as the machinery),
the diesel engine it is equipped with, as well as the second diesel engine installed in the
vehicle for carrying people (cargo) on the road.
This standard applies to the type inspection, production consistency inspection,
emission compliance inspection, in-use compliance inspection and durability
requirements, for the following (including but not limited to) machinery and diesel
engines installed at non-constant speed, such as:
- Construction machinery (including excavation machinery, shoveling machinery,
hoisting machinery, forklift trucks, compaction machinery, road construction and
maintenance machinery, concrete machinery, excavation machinery, piling
machinery, aerial work machinery, rock drilling machinery, etc.);
- Agricultural machinery (including tractors, combine harvesters, etc.);
- Forestry machinery;
- Airport ground handling equipment;
- Material handling machinery;
- Snow plow equipment;
- Industrial drilling equipment.
This standard applies to the type inspection, production consistency inspection,
emission compliance inspection, in-use compliance inspection, durability requirements,
for the following (including but not limited to) machinery and diesel engines installed
at constant speed, such as:
- Air compressor;
- Generator sets;
- Fishing machinery (aerators, pond excavators, etc.);
requirements of Table D.1 of GB 17691-2018, shall be used. The urea aqueous solution
(if applicable), that meets the requirements of GB 29518-2013, shall be used.
4.1.1.5 Diesel engine's labels shall be clear and easy to view; it may also be in the form
of a two-dimensional code.
4.1.1.6 When the diesel engine is on the bench, AND the measured maximum net power
and the rated net power are not in the same power range, meanwhile the requirements
of power deviation in B.2 are not met, it shall implement the emission limits and
technical requirements of the more stringent power range.
4.1.2 Type inspection of family (source machine)
4.1.2.1 During the diesel engine's type inspection, a source engine, that can represent
the diesel engine type or family, is to be selected. If the selected model cannot fully
represent the model or family, which is described in Appendix A of GB 20891-2014, an
additional representative diesel engine shall be selected for the test.
4.1.2.2 The source machine (machinery) shall have the worst emission level in this
family. The type inspection of the source machine (machinery) can be extended to all
members of the family; other members of the family need not to be subject to type
inspection.
4.1.2.3 The inspection agency shall seal up the ECU of the diesel engine during the type
inspection, for future reference. After the diesel engine or machinery has been shut
down for 5 years, it may not be retained.
4.1.2.4 The competent department of ecological environment may conduct
confirmation inspection, according to Appendix J.
4.2 Change of product type
For any modification of diesel engine models or machinery, that has been type-tested,
it shall not have adverse effects on pollutant emissions, AND still meet the requirements
of this standard. If the changed items are public information, machinery
manufacturers/importers shall disclose the information on the change of the product. If
the changed items may affect the emission performance, the corresponding type
inspection shall be carried out, AND the information of the product changes and type
inspection results shall be disclosed.
4.3 Information disclosure
4.3.1 For the machinery within the scope of application of this standard, the machinery
manufacturing/importing enterprises shall make information disclosure, in accordance
with the requirements of Appendix A of GB 20891-2014, as well as Appendix A of this
standard. Relevant content, which involves the secrets of diesel engine manufacturers,
may be disclosed by diesel engine enterprises, after technical processing.
4.3.2 Every machine must have an environmental protection information label fixed;
the environmental protection information label shall meet the requirements of Appendix
I.
4.3.3 Each machine must have a unique machinery environmental protection code; the
machinery environmental protection code shall meet the requirements of Appendix K.
4.4 Environmental production consistency and in-use compliance
4.4.1 Machinery and diesel engine manufacturers shall ensure the environmental
protection production consistency of mass-produced machinery and diesel engines;
provide relevant production consistency assurance materials, in accordance with the
requirements of Appendix F. Manufacturers shall, in accordance with the provisions of
this standard, ensure that the emissions of newly-produced machinery and diesel
engines meet the standards; prepare relevant materials for self-examination of
emissions from newly produced machinery and diesel engines, in accordance with the
requirements of Chapter 7. The competent authority of ecological environment may
carry out spot check, on the compliance of the newly produced machinery and diesel
engines.
4.4.2 Machinery and diesel engine manufacturers shall ensure the in-use compliance of
production machinery and diesel engines; prepare a relevant in-use compliance self-
inspection plan, according to the requirements of Appendix G. Manufacturers of
machinery and diesel engines shall ensure that the emissions of machinery in actual use
meet the standards, in accordance with the provisions of this standard; prepare a self-
inspection report on in-use compliance, according to the requirements of Chapter 8. The
competent authority of ecological environment may carry out spot check, on the in-use
compliance, according to the requirements of Chapter 8.
