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Directive 97/68/EC of the European Parliament and of the Council of 16 December 1997 on the approximation of the laws of the Member States relating to measures against the emission of gaseous and particulate pollutants from internal combustion engines to be installed in non-road mobile machinery

ELI: http://data.europa.eu/eli/dir/1997/68/2013-01-10
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1997L0068 — EN — 10.01.2013 — 009.001


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DIRECTIVE 97/68/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

of 16 December 1997

on the approximation of the laws of the Member States relating to measures against the emission of gaseous and particulate pollutants from internal combustion engines to be installed in non-road mobile machinery

(OJ L 059 27.2.1998, p. 1)

Amended by:

 

 

Official Journal

  No

page

date

►M1

COMMISSION DIRECTIVE 2001/63/EC of 17 August 2001

  L 227

41

23.8.2001

►M2

DIRECTIVE 2002/88/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 9 December 2002

  L 35

28

11.2.2003

►M3

DIRECTIVE 2004/26/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL Text with EEA relevance of 21 April 2004

  L 146

1

30.4.2004

►M4

COUNCIL DIRECTIVE 2006/105/EC of 20 November 2006

  L 363

368

20.12.2006

►M5

REGULATION (EC) No 596/2009 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 18 June 2009

  L 188

14

18.7.2009

►M6

COMMISSION DIRECTIVE 2010/26/EU Text with EEA relevance of 31 March 2010

  L 86

29

1.4.2010

►M7

DIRECTIVE 2011/88/EU OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL Text with EEA relevance of 16 November 2011

  L 305

1

23.11.2011

►M8

COMMISSION DIRECTIVE 2012/46/EU Text with EEA relevance of 6 December 2012

  L 353

80

21.12.2012


Amended by:

 A1

ACT concerning the conditions of accession of the Czech Republic, the Republic of Estonia, the Republic of Cyprus, the Republic of Latvia, the Republic of Lithuania, the Republic of Hungary, the Republic of Malta, the Republic of Poland, the Republic of Slovenia and the Slovak Republic and the adjustments to the Treaties on which the European Union is founded

  L 236

33

23.9.2003


Corrected by:

►C1

Corrigendum, OJ L 225, 25.6.2004, p.  3 (2004/26/EC)




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DIRECTIVE 97/68/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

of 16 December 1997

on the approximation of the laws of the Member States relating to measures against the emission of gaseous and particulate pollutants from internal combustion engines to be installed in non-road mobile machinery



THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 100a thereof,

Having regard to the proposal from the Commission ( 1 ),

Having regard to the opinion of the Economic and Social Committee ( 2 ),

Acting in accordance with the procedure laid down in Article 189b of the Treaty ( 3 ), in the light of the joint text approved by the Conciliation Committee on 11 November 1997,

(1) Whereas the Community programme of policy and action in relation to the environment and sustainable development ( 4 ) recognizes as a fundamental principle that all persons should be effectively protected against recognized health risks from air pollution and that this necessitates in particular the control of emissions of nitrogen dioxide (NO2), particulates (PT) — black smoke, and other pollutants such as carbon monoxide (CO); whereas with regard to the prevention of tropospheric ozone (O3) formation and its associated health and environmental impact, the emissions of the precursors nitrogenoxides (NOx) and hydrocarbons (HC) must be reduced; whereas the environmental damage caused by acidification will also require reductions inter alia on the emission of NOx and HC;

(2)

Whereas the Community signed the UN/ECE protocol on volatile organic compound (VOC) reduction in April 1992 and adhered to the protocol on NOx reduction in December 1993, both of which are related to the 1979 Convention on Long-range Transboundary Air Pollution which was approved in July 1982;

(3)

Whereas the objective of reducing the level of pollutant emissions from non-road mobile machinery engines and the establishment and operation of the internal market for engines and machinery cannot be sufficiently achieved by individual Member States, and can therefore be better achieved by the approximation of the laws of the Member States relating to measures against air pollution by engines to be installed in non-road mobile machinery;

(4)

Whereas recent investigations undertaken by the Commission show that the emissions from non-road mobile machinery engines constitute a significant proportion of the total man-made emissions of certain noxious atmospheric pollutants; whereas the category of compression ignition engines which will be regulated by this Directive is responsible for a considerable share of air pollution by NOx and PT, in particular when it is compared with that coming from the road transport sector;

(5)

Whereas emissions from non-road mobile machinery operating on the ground equipped with compression ignition engines, and in particular the emissions of NOx and PT, constitute a primary cause of concern in this area; whereas these sources should be regulated in the first instance; whereas, however, it will also be appropriate subsequently to extend the scope of this Directive to include the control of emissions from other non-road mobile machinery engines, including transportable generating sets, based on appropriate test cycles, and in particular from gasoline engines; whereas a considerable reduction of the CO and HC emissions may be achievable with the envisaged enlargement of the scope of this Directive to include gasoline engines;

(6)

Whereas emissions control legislation on agricultural and forestry tractor engines, ensuring a level of environmental protection equivalent to the level established pursuant to this Directive, with standards and requirements fully consistent with it, should be introduced as soon as possible;

(7)

Whereas, in respect of certification procedures, that type-approval approach has been taken which, as a European method, has stood the test of time for approvals of road vehicles and their components; whereas, as a new element, the approval of a parent engine on behalf of a group of engines (engine family) built using similar components according to similar construction principles, has been introduced;

(8)

Whereas the engines produced in compliance with the requirements of this Directive will have to be accordingly marked and notified to the approval authorities; whereas, in order to keep administrative burdens low, no direct control by the authority of the engine production dates relevant for strengthened requirements has been foreseen; whereas this freedom for the manufacturers requires them to facilitate the preparation of spot checks by the authority and to make available relevant production planning information at regular intervals; whereas absolute compliance with notification made in accordance with this procedure is not obligatory but a high degree of compliance would facilitate the approval authorities' planning of assessments and contribute to a relationship of increased trust between manufacturers and type-approval authorities;

(9)

Whereas approvals granted in accordance with Directive 88/77/EEC ( 5 ) and with UN/ECE Regulation 49 Series 02, as listed in Annex IV, Appendix II to Directive 92/53/EEC ( 6 ) are recognized as equivalent to those required by this Directive in its first stage;

(10)

Whereas engines which are in compliance with the requirements of this Directive and covered by its scope must be permitted to be placed on the market in the Member States; whereas these engines must not be subject to any other national emission requirement; whereas the Member State granting approvals will take the necessary control measures;

(11)

Whereas, in laying down the new test procedures and limit values, it is necessary to take into account the specific usage patterns of these types of engines;

(12)

Whereas it is appropriate to introduce these new standards according to the proven principle of a two-stage approach;

(13)

Whereas, for engines with higher power output, the achievement of substantial emission reduction seems to be easier, as existing technology that has been developed for engines of road vehicles can be used; whereas, taking this into account a staggered implementation of the requirements has been foreseen, beginning with the highest of three powerbands for stage I; whereas this principle has been retained for stage II with the exception of a new fourth powerband not covered by stage I;

(14)

Whereas for this sector of non-road mobile machinery applications, which is now regulated and is the most important one besides agricultural tractors if compared with emissions coming from road transport, a considerable reduction of emissions can be expected by the implementation of this Directive; whereas due to, in general, very good performance of diesel engines with respect to CO and HC emissions, the margin for improvement in respect of the total amount emitted is very small;

(15)

Whereas, in order to make provision for the case of exceptional technical or economic circumstances, procedures have been integrated which could exempt manufacturers from the obligations arising from this Directive;

(16)

Whereas, in order to ensure ‘conformity of production’ (COP) once an approval is granted for an engine, manufacturers will be required to provide corresponding arrangements; whereas provisions have been made for the case of discovered non-conformity which lay down information procedures, corrective actions and a cooperation procedure which will allow the settling of possible differences of opinion between Member States in respect of conformity of certified engines;

(17)

Whereas the entitlement of Member States to lay down requirements ensuring that workers are protected when using non-road mobile machinery shall not be affected by this Directive;

(18)

Whereas the technical provisions in certain Annexes to this Directive should be supplemented and, as necessary, adapted to technical progress according to a committee procedure;

(19)

Whereas provisions should be laid down to ensure testing of the engines in compliance with the rules of good laboratory practice;

(20)

Whereas there is a need to promote global trade in this sector by harmonizing, as far as possible, emission standards in the Community with those applied or planned in third countries;

(21)

Whereas it is therefore necessary to envisage the possibility of reconsidering the situation on the basis of the availability and the economic feasibility of new technologies and taking account of progress achieved in the implementation of the second stage;

(22)

Whereas an agreement on a modus vivendi between the European Parliament, the Council and the Commission concerning the implementing measures for acts adopted in accordance with the procedure laid down in Article 189b of the Treaty was reached on 20 December 1994 ( 7 ),

HAVE ADOPTED THIS DIRECTIVE:



Article 1

Objectives

This Directive aims at approximating the laws of the Member States relating to emission standards and type-approval procedures for engines to be installed in non-road mobile machinery. It will contribute to the smooth functioning of the internal market, while protecting human health and the environment.

Article 2

Definitions

For the purposes of this Directive:

  non-road mobile machinery shall mean any mobile machine, transportable industrial equipment or vehicle with or without body work, not intended for the use of passenger- or goods-transport on the road, in which an internal combustion engine as specified in Annex I section 1 is installed,

  type-approval shall mean the procedure whereby a Member State certifies that an internal combustion engine type or engine family with regard to the level of emission of gaseous and particulate pollutants by the engine(s), satisfies the relevant technical requirements of this Directive,

  engine type shall mean a category of engines which do not differ in such essential engine characteristics as specified in Annex II, Appendix 1,

  engine family shall mean a manufacturer's grouping of engines which, through their design, are expected to have similar exhaust emission characteristics and which comply with the requirements of this Directive,

  parent engine shall mean an engine selected from an engine family in such a way that it complies with the requirements set out in sections 6 and 7 of Annex I,

  engine power output shall mean net power as specified in section 2.4 of Annex I,

  engine production date shall mean the date when the engine passes the final check after it has left the production line. At this stage the engine is ready to be delivered or to be put on stock,

▼M2

  placing on the market shall mean the action of making an engine available for the first time on the market, for payment or free of charge, with a view to distribution and/or use in the Community,

▼B

  manufacturer shall mean the person or body who is responsible to the approval authority for all aspects of the type-approval process and for ensuring conformity of production. It is not essential that the person or body is directly involved in all stages of the construction of the engine,

  approval authority shall mean a Member State's competent authority or authorities responsible for all aspects of type-approval of an engine or of an engine family, for issuing and withdrawing approval certificates, for serving as the contact point with the approval authorities of the other Member States, and for verifying the manufacturer's conformity of production arrangements,

  technical service shall mean the organization(s) or body(ies) that has(have) been appointed as a testing laboratory to carry out tests or inspections on behalf of the approval authority of a Member State. This function may also be carried out by the approval authority itself,

  information document shall mean the document set out in Annex II that prescribes the information to be supplied by an applicant,

  information folder shall mean the total folder or file of data, drawings, photographs, etc. supplied by the applicant to the technical service or the approval authority as prescribed in the information document,

  information package shall mean the information folder plus any test reports or other documents that the technical service or the approval authority have added to the information folder in the course of carrying out their functions,

  index to the information package shall mean the document in which the contents of the information package, suitably numbered or otherwise marked to clearly identify all pages, are listed,

▼M2

  replacement engines shall mean a newly built engine to replace an engine in a machine, and which has been supplied for this purpose only,

  hand-held engine shall mean an engine that meets at least one of the following requirements:

 

(a) the engine must be used in a piece of equipment that is carried by the operator throughout the performance of its intended function(s);

(b) the engine must be used in a piece of equipment that must operate multipositionally, such as upside down or sideways, to complete its intended function(s);

(c) the engine must be used in a piece of equipment for which the combined engine and equipment dry weight is under 20 kilograms and at least one of the following attributes is also present:

(i) the operator must alternatively provide support or carry the equipment throughout the performance of its intended function(s);

(ii) the operator must provide support or attitudinal control for the equipment throughout the performance of its intended function(s);

(iii) the engine must be used in a generator or a pump,

  non-hand-held engine shall mean an engine which does not fall under the definition of a hand-held engine,

  professional use multipositional hand-held engine shall mean a hand-held engine which meets the requirements of both (a) and (b) of the hand-held engine definition and in relation to which the engine manufacturer has satisfied an approval authority that a Category 3 Emissions Durability Period (according to section 2.1 of Appendix 4 to Annex IV) would be applicable to the engine,

  emission durability period shall mean the number of hours indicated in Annex IV, Appendix 4, used to determine the deterioration factors,

  small volume engine family shall mean a spark-ignition (SI) engine family with a total yearly production of fewer than 5 000 units,

  small volume engine manufacturer of SI engines shall mean a manufacturer with a total yearly production of fewer than 25 000 units,

▼C1

  inland waterway vessel shall mean a vessel intended for use on inland waterways having a length of 20 metres or more and having a volume of 100 m3 or more according to the formula defined in Annex I, Section 2, point 2.8a, or tugs or pusher craft having been built to tow or to push or to move alongside vessels of 20 metres or more,

 This definition does not include:

 

 vessels intended for passenger transport carrying no more that 12 people in addition to the crew,

 recreational craft with a length of less than 24 metres (as defined in Article 1(2) of Directive 94/25/EC of the European Parliament and of the Council of 16 June 1994 on the approximation of the laws, regulations and administrative provisions of the Member States relating to recreational craft ( 8 ),

 service craft belonging to supervisory authorities,

 fire-service vessels,

 naval vessels,

 fishing vessels on the fishing vessels register of the Community,

 sea-going vessels, including sea-going tugs and pusher craft operating or based on tidal waters or temporarily on inland waterways, provided that they carry a valid navigation or safety certificate as defined in Annex I, Section 2, point 2.8b,

  original equipment manufacturer (OEM) shall mean a manufacturer of a type of non-road mobile machine,

  flexibility scheme shall mean the procedure allowing an engine manufacturer to place on the market, during the period between two successive stages of limit values, a limited number of engines, to be installed in non-road mobile machinery, that only comply with the previous stage of emission limit values.

▼B

Article 3

Application for type-approval

1.  Application for engine or engine family type-approval shall be submitted by the manufacturer to the approval authority of a Member State. An application shall be accompanied by an information folder, the contents of which are given in the information document in Annex II. An engine conforming to the engine type characteristics described in Annex II, Appendix 1, shall be submitted to the technical service responsible for conducting the approval tests.

2.  In the case of an application for type-approval of an engine family, if the approval authority determines that, with regard to the selected parent engine, the submitted application does not fully represent the engine family described in Annex II, Appendix 2, an alternative and, if necessary, an additional parent engine which is determined by the approval authority shall be provided for approval according to paragraph 1.

3.  No application in respect of one engine type or engine family may be submitted to more than one Member State. A separate application shall be submitted for each engine type or engine family to be approved.

Article 4

Type-approval procedure

1.  The Member State receiving the application shall grant type-approval to all engine types or engine families which conform to the particulars in the information folder and which meet the requirements of this Directive.

2.  The Member State shall complete all applicable sections of the type-approval certificate, the model being given in ►M2  Annex VII ◄ , for each engine type or engine family which it approves and shall compile or verify the contents of the index to the information package. Type-approval certificates shall be numbered in accordance with the method described in ►M2  Annex VIII ◄ . The completed type-approval certificate and its attachments shall be delivered to the applicant. ►M5  The Commission shall amend Annex VIII. Those measures, designed to amend non-essential elements of this Directive, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 15(2). ◄

3.  Where the engine to be approved fulfils its function or offers a specific feature only in conjunction with other parts of the non-road mobile machinery, and for this reason compliance with one or more requirements can be verified only when the engine to be approved operates in conjunction with other machinery parts, whether real or simulated, the scope of the type-approval of the engine(s) must be restricted accordingly. The type-approval certificate for an engine type or engine family shall then include any restrictions on its use and shall indicate any conditions for fitting it.

4.  The approval authority of each Member State shall:

(a) send monthly to the approval authorities of the other Member States a list (containing the particulars shown in ►M2  Annex IX ◄ ) of the engine and engine family type-approvals it has granted, refused to grant or withdrawn during that month;

(b) on receiving a request from the approval authority of another Member State, send forthwith:

 a copy of the engine or engine family type-approval certificate with/without information package for each engine type or engine family which it has approved or refused to approve or withdrawn, and/or

 the list of engines produced according to type-approvals granted, as described in Article 6(3), containing the particulars shown in ►M2  Annex X ◄ , and/or

 a copy of the declaration described in Article 6(4).

5.  The approval authority of each Member State shall yearly, or in addition on receiving a corresponding application, send the Commission a copy of the data sheet as shown in ►M2  Annex XI ◄ related to the engines approved since the last notification was made.

▼M7

6.  Compression ignition engines for use other than in the propulsion of railcars and inland waterway vessels may be placed on the market under a flexibility scheme in accordance with the procedure referred to in Annex XIII in addition to paragraphs 1 to 5.

▼B

Article 5

Amendments to approvals

1.  The Member State which has granted type-approval must take the necessary measures to ensure that it is informed of any change in the particulars appearing in the information package.

2.  The application for the amendment or extension of a type-approval shall be submitted exclusively to the approval authority of the Member State which granted the original type-approval.

3.  If particulars appearing in the information package have changed, the approval authority of the Member State in question shall:

 issue revised page(s) of the information package as necessary, marking each revised page to show clearly the nature of the change and the date of re-issue. Wherever revised pages are issued the index to the information package (which is attached to the type-approval certificate) shall also be amended to show the latest dates of revised pages, and

 issue a revised type-approval certificate (denoted by an extension number) if any information on it (excluding its attachments) has changed or if the standards of this Directive have changed since the date currently on the approval. The revised certificate shall show clearly the reason for revision and the date of re-issue.

If the approval authority of the Member State in question finds that an amendment to an information package warrants fresh tests or checks, it shall inform the manufacturer thereof and issue the documents mentioned above only after the conduct of successful fresh tests or checks.

Article 6

Conformity

1.  The manufacturer shall affix to each unit manufactured in conformity with the approved type the markings as defined in section 3 of Annex I, including the type-approval number.

2.  Where the type-approval certificate, in accordance with Article 4(3), includes restrictions on use, the manufacturer shall deliver with each unit manufactured, detailed information on these restrictions and shall indicate any conditions for fitting it. Where a series of engine types is delivered to one single manufacturer of machinery, it is sufficient that he will be provided with only one such information document, at the latest on the delivery date of the first engine, which additionally lists the relevant engine identification numbers.

3.  The manufacturer shall send on demand to the approval authority which granted the type-approval, within 45 days after the end of each calendar year, and without delay after each application date when the requirements of this Directive change, and immediately following each additional date the authority may stipulate, a list which contains the range of identification numbers for each engine type produced in accordance with the requirements of this Directive since the last reporting was made, or since the requirements of this Directive were first applicable. Where not clarified by the engine coding system, this list must specify correlations of the identification numbers to the corresponding engine types or engine families and to the type-approval numbers. Additionally, this list must contain particular information if the manufacturer ceases to produce an approved engine type or engine family. Where this list is not required to be regularly sent to the approval authority, the manufacturer must maintain these records for a minimum period of 20 years.

4.  The manufacturer shall send to the approval authority which granted the type-approval, within 45 days after the end of each calendar year and at each application date referred to in Article 9, a declaration specifying the engine types and engine families together with the relevant engine identification codes for those engines he intends to produce from this date on.

▼M3

5.  Compression ignition engines placed on the market under a ‘flexible scheme’ shall be labelled in accordance with Annex XIII.

▼B

Article 7

Acceptance of equivalent approvals

1.  The European Parliament and the Council, acting on a proposal from the Commission, may acknowledge the equivalence between the conditions and provisions for type-approval of engines established by this Directive and the procedures established by international regulations or regulations of third countries, in the framework of multilateral or bilateral agreements between the Community and third countries.

▼M2

2.  Member States shall accept type-approvals and, where applicable, the pertaining approval marks listed in Annex XII as being in conformity with this Directive.

▼M3

Article 7a

Inland waterway vessels

1.  The following provisions shall apply to engines to be installed in inland waterway vessels. Paragraphs 2 and 3 shall not apply until the equivalence between the requirements established by this Directive and those established in the framework of the Mannheim Convention for the Navigation of the Rhine is recognised by the Central Commission of Navigation on Rhine (hereinafter: CCNR) and the Commission is informed thereof.

2.  Until 30 June 2007, Member States may not refuse the placing on the market of engines which meet the requirements established by CCNR stage I, the emission limit values for which are set out in Annex XIV.