4.4.3 Machinery and three-wheeled vehicles, which are equipped with diesel engines
with rated net power of 37 kW and above, shall be inspected for compliance of newly
produced machinery and in-use compliance, in accordance with the requirements of
5.7.6 and GB 36886-2018. For machinery and three-wheeled vehicles, which are
equipped with diesel engines with a rated net power of less than 37 kW, they shall be
inspected for compliance of newly produced machinery and in-use compliance, in
accordance with the requirements of GB 36886-2018. For machinery with multiple
operating modes, inspection of compliance of newly produced machinery and in-use
compliance inspection shall be carried out, in various modes.
5 Technical requirements and tests
5.1 General requirements
5.1.1 Requirements for base emission control strategies
fuel consumption of the diesel engine, at the same time; record the measurement results.
5.3.3 When conducting the test, in accordance with the test procedures in Appendix B
of GB 20891-2014 and Appendix B of this standard, if any reactant is used, the
manufacturer shall ensure that the average NH3 emission of the diesel engine, in the
NRTC and NRSC cycles, does not exceed the limit requirements in Table 2 of the
Amendment sheet of GB 20891- 2014.
5.4 Non-standard cycle emission requirements
5.4.1 The requirements for non-standard cycle emissions apply to all diesel engines,
which have electronically controlled fuel systems, for machinery use.
5.4.2 The non-standard cyclic emission test requirements shall be carried out, after the
non-road steady cycle test conditions are completed, in accordance with the non-
standard cyclic emission requirements, which are specified in Appendix B.
5.4.3 At least 3 random load and rotational speed points shall be selected for testing, in
the emission area of non-standard cycle; the running sequence of the above test points
shall also be randomly determined. The test shall be carried out, according to the
requirements of the non-road steady cycle, BUT the specific emission of various
pollutants (excluding PN) shall be calculated separately, for each test point. The specific
emission of each test point shall not exceed twice the limit in Table 2 of the Amendment
sheet of GB 20891-2014.
5.5 Durability requirements
5.5.1 Durability requirements shall, in addition to meeting the requirements of
Appendix BD of GB 20891-2014, also meet the requirements of 5.5.2 ~ 5.5.4.
5.5.2 In the process of determining the deterioration factor or the deterioration
correction value, the rated net power and maximum net torque, at each test node, shall
meet the provisions of Appendix B.2.
5.5.3 One of the two test cycles, in B.3.8.1 and B.3.8.2 (only hot start cycle) of GB
20891-2014, can be used to determine the degradation coefficient or degradation
correction value, at each time node. Another test cycle required emissions testing, each
at the beginning and end of the durability test. The determined deterioration factor or
deterioration correction value is applicable to two cycles; the pollutant discharge, at
each node of the durability test, shall not exceed the limit specified in Table 2 of GB
20891-2014. A constant speed diesel engine requires only a non-road steady cycle.
5.5.4 Diesel engine manufacturers can choose the deterioration factor, which is
specified in Table 2, as the alternative durability deterioration factor. The specific
emission of each pollutant is multiplied by the deterioration factor, which is determined
in Table 2; the result shall not exceed the limit specified in Table 2 of GB 20891-2014.
For models that have passed the type inspection, using the deterioration factor specified
6.2 The inlet pressure drop shall not exceed the pressure drop, which is specified in
Appendix A of GB 20891-2014, for diesel engines that have been type-tested;
6.3 The exhaust back pressure shall not exceed the back pressure, which is specified in
Appendix A of GB 20891-2014, for diesel engines that have been type-tested;
6.4 The power, which is absorbed by the auxiliary parts, as required for the operation
of the diesel engine, shall not exceed the absorbed power of the auxiliary parts, which
are specified in Appendix A of GB 20891-2014, for the diesel engine that has been type-
tested.
6.5 The characteristics of the exhaust aftertreatment system shall be consistent with
those in the diesel engine's type inspection in Appendix A of GB 20891-2014.
6.6 For a diesel engine which is type-tested as an independent technical assembly, when
it is installed on the machine, the emission control diagnostic system shall meet the
requirements of the diesel engine manufacturer.
7 Emission compliance requirements and inspection of newly
produced machinery (diesel engine)
7.1 General requirements
7.1.1 Machinery manufacturers shall take measures, to ensure production consistency,
in accordance with the requirements of Appendix F.
7.1.2 The production consistency check shall be carried out, on the basis of Appendix
A, as well as the information disclosure materials in Appendix A of GB 20891-2014.
7.1.3 The machinery used for the test shall be randomly selected; the machinery
manufacturer shall not make any adjustments to the selected machinery (including the
update of the ECU software).
7.1.4 In principle, no running-in is required for the machine. If required by the
machinery manufacturer, the running-in can be carried out according to the running-in
specification; however, it shall not exceed 5 hours, AND the extracted machinery shall
not be adjusted in any way.