3.  As from 1 July 2007 and until the entry into force of a further set of limit values which would result from further amendments to this Directive, Member States may not refuse the placing on the market of engines which meet the requirements established by CCNR stage II, the emission limit values for which are set out in Annex XV.

▼M5

4.  The Commission shall adapt Annex VII to integrate the additional and specific information which may be required as regards the type-approval certificate for engines to be installed in inland waterway vessels. Those measures, designed to amend non-essential elements of this Directive, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 15(2).

▼C1

5.  For the purposes of this Directive, as far as inland waterway vessels are concerned, any auxiliary engine with a power of more than 560 kW shall be subject to the same requirements as propulsion engines.

▼B

Article 8

▼M3

Placing on the market

1.  Member States may not refuse the placing on the market of engines, whether or not already installed in machinery, which meet the requirements of this Directive.

▼B

2.  Member States shall only permit registration, where applicable, or placing on the market of new engines, whether or not already installed in machinery, which meet the requirements of this Directive.

▼M3

2a.  Member States shall not issue the Community Inland Water Navigation certificate established by Council Directive 82/714/EC of 4 October 1982 laying down technical requirements for inland waterway vessels ( 9 ) to any vessels whose engines do not meet the requirements of this Directive.

▼B

3.  The approval authority of a Member State granting a type-approval shall take the necessary measures in relation to that approval to register and control, if need be in cooperation with the approval authorities of the other Member States, the identification numbers of those engines produced in conformity with the requirements of this Directive.

4.  An additional control of the identification numbers may take place in conjunction with the control of conformity of production as described in Article 11.

5.  With regard to the control of the identification numbers, the manufacturer or his agents established in the Community shall without delay give, on request, to the responsible approval authority all the information needed related to his/their purchasers together with the identification numbers of the engines reported as produced in accordance with Article 6(3). Where engines are sold to a manufacturer of machinery, further information is not required.

6.  If, at the request of the approval authority, the manufacturer is not able to verify the requirements as specified in Article 6 particularly in conjunction with paragraph 5 of this Article, the approval granted in respect of the corresponding engine type or family pursuant to this Directive may be withdrawn. The information procedure shall then be carried out as described in Article 12(4).

Article 9

▼M2

Timetable-compression ignition engines

▼B

1.   GRANT OF TYPE-APPROVALS

After 30 June 1998, Member States may not refuse to grant type-approval for an engine type or engine family or to issue the document as described in ►M2  Annex VII ◄ , and may not impose any other type-approval requirements with regard to air-polluting emissions for non-road mobile machinery in which an engine is installed, if the engine meets the requirements specified in this Directive as regards the emissions of gaseous and particulate pollutants.

2.   TYPE-APPROVALS STAGE I

Member States shall refuse to grant type-approval for an engine type or engine family and to issue the document as described in ►M2  Annex VII ◄ , and shall refuse to grant any other type-approval for non-road mobile machinery in which an engine is installed:

after 30 June 1998 for engines of a power output:



—  A:

130 kW ≤ P ≤ 560 kW,

—  B:

75 kW ≤ P < 130 kW,

—  C:

37 kW ≤ P < 75 kW,

if the engine fails to meet the requirements specified in this Directive and where the emissions of gaseous and particulate pollutants from the engine do not comply with the limit values as set out in the table in ►M2  section 4.1.2.1 of Annex I ◄ .

3.   TYPE-APPROVALS STAGE II

▼M3

Member States shall refuse to grant type-approval for an engine type or engine family and to issue the document as described in Annex VII and shall refuse to grant any other type-approval for non-road mobile machinery, in which an engine, not already placed on the market, is installed:

▼B



—  D:

after 31 December 1999 for engines of a power output: 18 kW ≤ P < 37 kW,

—  E:

after 31 December 2000 for engines of a power output: 130 kW ≤ P ≤ 560 kW,

—  F:

after 31 December 2001 for engines of a power output: 75 kW ≤ P < 130 kW,

—  G:

after 31 December 2002 for engines of a power output: 37 kW ≤ P < 75 kW,

if the engine fails to meet the requirements specified in this Directive and where the emissions of gaseous and particulate pollutants from the engine do not comply with the limit values as set out in the table in ►M2  section 4.1.2.3 of Annex I ◄ .

▼M3

3a.   TYPE-APPROVAL OF STAGE IIIA ENGINES (ENGINE CATEGORIES H, I, J and K)

Member States shall refuse to grant type-approval for the following engine types or families and to issue the document as described in AnnexVII, and shall refuse to grant any other type-approval for non-road mobile machinery in which an engine, not already placed on the market, is installed:

 H: after 30 June 2005 for engines — other than constant speed engines — of a power output: 130 kW ≤ P ≤ 560 kW,

 I: after 31 December 2005 for engines — other than constant speed engines — of a power output: 75 kW ≤ P < 130 kW,

 J: after 31 December 2006 for engines — other than constant speed engines — of a power output: 37 kW ≤ P < 75 kW,

 K: after 31 December 2005 for engines — other than constant speed engines — of a power output: 19 kW ≤ P < 37 kW,

where the engine fails to meet the requirements specified in this Directive and where the emissions of particulate and gaseous pollutants from the engine do not comply with the limit values as set out in the table in section 4.1.2.4 of Annex I.

3b.   TYPE-APPROVAL OF STAGE IIIA CONSTANT SPEED ENGINES (ENGINE CATEGORIES H, I, J and K)

Member States shall refuse to grant type-approval for the following engine types or families and to issue the document as described in Annex VII, and shall refuse to grant any other type-approval for non-road mobile machinery in which an engine, not already placed on the market, is installed:

 Constant speed H engines: after 31 December 2009 for engines of a power output: 130 kW ≤ P < 560 kW,

 Constant speed I engines: after 31 December 2009 for engines of a power output: 75 kW ≤ P < 130 kW,

 Constant speed J engines: after 31 December 2010 for engines of a power output: 37 kW ≤ P < 75 kW,

 Constant speed K engines: after 31 December 2009 for engines of a power output: 19 kW ≤ P < 37 kW,

where the engine fails to meet the requirements specified in this Directive and where the emissions of particulate and gaseous pollutants from the engine do not comply with the limit values set out in the table in Section 4.1.2.4 of Annex I.

3c.   TYPE-APPROVAL OF STAGE III B ENGINES (ENGINE CATEGORIES L, M, N and P)

Member States shall refuse to grant type-approval for the following engine types or families and to issue the document as described in Annex VII, and shall refuse to grant any other type-approval for non-road mobile machinery in which an engine, not already placed on the market, is installed:

 L: after 31 December 2009 for engines — other than constant speed engines — of a power output: 130 kW ≤ P ≤ 560 kW,

 M: after 31 December 2010 for engines — other than constant speed engines — of a power output: 75 kW ≤ P < 130 kW,

 N: after 31 December 2010 for engines — other than constant speed engines — of a power output: 56 kW ≤ P < 75 kW,

 P: after 31 December 2011 for engines — other than constant speed engines — of a power output: 37 kW ≤ P < 56 kW,

where the engine fails to meet the requirements specified in this Directive and where the emissions of particulate and gaseous pollutants from the engine do not comply with the limit values set out in the table in Section 4.1.2.5 of Annex I.

3d.   TYPE-APPROVAL OF STAGE IV ENGINES (ENGINE CATEGORIES Q and R)

Member States shall refuse to grant type-approval for the following engine types or families and to issue the document as described in Annex VII, and shall refuse to grant any other type-approval for non-road mobile machinery in which an engine, not already placed on the market, is installed:

 Q: after 31 December 2012 for engines — other than constant speed engines — of a power output: 130 kW ≤ P ≤ 560 kW,

 R: after 30 September 2013 for engines — other than constant speed engines — of a power output: 56 kW ≤ P < 130 kW,

where the engine fails to meet the requirements specified in this Directive and where the emissions of particulate and gaseous pollutants from the engine do not comply with the limit values set out in the table in Section 4.1.2.6 of Annex I.

3e.   TYPE-APPROVAL OF STAGE III A PROPULSION ENGINES USED IN INLAND WATERWAY VESSELS (ENGINE CATEGORIES V)

Member States shall refuse to grant type-approval for the following engine types or families and to issue the document as described in Annex VII:

 V1:1: after 31 December 2005 for engines of power output at or above 37 kW and swept volume below 0,9 litres per cylinder,

 V1:2: after 30 June 2005 for engines with swept volume at or above 0,9 but below 1,2 litres per cylinder,

 V1:3: after 30 June 2005 for engines with swept volume at or above 1,2 but below 2,5 litres per cylinder and an engine power output of: 37 kW ≤ P < 75 kW,

 V1:4: after 31 December 2006 for engines with swept volume at or above 2,5 but below 5 litres per cylinder,

 V2: after 31 December 2007 for engines with swept volume at or above 5 litres per cylinder,

where the engine fails to meet the requirements specified in this Directive and where the emissions of particulate and gaseous pollutants from the engine do not comply with the limit values as set out in the table in section 4.1.2.4 of Annex I.

3f.   TYPE-APPROVAL OF STAGE III A PROPULSION ENGINES USED IN RAILCARS

Member States shall refuse to grant type-approval for the following engine types or families and to issue the document as described in Annex VII:

 RC A: after 30 June 2005 for engines of power output above 130 kW

where the engine fails to meet the requirements specified in this Directive and where the emissions of particulate and gaseous pollutants from the engine do not comply with the limit values as set out in the table in section 4.1.2.4 of Annex I.

3g.   TYPE-APPROVAL OF STAGE III B PROPULSION ENGINES USED IN RAILCARS

Member States shall refuse to grant type-approval for the following engine types or families and to issue the document as described in Annex VII:

 RC B: after 31 December 2010 for engines of power output above 130 kW

where the engine fails to meet the requirements specified in this Directive and where the emissions of particulate and gaseous pollutants from the engine do not comply with the limit values as set out in the table in section 4.1.2.5 of Annex I.

3h.   TYPE-APPROVAL OF STAGE III A PROPULSION ENGINES USED IN LOCOMOTIVES

Member States shall refuse to grant type-approval for the following engine types or families and to issue the document as described in Annex VII:

 RL A: after 31 December 2005 for engines of power output: 130 kW ≤ P ≤ 560 kW

 RH A: after 31 December 2007 for engines of power output: 560 kW < P

where the engine fails to meet the requirements specified in this Directive and where the emissions of particulate and gaseous pollutants from the engine do not comply with the limit values as set out in the table in section 4.1.2.4 of Annex I. The provisions of this paragraph shall not apply to the engine types and families referred to where a contract has been entered into to purchase the engine before 20 May 2004 and provided that the engine is placed on the market no later than two years after the applicable date for the relevant category of locomotives.

3i.   TYPE-APPROVAL OF STAGE III B PROPULSION ENGINES USED IN LOCOMOTIVES

Member States shall refuse to grant type-approval for the following engine types or families and to issue the document as described in Annex VII:

 R B: after 31 December 2010 for engines of power output above 130 kW

where the engine fails to meet the requirements specified in this Directive and where the emissions of particulate and gaseous pollutants from the engine do not comply with the limit values as set out in the table in section 4.1.2.5 of Annex I. The provisions of this paragraph shall not apply to the engine types and families referred to where a contract has been entered into to purchase the engine before 20 May 2004 and provided that the engine is placed on the market no later than two years after the applicable date for the relevant category of locomotives.

▼B

4.    ►M3   ►C1  PLACING ON THE MARKET: ENGINE PRODUCTION DATES ◄  ◄

After the dates referred to hereafter, with the exception of machinery and engines intended for export to third countries, Member States shall permit the registration, where applicable, and ►M2  placing on the market of engines ◄ , whether or not already installed in machinery, only if they meet the requirements of this Directive, and only if the engine is approved in compliance with one of the categories as defined in paragraphs 2 and 3.

Stage I

 category A: 31 December 1998

 category B: 31 December 1998

 category C: 31 March 1999

Stage II

 category D: 31 December 2000

 category E: 31 December 2001

 category F: 31 December 2002

 category G: 31 December 2003

Nevertheless, for each category, Member States may postpone each date mentioned in the above requirement for two years in respect of engines with a production date prior to the said date.

The permission granted for stage I-engines shall be terminated with effect from the mandatory implementation of stage II.

▼M3

4a.   Without prejudice to Article 7a and to Article 9(3g) and (3h), after the dates referred to hereafter, with the exception of machinery and engines intended for export to third countries, Member States shall permit the placing on the market of engines, whether or not already installed in machinery, only if they meet the requirements of this Directive, and only if the engine is approved in compliance with one of the categories as defined in paragraphs 2 and 3.

Stage III A other than constant speed engines

 category H: 31 December 2005

 category I: 31 December 2006

 category J: 31 December 2007

 category K: 31 December 2006

Stage III A inland waterway vessel engines

 category V1:1: 31 December 2006

 category V1:2: 31 December 2006

 category V1:3: 31 December 2006

 category V1:4: 31 December 2008

 categories V2: 31 December 2008

Stage III A constant speed engines

 category H: 31 December 2010

 category I: 31 December 2010

 category J: 31 December 2011

 category K: 31 December 2010

Stage III A railcar engines

 category RC A: 31 December 2005

Stage III A locomotive engines

 category RL A:31 December 2006

 category RH A:31 December 2008

Stage III B other than constant speed engines

 category L: 31 December 2010

 category M: 31 December 2011

 category N: 31 December 2011

 category P: 31 December 2012

Stage III B railcar engines

 category RC B: 31 December 2011

Stage III B locomotive engines

 category R B: 31 December 2011

Stage IV other than constant speed engines

 category Q: 31 December 2013

 category R: 30 September 2014

For each category, the above requirements shall be postponed by two years in respect of engines with a production date prior to the said date.

The permission granted for one stage of emission limit values shall be terminated with effect from the mandatory implementation of the next stage of limit values.

4b.   LABELLING TO INDICATE EARLY COMPLIANCE WITH THE STANDARDS OF STAGES IIIA, IIIB AND IV

For engine types or engine families meeting the limit values set out in the table in section 4.1.2.4, 4.1.2.5 and 4.1.2.6 of Annex I before the dates laid down in paragraph 4 of this Article, Member States shall allow special labelling and marking to show that the equipment concerned meets the required limit values before the dates laid down.

▼M2

Article 9a

Timetable — Spark ignition engines

1.   DIVIDING INTO CLASSES

For the purpose of this Directive, spark-ignition engines shall be divided into the following classes.

Main class S

:

small engines with a net power ≤ 19 kW

The main class S shall be divided into two categories:

H

:

engines for hand-held machinery

N

:

engines for non-hand-held machinery



Class/category

Displacement (cubic cm)

Hand-held engines

Class SH:1

< 20

Class SH:2

≥ 20

< 50

Class SH:3

≥ 50

Non-hand-held engines

Class SN:1

< 66

Class SN:2

≥ 66

< 100

Class SN:3

≥ 100

< 225

Class SN:4

≥ 225

2.   GRANT OF TYPE APPROVALS

After 11 August 2004, Member States may not refuse to grant type-approval for an SI engine type or engine family or to issue the document as described in Annex VII, and may not impose any other type-approval requirements with regard to air-polluting emissions for non-road mobile machinery in which an engine is installed, if the engine meets the requirements specified in this Directive as regards the emissions of gaseous pollutants.

3.   TYPE-APPROVALS STAGE 1

Member States shall refuse to grant type-approval for an engine type or engine family and to issue the documents as described in Annex VII, and shall refuse to grant any other type-approval for non-road mobile machinery in which an engine is installed after 11 August 2004 if the engine fails to meet the requirements specified in this Directive and where the emissions of gaseous pollutants from the engine do not comply with the limit values as set out in the table in section 4.2.2.1 of Annex I.

4.   TYPE-APPROVALS STAGE II

Member States shall refuse to grant type-approval for an engine type or engine family and to issue the documents as described in Annex VII, and shall refuse to grant any other type-approval for non-road mobile machinery in which an engine is installed:

after 1 August 2004 for engine classes SN:1 and SN:2

after 1 August 2006 for engine class SN:4

after 1 August 2007 for engine classes SH:1, SH:2 and SN:3

after 1 August 2008 for engine class SH:3,

if the engine fails to meet the requirements specified in this Directive and where the emissions of gaseous pollutants from the engine do not comply with the limit values as set out in the table in section 4.2.2.2 of Annex I.

5.   PLACING ON THE MARKET: ENGINE PRODUCTION DATES

Six months after the dates for the relevant category of engine in paragraphs 3 and 4, with the exception of machinery and engines intended for export to third countries, Member States shall permit placing on the market of engines, whether or not already installed in machinery, only if they meet the requirements of this Directive.

6.   LABELLING OF EARLY COMPLIANCE WITH STAGE II

For engine types or engine families meeting the limit values set out in the table in section 4.2.2.2 of Annex I, before the dates laid down in point 4 of this Article, Member States shall allow special labelling and marking to show that the equipment concerned meets the required limit values before the dates laid down.

7.   EXEMPTIONS

The following machinery shall be exempted from the implementation dates of stage II emission limit requirements for a period of three years after the entry into force of those emission limit requirements. For those three years, the stage I emission limit requirements shall continue to apply:

hand-held chainsaw : a hand-held device designed to cut wood with a saw chain, designed to be supported with two hands and having an engine capacity in excess of 45 cm3, according to EN ISO 11681-1,

top handle machine (i.e., hand-held drills and tree service chainsaws) : a hand-held device with the handle on top of the machine designed to drill holes or to cut wood with a saw chain (according to ISO 11681-2),

hand-held brush cutter with an internal combustion engine : a hand-held device with a rotating blade made of metal or plastic intended to cut weeds, brush, small trees and similar vegetation. It must be designed according to EN ISO 11806 to operate multi-positionally, such as horizontally or upside down, and have an engine capacity in excess of 40 cm3,

hand-held hedge trimmer : a hand-held device designed for trimming hedges and bushes by means of one or more reciprocating cutter blades, according to EN 774,

hand-held power cutter with an internal combustion engine : a hand-held device intended for cutting hard materials such as stone, asphalt, concrete or steel by means of a rotating metal blade with a displacement in excess of 50 cm3, according to EN 1454, and

non-hand-held, horizontal shaft class SN:3 engine : only those class SN:3 non-hand-held engines with a horizontal shaft that produce power equal to or less than 2,5 kW and are used mainly for select, industrial purposes, including tillers, reel cutters, lawn aerators and generators.

▼M6

Notwithstanding the first subparagraph, an extension of the derogation period is granted until 31 July 2013, within the category of top handle machines, for professional use, multi-positional, hand-held hedge trimmers and top handle tree service chainsaws in which engines of classes SH:2 and SH:3 are installed.

▼M2

8.   OPTIONAL IMPLEMENTATION DELAY

Nevertheless, for each category, Member States may postpone the dates in paragraphs 3, 4 and 5 for two years in respect of engines with a production date prior to those dates.

▼B

Article 10

Exemptions and alternative procedures

▼M3

1.  The requirements of Article 8(1) and (2), Article 9(4) and Article 9a(5) shall not apply to:

 engines for use by the armed services,

 engines exempted in accordance with paragraphs 1a and 2,

 engines for use in machines intended primarily for the launch and recovery of lifeboats,

 engines for use in machines intended primarily for the launch and recovery of beach launched vessels.

1a.  Without prejudice to Article 7a and to Article 9(3g) and (3h), replacement engines, except for railcar, locomotive and inland waterway vessel propulsion engines, shall comply with the limit values that the engine to be replaced had to meet when originally placed on the market.

▼M7 —————

▼M7

1b.  By way of derogation from Article 9(3g), (3i) and (4a), Member States may authorise the placing on the market of the following engines for railcars and locomotives:

(a) replacement engines that meet the Stage III A limits, where they are to replace engines for railcars and locomotives that:

(i) do not meet the Stage III A standard; or

(ii) meet the Stage III A standard but do not meet the Stage III B standard;

(b) replacement engines that do not meet Stage III A limits, where they are to replace engines for railcars without driving control and not capable of independent movement, so long as such replacement engines meet a standard no lower than the standard met by engines fitted to existing railcars of the same type.

Authorisations under this paragraph may be granted only in cases where the approval authority of the Member State is satisfied that the use of a replacement engine that meets the requirements of the latest applicable emissions stage in the railcar or locomotive in question will involve significant technical difficulties.

1c.  A label bearing the text ‘REPLACEMENT ENGINE’ and bearing the unique reference of the associated derogation shall be affixed to engines covered by paragraph 1a or 1b.

1d.  The Commission shall assess the environmental impacts of, and possible technical difficulties in respect of compliance with, paragraph 1b. In the light of that assessment, the Commission shall, by 31 December 2016, submit to the European Parliament and the Council a report reviewing paragraph 1b accompanied, if appropriate, by a legislative proposal including an end date for the application of that paragraph.