7.2 Self-inspection of compliance of newly produced machinery (diesel engine)
7.2.1 Machinery manufacturers shall formulate self-inspection procedures by
themselves; conduct self-inspection on emission compliance of newly produced
machinery by family, including self-inspection items, self-inspection methods,
sampling methods, sampling proportions, etc. The self-inspection plan and results are
made public.
7.2.2 The machinery emission's self-inspection shall be tested, in accordance with the
provisions of Appendix E of this standard and GB 36886-2018.
7.2.3 The machinery manufacturer shall make detailed records and archives of the
machinery self-inspection test. The record files shall be kept for at least 5 years. The
competent department of ecological environment may check the test records, as needed.
7.2.4 Machinery manufacturers are not required to conduct self-inspection for each
machinery family, BUT the self-inspected machinery family shall be sufficiently
representative, to ensure that other families can also meet the standards. When the
information is disclosed, the manufacturer shall conduct a reasonable engineering
evaluation of the emission performance of each family, under reasonable operating and
applicable environmental conditions; at the same time, declare that other machinery
families also meet the requirements of 5.7.6 of this standard.
7.2.5 If it is difficult to carry out self-inspection of the machinery, before leaving the
factory, it shall explain the reasons. It may carry out a self-inspection of the compliance
of the newly produced machinery, in the period of use of not exceeding 500 h; explain
to the competent department of ecological environment.
7.2.6 Newly produced diesel engines shall be subject to the self-inspection of emission
compliance, according to the sampling and methods specified in 6.2 of GB 20891-2014,
based on the test items specified in 5.2 of this standard.
7.3 Supervision and spot check on compliance of newly produced machinery
(diesel engine)
7.3.1 Inspection of basic emission configuration
Check the basic configuration of emission. If the inspected key components of
machinery emission control or emission control strategy are inconsistent with the
content of the information disclosure, it will be deemed that the machinery inspection
of this model has failed.
7.3.2 Check the enterprise's self-inspection
Check the self-inspection plan, self-inspection process, self-inspection records, self-
inspection results of machinery manufacturers.
7.3.3 Functional check of emission control strategy
Randomly take 3 machines, from the mass-produced machines. If more than 2 machines
meet the requirements of Appendix C (if applicable) and Appendix D (if applicable), it
will be judged as qualified. If more than one diagnostic system cannot be effectively
accessed, OR it is found that there is no diagnostic interface, it will be judged as
unqualified.
In-use compliance shall be checked, under normal use conditions, within the effective
life period, according to the provisions of Appendix G of this standard. The in-use
compliance inspection includes the self-inspection of the machinery and diesel engine
manufacturers, which are specified in 8.2.1, as well as the supervisory spot-check of
the competent department of ecological environment, which is specified in 8.2.2.
8.2.1 Self-inspection of manufacturer
8.2.1.1 The diesel engine manufacturer shall formulate a self-inspection plan for in-use
compliance, within 18 months after the first sale of the machinery, which is installed
with the diesel engine; disclose the information of the self-inspection plan and self-
inspection results. For the self-inspection of the in-use compliance of diesel engine
manufacturers, it shall be carried out on the basis of diesel engine family. It is not
necessary to conduct self-inspection for each family, BUT the family of self-inspection
shall be sufficiently representative, to ensure that other families can also meet the
standards.
8.2.1.2 The machinery manufacturer shall formulate an in-use compliance self-
inspection plan, at the same time. The self-inspection plan shall be based on the
machinery family. Self-inspection may not be carried out for each family, BUT the self-
inspection shall be sufficiently representative, to ensure that other families also meet
the standard. When the information is disclosed, the manufacturer shall conduct a
reasonable engineering evaluation of the emission performance of each family, under
reasonable operating and applicable environmental conditions; at the same time, declare
that other machinery family also meet the requirements of 5.7.6 of this standard.
8.2.1.3 The in-use compliance self-inspection plan includes the test schedule and
sampling plan, etc. It is prepared in accordance with the requirements of Appendix A of
GB 20891-2014 and Appendix A of this standard, for supervision and inspection by the
competent ecological environment department.
8.2.1.4 Diesel engine manufacturers shall conduct self-inspection of in-use compliance,
according to the self-inspection plan. It shall try to select machinery from different
machinery manufacturers for testing. The in-use compliance's self-inspection report of
diesel engine family shall be disclosed, AND can be used as a part of the in-use
compliance self-inspection report of the machinery manufacturer.
8.2.1.5 Machinery manufacturers shall conduct self-inspection of in-use compliance,
according to the self-inspection plan; information shall be disclosed on the in-use
compliance self-inspection report of machinery.
8.2.2 Supervisory spot-check by the competent department of ecological environment
8.2.2.1 The competent authority may supervise and spot-check the in-use compliance
of a certain model (diesel engine family), according to the in-use compliance test
procedures, which are specified in Appendix G; record the purchase, maintenance,
manufacturer's participation and other information.