▼B

2.  Each Member State may, at the request of the manufacturer, exempt end-of-series engines which are still in stock, or stocks of non-road mobile machinery in respect of their engines, from the time limit(s) for placing on the market set out in Article 9(4) in accordance with the following conditions:

 the manufacturer must submit an application to the approval authorities of that Member State which approved the corresponding engine type(s) or engine family(ies) before the entry into force of the time limit(s),

 the application of the manufacturer must include a list as defined in Article 6(3) of those new engines which are not placed on the market within the time limit(s); in the case of engines covered by this Directive for the first time, he must submit his application to the type-approval authority of that Member State where the engines are stored,

 the request must specify the technical and/or economic reasons on which it is based,

 the engines must conform to a type or family for which the type-approval is no longer valid, or which did not need a type-approval before, but which have been produced according to the time limit(s),

 the engines must have been physically stored within the Community within the time limit(s),

 the maximum number of new engines of one or more types placed on the market in each Member State by the application of this exemption must not exceed 10 % of the new engines of all types concerned placed on the market in that Member State during the previous year,

 if the request is accepted by the Member State, the latter must, within one month, send the approval authorities of the other Member States particulars of, and reasons for, the exemptions granted to the manufacturer,

 the Member State granting exemptions according to this Article shall be responsible for ensuring that the manufacturer complies with all corresponding obligations,

 the approval authority shall release for each engine in question a certificate of conformity on which a special entry has been made. If applicable a consolidated document that contains all engine identification numbers in question may be used,

 Member States shall each year send the Commission a list of exemptions granted specifying the reasons.

This option shall be limited to a period of 12 months as from the date on which the engines for the first time were subject to the time limit(s) for placing on the market.

▼M2

3.  The requirements of Article 9a(4) and (5) shall be postponed by three years for small volume engine manufacturers.

4.  The requirements of Article 9a(4) and (5) shall be replaced by the corresponding stage I requirements for a small volume engine family to a maximum of 25 000 units providing that the various engine families involved all have different cylinder displacements.

▼M3

5.  Engines may be placed on the market under a ‘flexible scheme’ in accordance with the provisions in Annex XIII.

6.  Paragraph 2 shall not apply to propulsion engines to be installed in inland waterway vessels.

▼M7

7.  Member States shall permit the placing on the market of engines, as defined in points A(i), A(ii) and A(v) of Section 1 of Annex I, under the flexibility scheme in accordance with the provisions set out in Annex XIII.

▼B

Article 11

Conformity of production arrangements

1.  The Member State granting a type-approval shall take the necessary measures to verify, with regard to the specifications laid down in section 5 of Annex I, if need be in cooperation with the approval authorities of the other Member States, that adequate arrangements have been made to ensure effective control of the conformity of production before it grants type-approval.

2.  The Member State which has granted a type-approval shall take the necessary measures to verify, with regard to the specifications laid down in section 5 of Annex I, if need be in cooperation with the approval authorities of the other Member States, that the arrangements referred to in paragraph 1 continue to be adequate and that each production engine bearing a type-approval number pursuant to this Directive continues to conform to the description as given in the approval certificate and its Annexes for the approved engine type or family.

Article 12

Non-conformity with the approved type or family

1.  There shall be failure to conform to the approved type or family where deviations from the particulars in the type-approval certificate and/or the information package are found to exist and where these deviations have not been authorized, pursuant to Article 5(3), by the Member State which granted the type-approval.

2.  If a Member State which has granted type-approval finds that engines accompanied by a certificate of conformity or bearing an approval mark do not conform to the type or family it has approved, it shall take the necessary measures to ensure that the engines in production again conform to the approved type or family. The approval authorities of that Member State shall advise those of the other Member States of the measures taken which may, where necessary, extend to withdrawal of type-approval.

3.  If a Member State demonstrates that engines bearing a type-approval number do not conform to the approved type or family it may request the Member State which granted the type-approval to verify that engines in production conform to the approved type or family. Such action shall be taken within six months of the date of the request.

4.  The approval authorities of the Member States shall inform each other within one month of any withdrawal of type-approval and of the reasons for such measure.

5.  If the Member State which granted type-approval disputes the failure to conform notified to it, the Member States concerned shall endeavour to settle the dispute. The Commission shall be kept informed and shall, where necessary, hold appropriate consultations for the purpose of reaching a settlement.

Article 13

Worker protection requirements

The provisions of this Directive shall not affect Member States' entitlement to lay down, in due observance of the Treaty, such requirements as they may deem necessary to ensure that workers are protected when using the machinery referred to in this Directive, provided that this does not affect the placing on the market of the engines in question.

▼M5

Article 14

The Commission shall adopt any amendments which are necessary in order to adapt the Annexes, with the exception of the requirements specified in section 1, sections 2.1 to 2.8 and section 4 of Annex I, to technical progress.

Those measures, designed to amend non-essential elements of this Directive, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 15(2).

Article 14a

The Commission shall study possible technical difficulties in complying with the stage II requirements for certain uses of the engines, in particular mobile machinery in which engines of classes SH:2 and SH:3 are installed. If the Commission studies conclude that for technical reasons certain mobile machinery, in particular, multi-positional, hand-held engines intended for professional use, cannot meet those requirements by the deadlines laid down, it shall submit, by 31 December 2003, a report accompanied by appropriate proposals for extensions of the period referred to in Article 9a(7) and/or further derogations, not exceeding five years in duration, save in exceptional circumstances, for such machinery. Those measures, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 15(2).

▼M2

Article 15

Committee

1.  The Commission shall be assisted by the Committee on Adaptation to Technical Progress of the Directives on the Removal of Technical Barriers to Trade in the Motor Vehicle Sector (hereinafter referred to as ‘the Committee’).

▼M5

2.  Where reference is made to this paragraph, Article 5a(1) to (4) and Article 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.

▼M5 —————

▼B

Article 16

Approval authorities and technical services

The Member States shall notify to the Commission and to the other Member States the names and addresses of the approval authorities and technical services that are responsible for the purposes of this Directive. The notified services must satisfy the requirements as laid down in Article 14 of Directive 92/53/EEC.

Article 17

Transposal into national law

1.  Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive not later than 30 June 1998. They shall forthwith inform the Commission thereof.

When Member States adopt these measures, they shall contain a reference to this Directive or shall be accompanied by such reference on the occasion of their official publication. The methods of making such a reference shall be laid down by Member States.

2.  Member States shall communicate to the Commission the texts of the provisions of national law which they adopt in the field governed by this Directive.

Article 18

Entry into force

This Directive shall enter into force on the 20th day following its publication in the Official Journal of the European Communities.

Article 19

Further reduction in emission limit values

The European Parliament and the Council shall decide, by the end of the year 2000 on a proposal which the Commission will submit before the end of 1999, on a further reduction in emission limit values, taking into account the global availability of techniques for controlling air-polluting emissions from compression ignition engines and the air quality situation.

Article 20

Addressees

This Directive is addressed to the Member States.

▼M2




List of Annexes



ANNEX I

Scope, definitions, symbols and abbreviations, engine markings, specifications and tests, specification of conformity of production assessments, parameters defining the engine family, choice of the parent engine

Appendix 1

Requirements to ensure the correct operation of NOx control measures

Appendix 2

Control Area requirements for stage IV engines

ANNEX II

Information documents

Appendix 1

Essential characteristics of the (parent) engine

Appendix 2

Essential characteristics of the engine family

Appendix 3

Essential characteristics of engine type within family

ANNEX III

Test procedure for CI Engines

▼M3

Appendix 1

Measurement and sampling procedures

Appendix 2

Calibration procedure (NRSC, NRTC(1))

▼M2

Appendix 3

►M3   ►C1  Data evaluation and calculations ◄  ◄

▼M3

Appendix 4

NRTC engine dynamometer schedule

Appendix 5

Durability requirements

▼M2

Appendix 6

Determination of CO2 Emissions for Stage I, II, IIIA, IIIB and IV Engines

Appendix 7

Alternative determination of CO2 emissions

ANNEX IV

Test procedure — Spark ignition engines

Appendix 1

Measurement and sampling procedures

Appendix 2

Calibration of the analytical instruments

Appendix 3

Data evaluation and calculations

Appendix 4

Deterioration factors

ANNEX V

►M3   ►C1  Technical characteristics of reference fuel prescribed for approval tests and to verify conformity of production ◄  ◄

▼M3

ANNEX VI

Analytical and sampling system

▼M2

ANNEX VII

Type approval certificate

Appendix 1

Test report for compression ignition engines test results

Appendix 2

Test result for SI engines

Appendix 3

Equipment and auxiliaries to be installed for the test to determine engine power

ANNEX VIII

Approval certificate numbering system

ANNEX IX

List of engine/engine family type-approvals issued

ANNEX X

List of engines produced

ANNEX XI

Data sheet of type-approved engines

ANNEX XII

Recognition of alternative type-approvals

▼M3

ANNEX XIII

PROVISIONS FOR ENGINES PLACED ON THE MARKET UNDER A ‘FLEXIBLE SCHEME’

ANNEXE XIV

 

ANNEXE XV

 

▼B




ANNEX I

SCOPE, DEFINITIONS, SYMBOLS AND ABBREVIATIONS, ENGINE MARKINGS, SPECIFICATIONS AND TESTS, SPECIFICATION OF CONFORMITY OF PRODUCTION ASSESSMENTS, PARAMETERS DEFINING THE ENGINE FAMILY, CHOICE OF THE PARENT ENGINE

1.   SCOPE

▼M2

This Directive applies to all engines to be installed in non-road mobile machinery and to secondary engines fitted into vehicles intended for passenger or goods transport on the road.

▼B

This Directive does not apply to engines for the propulsion of:

 vehicles as defined by Directive 70/156/EEC ( 10 ), and by Directive 92/61/EEC ( 11 ),

 agricultural tractors as defined by Directive 74/150/EEC ( 12 ).

Additionally, in order to be covered by this Directive, the engines have to be installed in machinery which meets the following specific requirements:

▼M3

A. intended and suited, to move, or to be moved with or without road, and with

(i) a C.I. engine having a net power in accordance with section 2.4. that is higher than or equal to 19 kW but not more than 560 kW and that is operated under intermittent speed rather than a single constant speed; or

(ii) a C.I. engine having a net power in accordance with section 2.4. that is higher than or equal to 19 kW but not more than 560 kW and that is operated under constant speed. Limits only apply from 31 December 2006; or

(iii) a petrol fuelled S.I. engine having a net power in accordance with section 2.4. of not more than 19 kW; or

(iv) engines designed for the propulsion of railcars, which are self propelled on-track vehicles specifically designed to carry goods and/or passengers; or

(v) engines designed for the propulsion of locomotives which are self-propelled pieces of on-track equipment designed for moving or propelling cars that are designed to carry freight, passengers and other equipment, but which themselves are not designed or intended to carry freight, passengers (other than those operating the locomotive) or other equipment. Any auxiliary engine or engine intended to power equipment designed to perform maintenance or construction work on the tracks is not classified under this paragraph but under A(i).

▼M2

The Directive is not applicable for the following applications:

▼M3

B. ships, except vessels intended for use on inland waterways;

▼M3 —————

▼M2

D. aircraft;

E. recreational vehicles, e.g.

 snow mobiles,

 off road motorcycles,

 all-terrain vehicles

▼B

2.   DEFINITIONS, SYMBOLS AND ABBREVIATIONS

For the purpose of this Directive,

2.1.

compression ignition (C.I.) engine shall mean an engine which works on the compression-ignition principle (e.g. diesel engine);

2.2.

gaseous pollutants shall mean carbon monoxide, hydrocarbons (assuming a ratio of C1: H1.85 and oxides of nitrogen, the last named being expressed in nitrogen dioxide (NO2 equivalent;

2.3.

particulate pollutants shall mean any material collected on a specified filter medium after diluting C.I. engine exhaust gas with clean filtered air so that the temperature does not exceed 325 K (52 oC);

2.4.

net power shall mean the power in ‘EEC kW’ obtained on the test bench at the end of the crankshaft, or its equivalent, measured in accordance with the EEC method of measuring the power of internal combustion engines for road vehicles as set out in Directive 80/1269/EEC ( 13 ), except that the power of the engine cooling fan is excluded ( 14 ) and the test conditions and reference fuel specified in this Directive are adhered to;

2.5.

rated speed shall mean the maximum full load speed allowed by the governor as specified by the manufacturer;

2.6.

per cent load shall mean the fraction of the maximum available torque at an engine speed;

2.7.

maximum torque speed shall mean the engine speed at which the maximum torque is obtained from the engine, as specified by the manufacturer;

2.8.

intermediate speed shall mean that engine speed which meets one of the following requirements:

 for engines which are designed to operate over a speed range on a full load torque curve, the intermediate speed shall be the declared maximum torque speed if it occurs between 60 % and 75 % of rated speed,

 if the declared maximum torque speed is less than 60 % of rated speed, then the intermediate speed shall be 60 % of the rated speed,

 if the declared maximum torque speed is greater than 75 % of the rated speed then the intermediate speed shall be 75 % of rated speed,

▼M2

 for engines to be tested on cycle G1, the intermediate speed shall be 85 % of the maximum rated speed (see section 3.5.1.2 of Annex IV);

▼M3

2.8a.

volume of 100 m 3 or more with regard to a vessel intended for use on inland waterways means its volume calculated on the formula LxBxT, ‘L’ being the maximum length of the hull, excluding rudder and bowsprit, ‘B’ being the maximum breadth of the hull in metres, measured to the outer edge of the shell plating (excluding paddle wheels, rubbing strakes, etc.) and ‘T’ being the vertical distance between the lowest moulded point of the hull or the keel and the maximum draught line;

2.8b.

valid navigation or safety certificate shall mean:

(a) a certificate proving conformity with the 1974 International Convention for the Safety of Life at Sea (SOLAS), as amended, or equivalent, or

(b) a certificate proving conformity with the 1966 International Convention on Load Lines, as amended, or equivalent, and an IOPP certificate proving conformity with the 1973 International Convention for the Prevention of Pollution from Ships (MARPOL), as amended;

2.8c.

defeat device shall mean a device which measures, senses or responds to operating variables for the purpose of activating, modulating, delaying or deactivating the operation of any component or function of the emission control system such that the effectiveness of the control system is reduced under conditions encountered during the normal non-road mobile machinery use unless the use of such a device is substantially included in the applied emission test certification procedure;

2.8d.

irrational control strategy shall mean any strategy or measure that, when the non-road mobile machinery is operated under normal conditions of use, reduces the effectiveness of the emission control system to a level below that expected in the applicable emission test procedures;

▼M2

2.9.

adjustable parameter shall mean any physically adjustable device, system or element of design which may affect emission or engine performance during emission testing or normal operation;

2.10.

after-treatment shall mean the passage of exhaust gases through a device or system whose purpose is chemically or physically to alter the gases prior to release to the atmosphere;

2.11.

spark ignition (SI) engine shall mean an engine which works on the spark-ignition principle;

2.12.

auxiliary emission control device shall mean any device that senses engine operation parameters for the purpose of adjusting the operation of any part of the emission control system;

2.13.

emission control system shall mean any device, system or element of design which controls or reduces emissions;

2.14.

fuel system shall mean all components involved in the metering and mixture of the fuel;

2.15.

secondary engine shall mean an engine installed in or on a motor vehicle, but not providing motive power to the vehicle;

2.16.

mode length means the time between leaving the speed and/or torque of the previous mode or the preconditioning phase and the beginning of the following mode. It includes the time during which speed and/or torque are changed and the stabilisation at the beginning of each mode;

▼M3

2.17.

test cycle shall mean a sequence of test points, each with a defined speed and torque, to be followed by the engine under steady state (NRSC test) or transient operating conditions (NRTC test);

▼M3

2.18.

Symbols and abbreviations

2.18.1.   Symbols for test parameters



Symbol

Unit

Term

A/Fst

-

Stoichiometric air/fuel ratio

AP

m2

Cross sectional area of the isokinetic sampling probe

AT

m2

Cross sectional area of the exhaust pipe

Aver

 

Weighted average values for:

m3/h

—  volume flow

kg/h

—  mass flow

C1

-

Carbon 1 equivalent hydrocarbon

Cd

-

Discharge coefficient of the SSV

Conc

ppm

Concentration (with suffix of the component nominating)

Concc

ppm

Background corrected concentration

Concd

ppm

Concentration of the pollutant measured in the dilution air

Conce

ppm

Concentration of the pollutant measured in the diluted exhaust gas

d

m

Diameter

DF

-

Dilution factor

fa

-

Laboratory atmospheric factor

GAIRD

kg/h

Intake air mass flow rate on dry basis

GAIRW

kg/h

Intake air mass flow rate on wet basis

GDILW

kg/h

Dilution air mass flow rate on wet basis

GEDFW

kg/h

Equivalent diluted exhaust gas mass flow rate on wet basis

GEXHW

kg/h

Exhaust gas mass flow rate on wet basis

GFUEL

kg/h

Fuel mass flow rate

GSE

kg/h

Sampled exhaust mass flow rate

GT

cm3/min

Tracer gas flow rate

GTOTW

kg/h

Diluted exhaust gas mass flow rate on wet basis

Ha

g/kg

Absolute humidity of the intake air

Hd

g/kg

Absolute humidity of the dilution air

HREF

g/kg

Reference value of absolute humidity (10,71 g/kg)

i

-

Subscript denoting an individual mode (for NRSC test)or an instantaneous value (for NRTC test)

KH

-

Humidity correction factor for NOx

Kp

-

Humidity correction factor for particulate

KV

-

CFV calibration function

KW, a

-

Dry to wet correction factor for the intake air

KW, d

-

Dry to wet correction factor for the dilution air

KW, e

-

Dry to wet correction factor for the diluted exhaust gas

KW, r

-

Dry to wet correction factor for the raw exhaust gas

L

%

Percent torque related to the maximum torque for the test speed

Md

mg

Particulate sample mass of the dilution air collected

MDIL

kg

Mass of the dilution air sample passed through the particulate sampling filters

MEDFW

kg

Mass of equivalent diluted exhaust gas over the cycle

MEXHW

kg

Total exhaust mass flow over the cycle

Mf

mg

Particulate sample mass collected

Mf, p

mg

Particulate sample mass collected on primary filter

Mf, b

mg

Particulate sample mass collected on back-up filter

Mgas

g

Total mass of gaseous pollutant over the cycle

MPT

g

Total mass of particulate over the cycle

MSAM

kg

Mass of the diluted exhaust sample passed through the particulate sampling filters

MSE

kg

Sampled exhaust mass over the cycle

MSEC

kg

Mass of secondary dilution air

MTOT

kg

Total mass of double diluted exhaust over the cycle

MTOTW

kg

Total mass of diluted exhaust gas passing the dilution tunnel over the cycle on wet basis

MTOTW, I

kg

Instantaneous mass of diluted exhaust gas passing the dilution tunnel on wet basis

mass

g/h

Subscript denoting emissions mass flow (rate)

NP

-

Total revolutions of PDP over the cycle

nref

min-1

Reference engine speed for NRTC test

nsp

s-2

Derivative of the engine speed

P

kW

Power, brake uncorrected

p1

kPa

Pressure drop below atmospheric at the pump inlet of PDP

PA

kPa

Absolute pressure

Pa

kPa

Saturation vapour pressure of the engine intake air (ISO 3046: psy=PSY test ambient)

PAE

kW

Declared total power absorbed by auxiliaries fitted for the test which are not required by paragraph 2.4. of this Annex

PB

kPa

Total atmospheric pressure (ISO 3046: Px=PX Site ambient total pressure Py=PY Test ambient total pressure)

pd

kPa

Saturation vapour pressure of the dilution air

PM

kW

Maximum power at the test speed under test conditions (see Annex VII, Appendix 1)

Pm

kW

Power measured on test bed

ps

kPa

Dry atmospheric pressure

q

-

Dilution ratio

Qs

m3/s

CVS volume flow rate

r

-

Ratio of the SSV throat to inlet absolute, static pressure

r

 

Ratio of cross sectional areas of isokinetic probe and exhaust pipe

Ra

%

Relative humidity of the intake air

Rd

%

Relative humidity of the dilution air

Re

-

Reynolds number

Rf

-

FID response factor

T

K

Absolute temperature

t

s

Measuring time

Ta

K

Absolute temperature of the intake air

TD

K

Absolute dew point temperature

Tref

K

Reference temperature of combustion air: (298 K)

Tsp

N·m

Demanded torque of the transient cycle

t10

s

Time between step input and 10 % of final reading

t50

s

Time between step input and 50 % of final reading

t90

s

Time between step input and 90 % of final reading

Δti

s

Time interval for instantaneous CFV flow

V0

m3/rev

PDP volume flow rate at actual conditions

Wact

kWh

Actual cycle work of NRTC

WF

-

Weighting factor

WFE

-

Effective weighting factor

X0

m3/rev

Calibration function of PDP volume flow rate

ΘD

kg·m2

Rotational inertia of the eddy-current dynamometer

ß

-

Ratio of the SSV throat diameter, d, to the inlet pipe inner diameter

λ

-

Relative air/fuel ratio, actual A/F divided by stoichiometric A/F

ρEXH

kg/m3

Density of the exhaust gas

2.18.2.   Symbols for chemical components



CH4

Methane

C3H8

Propane

C2H6

Ethane

CO

Carbon monoxide

CO2

Carbon dioxide

DOP

Di-octylphthalate

H2O

Water

HC

Hydrocarbons

NOx

Oxides of nitrogen

NO

Nitric oxide

NO2

Nitrogen dioxide

O2

Oxygen

PT

Particulates

PTFE

Polytetrafluoroethylene

2.18.3.   Abbreviations



CFV

Critical flow venturi

CLD

Chemiluminescent detector

CI

Compression ignition

FID

Flame ionisation detector

FS

Full scale

HCLD

Heated chemiluminescent detector

HFID

Heated flame ionisation detector

NDIR

Non-dispersive infrared analyser

NG

Natural gas

NRSC

Non-road steady cycle

NRTC

Non-road transient cycle

PDP

Positive displacement pump

SI

Spark ignition

SSV

Subsonic venturi

▼B

3.   ENGINE MARKINGS

▼M2

3.1.