8.2.2.2 The competent authority may carry out functional inspection of the on-board
terminal.
8.2.2.3 If the competent authority confirms that a certain model (diesel engine family)
does not meet the requirements of this standard, the manufacturer shall take corrective
measures, in accordance with the provisions of 8.2.3 of this standard and Appendix G.5.
8.2.2.4 The competent department of ecological environment randomly selects 3
machines. If the test results of 2 or more machines meet the requirements of 5.7.6 or
GB 36886-2018 for category II limit, it will be judged as qualified; otherwise it will be
unqualified.
8.2.3 Corrective actions for non-compliances
8.2.3.1 The manufacturer shall submit a corrective measure plan as required AND
implement it as planned.
8.2.3.2 The rectification measures shall be applicable to all diesel engines or in-use
machinery, which belong to the same machinery (family); extended to the diesel engine
models (family) and machinery (family) of the manufacturer, that may be affected by
the same defect.
8.2.3.3 The manufacturer shall keep the environmental protection recall, maintenance
or modification records of each machine or diesel engine, for at least 10 years.
9 Environmental protection information label for machinery
9.1 Machinery enterprises shall install a machinery environmental protection
information label, for each machine, during production or before import. The label shall
meet the following requirements:
a) The label cannot be removed, without destroying the label or damaging the
machinery appearance;
b) The label remains legible throughout the life of the machine;
c) The parts, that fix the machinery environmental protection information label, shall
generally not need to be replaced, during the whole life of the machinery;
d) The location of the label shall be clearly visible.
9.2 The machinery environmental protection information label shall also meet other
requirements of Appendix I.
9.3 Three-wheeled vehicles shall implement the regulations on the on-vehicle list of
Appendix A
(Normative)
Type inspection materials
A.1 Overview
Machinery shall provide the following information, which shall be disclosed by the
machinery manufacturer or importer.
A.2 Basic information
A.2.1 Machinery model:
A.2.2 Machinery name:
A.2.3 Environmental protection code of machinery or vehicle identification number
(VIN):
A.2.4 Production date:
A.2.5 Trademarks:
A.2.6 Machinery family:
A.2.7 Machinery classification:
A.2.8 Emission stage:
A.2.9 Identification method and location of machinery:
A.2.10 Location of machinery's environmental protection information label:
A.2.11 Marking location for environmental protection code of machinery or VIN code:
A.2.12 Location of diagnostic interface:
A.2.13 Name of machinery manufacturer:
A.2.14 Address of machinery manufacturer:
A.2.15 The name and address of the legal person of the machinery manufacturer:
A.2.16 Name of machinery importer (if applicable):
A.2.17 Address of machinery importer (if applicable):
A.2.18 Name and address of the legal person of the machinery importer (if applicable):
A.3 Attached documents
A.3.1 Basic characteristics of key components or systems, which are related to the
emission of pollutants in machinery (if applicable)
A.3.2 Information on emission control strategies
A.3.2.1 The manufacturer or importer of machinery or diesel engines shall prepare the
detailed descriptions on the technical points of the machinery that affect emissions,
diesel engine's emission control strategies, anti-tampering measures, methods of diesel
engine systems to directly or indirectly control emissions-related variables, the driver
alarm system and the drivability limiting system required in Appendix C and Appendix
D, into a file package, which can include two parts:
a) Official file: It shall be disclosed to the competent department of ecological
environment; it can be provided to relevant parties as needed.
b) Extended file: It shall be kept confidential. The extended documents shall be
disclosed to the competent department of ecological environment, OR kept by the
machinery manufacturer; however, it shall be ensured that these documents can
be checked at any time, when the validity of the type inspection is confirmed.
A.3.2.2 The file shall describe the functional operation of the drivability limiting system,
which is required by Appendix C and Appendix D, including parameters required to
retrieve system-related information. This material shall be disclosed to the competent
department of ecological environment.
A.3.2.3 The extended file package shall include all operational information, on the
auxiliary emission control strategy (AECS) and base emission control strategy (BECS),
including descriptions of AECS revision parameters, AECS operating boundary
conditions, possible activation of AECS and BECS instructions, etc. The extended file
shall also include the descriptions, on the control logic of the fuel system, the timing
strategy, all switching points during all working conditions. It shall also include a
complete description of the drivability limiting system, which is required in Appendix
C and Appendix D, including associated monitoring strategies.
A.3.2.4 The self-inspection plan for the compliance of newly produced machinery,
which is formulated in accordance with 7.2.1.
A.3.2.5 The self-inspection plan for in-use compliance, which is formulated in
accordance with 8.2.1.1.
A.3.3 For the diesel engine model or family, that is to be type-tested as an independent
technical assembly, the following materials shall also be submitted:
......
Source: Above contents are excerpted from the PDF -- translated/reviewed by: www.chinesestandard.net / Wayne Zheng et al.