Compression ignition engines approved in accordance with this Directive must bear:

▼B

3.1.1.

the trade mark or trade name of the manufacturer of the engine;

3.1.2.

the engine type, engine family (if applicable), and a unique engine identification number;

3.1.3.

the EC type-approval number as described in ►M2  Annex VIII ◄ ;

▼M3

3.1.4.

labels in accordance with Annex XIII, if the engine is placed on the market under flexible scheme provisions.

▼M2

3.2.

Spark-ignition engines approved in accordance with this Directive must bear:

3.2.1.

the trade mark or trade name of the manufacturer of the engine;

3.2.2.

the EC type-approval number as defined in Annex VIII;

▼M8

3.2.3.

the parenthesised number of the emissions stage, in roman numerals, which shall be prominently visible and located near to the type approval number;

3.2.4.

the parenthesised letters SV which are referring to small volume engine manufacturer and which shall be prominently visible and located near to the type approval number on each engine placed on the market under the small volume derogation set out in Article 10(4).

▼B

►M2  3.3. ◄

These marks must be durable for the useful life of the engine and must be clearly legible and indelible. If labels or plates are used, they must be attached in such a manner that in addition the fixing is durable for the useful life of the engine, and the labels/plates cannot be removed without destroying or defacing them.

►M2  3.4. ◄

These marks must be secured to an engine part necessary for normal engine operation and not normally requiring replacement during engine life.

►M2  3.4.1. ◄

These marks must be located so as to be readily visible to the average person after the engine has been completed with all the auxiliaries necessary for engine operation.

►M2  3.4.2. ◄

Each engine must be provided with a supplementary movable plate in a durable material, which must bear all data indicated under section 3.1, to be positioned, if necessary, in order to make the marks referred to under section 3.1 readily visible to the average person and easily accessible when the engine is installed in a machine.

►M2  3.5. ◄

The coding of the engines in context with the identification numbers must be such that it allows for the indubitable determination of the sequence of production.

►M2  3.6. ◄

Before leaving the production line the engines must bear all markings.

►M2  3.7. ◄

The exact location of the engine markings shall be declared in ►M2  Annex VII ◄ , Section 1.

4.   SPECIFICATIONS AND TESTS

▼M2

4.1.   CI engines

▼B

►M2  4.1.1. ◄    General

The components liable to affect the emission of gaseous and particulate pollutants shall be so designed, constructed and assembled as to enable the engine, in normal use, despite the vibrations to which it may be subjected, to comply with the provisions of this Directive.

The technical measures taken by the manufacturer must be such as to ensure that the mentioned emissions are effectively limited, pursuant to this Directive, throughout the normal life of the engine and under normal conditions of use. These provisions are deemed to be met if the provisions of sections ►M2  4.1.2.1 ◄ , ►M2  4.1.2.3 ◄ and 5.3.2.1 are respectively complied with.

If a catalytic converter and/or a particulates trap is used the manufacturer must prove by durability tests, which he himself may carry out in accordance with good engineering practice, and by corresponding records, that these after-treatment devices can be expected to function properly for the lifetime of the engine. The records must be produced in compliance with the requirements of section 5.2 and in particular with section 5.2.3. A corresponding warranty must be guaranteed to the customer. Systematic replacement of the device, after a certain running time of the engine, is permissible. Any adjustment, repair, disassembly, cleaning, or replacement of engine components or systems which is performed on a periodic basis to prevent malfunction of the engine in context with the after-treatment device, shall only be done to the extent that is technologically necessary toassure proper functioning of the emission control system. Accordingly scheduled maintenance requirements must be included in the customer's manual, and be covered by the warranty provisions mentioned above, and be approved before an approval is granted. The corresponding extract from the manual with respect to maintenance/replacements of the treatment device(s), and to the warranty conditions, must be included in the information document as set out in Annex II to this Directive.

▼M3

All engines that expel exhaust gases mixed with water shall be equipped with a connection in the engine exhaust system that is located downstream of the engine and before any point at which the exhaust contacts water (or any other cooling/scrubbing medium) for the temporary attachment of gaseous or particulate emissions sampling equipment. It is important that the location of this connection allows a well mixed representative sample of the exhaust. This connection shall be internally threaded with standard pipe threads of a size not larger than one-half inch, and shall be closed by a plug when not in use (equivalent connections are allowed).

▼B

►M2  4.1.2. ◄    Specifications concerning the emissions of pollutants

The gaseous and particulate components emitted by the engine submitted for testing shall be measured by the methods described in ►M2  Annex VI ◄ .

Other systems or analysers may be accepted if they yield equivalent results to the following reference systems:

 for gaseous emissions measured in the raw exhaust, the system shown in Figure 2 of ►M2  Annex VI ◄ ,

 for gaseous emissions measured in the dilute exhaust of a full flow dilution system, the system shown in Figure 3 of ►M2  Annex VI ◄ ,

 for particulate emissions, the full flow dilution system, operating either with a separate filter for each mode or with the single filter method, shown in Figure 13 of ►M2  Annex VI ◄ .

The determination of system equivalency shall be based on a seven-test cycle (or larger) correlation study between the system under consideration and one or more of the above reference systems.

The equivalency criterion is defined as a ± 5 % agreement of the averages of the weighted cycle emissions values. The cycle to be used shall be that given in Annex III, section 3.6.1.

For introduction of a new system into the Directive the determination of equivalency shall be based upon the calculation of repeatability and reproducibility, as described in ISO 5725.

►M2  4.1.2.1. ◄

The emissions of the carbon monoxide, the emissions of hydrocarbons, the emissions of the oxides of nitrogen and the emissions of particulates obtained shall for stage I not exceed the amount shown in the table below:



Net power

(P)

(kW)

Carbon monoxide

(CO)

(g/kWh)

Hydrocarbons

(HC)

(g/kWh)

Oxides of nitrogen

(NOx)

(g/kWh)

Particulates

(PT)

(g/kWh)

130 ≤ P ≤ 560

5,0

1,3

9,2

0,54

75 ≤ P < 130

5,0

1,3

9,2

0,70

37 ≤ P < 75

6,5

1,3

9,2

0,85

►M2  4.1.2.2. ◄

The emission limits given in point ►M2  4.1.2.1 ◄ are engine-out limits and shall be achieved before any exhaust after-treatment device.

►M2  4.1.2.3. ◄

The emissions of the carbon monoxide, the emissions of hydrocarbons, the emissions of the oxides of nitrogen and the emissions of particulates obtained shall for stage II not exceed amounts shown in the table below:



Net power

(P)

(kW)

Carbon monoxide

(CO)

(g/kWh)

Hydrocarbons

(HC)

(g/kWh)

Oxides of nitrogen

(NOx)

(g/kWh)

Particulates

(PT)

(g/kWh)

130 ≤ P ≤ 560

3,5

1,0

6,0

0,2

75 ≤ P < 130

5,0

1,0

6,0

0,3

37 ≤ P < 75

5,0

1,3

7,0

0,4

18 ≤ P < 37

5,5

1,5

8,0

0,8

▼M3

4.1.2.4.

The emissions of carbon monoxide, the emissions of the sum of hydrocarbons and oxides of nitrogen and the emissions of particulates shall for stage III A not exceed the amounts shown in the table below:



Category: Net power

(P )

(kW)

Carbon monoxide

(CO)

(g/kWh)

Sum of hydrocarbons and oxides of nitrogen

(HC+NOx)

(g/kWh)

Particulates

(PT)

(g/kWh)

H: 130 kW ≤ P ≤ 560 kW

3,5

4,0

0,2

I: 75 kW ≤ P < 130 kW

5,0

4,0

0,3

J: 37 kW ≤ P < 75 kW

5,0

4,7

0,4

K: 19 kW ≤ P < 37 kW

5,5

7,5

0,6



Category: swept volume/net power

(SV/P )

(litres per cylinder/kW)

Carbon monoxide

(CO)

(g/kWh)

Sum of hydrocarbons and oxides of nitrogen

(HC+NOx)

(g/kWh)

Particulates

(PT)

(g/kWh)

V1:1 SV < 0,9 and P ≥ 37 kW

5,0

7,5

0,40

V1:2 0,9 ≤ SV < 1,2

5,0

7,2

0,30

V1:3 1,2 ≤ SV < 2,5

5,0

7,2

0,20

V1:4 2,5 ≤ SV < 5

5,0

7,2

0,20

V2:1 5 ≤ SV < 15

5,0

7,8

0,27

V2:2 15 ≤ SV < 20 and

5,0

8,7

0,50

V2:3 15 ≤ SV < 20

5,0

9,8

0,50

V2:4 20 ≤ SV < 25

5,0

9,8

0,50

V2:5 25 ≤ SV < 30

5,0

11,0

0,50



Category: Net power

(P)

(kW)

Carbon monoxide

(CO)

(g/kWh)

Sum of hydrocarbons and oxides of nitrogen

(HC+NOx)

(g/kWh)

Particulates

(PT)

(g/kWh)

RL A: 130 kW ≤ P ≤ 560 kW

3,5

4,0

0,2

 

Carbon monoxide

(CO)

(g/kWh)

Hydrocarbons

(HC)

(g/kWh)

Oxides of nitrogen

(NOx)

(g/kWh)

Particulates

(PT)

(g/kWh)

RH A: P > 560 kW

3,5

0,5

6,0

0,2

RH A Engines with P > 2 000 kW and SV > 5 l/cylinder

3,5

0,4

7,4

0,2



Category: net power

(P)

(kW)

Carbon monoxide

(CO)

(g/kWh)

Sum of hydrocarbons and oxides of nitrogen

(HC+NOx)

(g/kWh)

Particulates

(PT)

(g/kWh)

RC A: 130 kW < P

3,5

4,0

0,20

4.1.2.5.

The emissions of carbon monoxide, the emissions of hydrocarbons and oxides of nitrogen (or their sum where relevant) and the emissions of particulates shall, for stage III B, not exceed the amounts shown in the table below:



Category: net power

(P)

(kW)

Carbon monoxide

(CO)

(g/kWh)

Hydrocarbons

(HC)

(g/kWh)

Oxides of nitrogen

(NOx)

(g/kWh)

Particulates

(PT)

(g/kWh)

L: 130 kW ≤ P ≤ 560 kW

3,5

0,19

2,0

0,025

M: 75 kW ≤ P < 130 kW

5,0

0,19

3,3

0,025

N: 56 kW ≤ P < 75 kW

5,0

0,19

3,3

0,025

 

 

Sum of hydrocarbons and oxides of nitrogen

(HC+NOx)

(g/kWh)

 

P: 37 kW ≤ P < 56 kW

5,0

4,7

0,025



Category: net power

(P)

(kW)

Carbon monoxide

(CO)

(g/kWh)

Hydrocarbons

(HC)

(g/kWh)

Oxides of nitrogen

(NOx)

(g/kWh)

Particulates

(PT)

(g/kWh)

RC B: 130 kW < P

3,5

0,19

2,0

0,025



Category: net power

(P)

(kW)

Carbon monoxide

(CO)

(g/kWh)

Sum of hydrocarbons and oxides of nitrogen

(HC + NOx)

(g/kWh)

Particulates

(PT)

(g/kWh)

RC B: 130 kW < P

3,5

4,0

0,025

4.1.2.6.

The emissions of carbon monoxide, the emissions of hydrocarbons and oxides of nitrogen (or their sum where relevant) and the emissions of particulates shall for stage IV not exceed the amounts shown in the table below:



Category: Net power

(P)

(kW)

Carbon monoxide

(CO)

(g/kWh)

Hydrocarbons

(HC)

(g/kWh)

Oxides of nitrogen

(NOx)

(g/kWh)

Particulates

(PT)

(g/kWh)

Q: 130 kW ≤ P ≤ 560 kW

3,5

0,19

0,4

0,025

R: 56 kW ≤ P < 130 kW

5,0

0,19

0,4

0,025

4.1.2.7.

The limit values in sections 4.1.2.4, 4.1.2.5 and 4.1.2.6 shall include deterioration calculated in accordance with Annex III, Appendix 5.

In the case of limit values standards contained in sections 4.1.2.5 and 4.1.2.6, under all randomly selected load conditions, belonging to a definite control area and with the exception of specified engine operating conditions which are not subject to such a provision, the emissions sampled during a time duration as small as 30 s shall not exceed by more than 100 % the limit values of the above tables. ►M5  Where reference is made to this paragraph, Article 5a(1) to (4) and Article 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof. ◄

▼B

►M3   ►C1  4.1.2.8. ◄  ◄

Where, as defined according to Section 6 in conjunction with Annex II, Appendix 2, one engine family covers more than one power band, the emission values of the parent engine (type approval) and of all engine types within the same family (COP) must meet the more stringent requirements of the higher power band. The applicant has the free choice to restrict the definition of engine families to single power bands, and to correspondingly apply for certification.

▼M2

4.2.   SI engines

4.2.1.   General

The components liable to affect the emission of gaseous pollutants shall be so designed, constructed and assembled as to enable the engine, in normal use, despite the vibrations to which it may be subjected, to comply with the provisions of this Directive.

The technical measures taken by the manufacturer must be such as to ensure that the mentioned emissions are effectively limited, pursuant to this Directive, throughout the normal life of the engine and under normal conditions of use in accordance with Annex IV, Appendix 4.

4.2.2.   Specifications concerning the emissions of pollutants.

The gaseous components emitted by the engine submitted for testing shall be measured by the methods described in Annex VI (and shall include any after-treatment device).

Other systems or analysers may be accepted if they yield equivalent results to the following reference systems:

 for gaseous emissions measured in the raw exhaust, the system shown in Figure 2 of Annex VI,

 for gaseous emissions measured in the dilute exhaust of a full flow dilution system, the system shown in figure 3 of Annex VI.

4.2.2.1.

The emissions of carbon monoxide, the emissions of hydrocarbons, the emissions of oxides of nitrogen and the sum of hydrocarbons and oxides of nitrogen obtained shall for stage I not exceed the amount shown in the table below:



Stage I

Class

Carbon monoxide (CO) (g/kWh)

Hydrocarbons (HC) (g/kWh)

Oxides of nitrogen (NOx) (g/kWh)

Sum of hydrocarbons and oxides of nitrogen (g/kWh)

HC + NOx

SH:1

805

295

5,36

 

SH:2

805

241

5,36

 

SH:3

603

161

5,36

 

SN:1

519

 

 

50

SN:2

519

 

 

40

SN:3

519

 

 

16,1

SN:4

519

 

 

13,4

4.2.2.2.

The emissions of carbon monoxide and the emissions of the sum of hydrocarbons and oxides of nitrogen obtained shall for stage II not exceed the amount shown in the table below:



Stage II (1)

Class

Carbon monoxide (CO) (g/kWh)

Sum of hydrocarbons and oxides of nitrogen (g/kWh)

HC + NOx

SH:1

805

50

SH:2

805

50

SH:3

603

72

SN:1

610

50,0

SN:2

610

40,0

SN:3

610

16,1

SN:4

610

12,1

(1)   See Annex 4, Appendix 4: deterioration factors included.

The NOx emissions for all engine classes must not exceed 10 g/kWh.

4.2.2.3.

Notwithstanding the definition of ‘hand-held engine’ in Article 2 of this Directive two-stroke engines used to power snowthrowers only have to meet SH:1, SH:2 or SH:3 standards.

▼B

4.3.   Installation on the mobile machinery

The engine installation on the mobile machinery shall comply with the restrictions set out in the scope of the type-approval. Additionally the following characteristics in respect to the approval of the engine always must be met:

4.3.1.

intake depression shall not exceed that specified for the approved engine in Annex II, Appendix 1 or 3 respectively;

4.3.2.

exhaust back pressure shall not exceed that specified for the approved engine in Annex II, Appendix 1 or 3 respectively.

5.   SPECIFICATION OF CONFORMITY OF PRODUCTION ASSESSMENTS

5.1.

With regard to the verification of the existence of satisfactory arrangements and procedures for ensuring effective control of production conformity before granting type-approval, the approval authority must also accept the manufacturer's registration to harmonized standard EN 29002 (whose scope covers the engines concerned) or an equivalent accreditation standard as satisfying the requirements. The manufacturer must provide details of the registration and undertake to inform the approval authority of any revisions to its validity or scope. In order to verify that the requirements of section 4.2 are continuously met, suitable controls of the production shall be carried out.

5.2.

The holder of the approval shall in particular:

5.2.1.

ensure existence of procedures for the effective control of the quality of the product;

5.2.2.

have access to the control equipment necessary for checking the conformity to each approved type;

5.2.3.

ensure that data of test results are recorded and that annexed documents shall remain available for a period to be determined in accordance with the approval authority;

5.2.4.

analyse the results of each type of test, in order to verify and ensure the stability of the engine characteristics, making allowance for variations in the industrial production process;

5.2.5.

ensure that any sampling of engines or components giving evidence of non-conformity with the type of test considered shall give rise to another sampling and another test. All the necessary steps shall be taken to re-establish the conformity of the corresponding production.

5.3.

The competent authority which has granted approval may at any time verify the conformity control methods applicable to each production unit.

5.3.1.

In every inspection, the test books and production survey record shall be presented to the visiting inspector.

5.3.2.

When the quality level appears unsatisfactory or when it seems necessary to verify the validity of the data presented in application of section 4.2, the following procedure is adopted:

5.3.2.1.

an engine is taken from the series and subjected to the test described in Annex III. The emissions of the carbon monoxide, the emissions of the hydrocarbons, the emissions of the oxides of nitrogen and the emissions of particulates obtained shall not exceed the amounts shown in the table in section 4.2.1, subject to the requirements of section 4.2.2, or those shown in the table in section 4.2.3 respectively;

5.3.2.2.

if the engine taken from the series does not satisfy the requirements of section 5.3.2.1 the manufacturer may ask for measurements to be performed on a sample of engines of the same specification taken from the series and including the engine originally taken. The manufacturershall determine the size n of the sample in agreement with the technical service. Engines other than the engine originally taken shall be subjected to a test. The arithmetical mean (

image

) of the results obtained with the sample shall then be determined for each pollutant. The production of the series shall then be deemed to confirm if the following condition is met:

image  ( 15 )

where:

L is the limit value laid down in section 4.2.1/4.2.3 for each pollutant considered,

k is a statistical factor depending on n and given in the following table:



n

2

3

4

5

6

7

8

9

10

k

0,973

0,613

0,489

0,421

0,376

0,342

0,317

0,296

0,279



n

11

12

13

14

15

16

17

18

19

k

0,265

0,253

0,242

0,233

0,224

0,216

0,210

0,203

0,198

if n ≥ 20,

image

5.3.3.

The approval authority or the technical service responsible for verifying the conformity of production shall carry out tests on engines which have been run-in partially or completely, according to the manufacturer's specifications.

5.3.4.

The normal frequency of inspections authorized by the competent authority shall be one per year. If the requirements of section 5.3.2 are not met, the competent authority shall ensure that all necessary steps are taken to re-establish the conformity of production as rapidly as possible.

6.   PARAMETERS DEFINING THE ENGINE FAMILY

The engine family may be defined by basic design parameters which must be common to engines within the family. In some cases there may be interaction of parameters. These effects must also be taken into consideration to ensure that only engines with similar exhaust emission characteristics are included within an engine family.

In order that engines may be considered to belong to the same engine family, the following list of basic parameters must be common:

6.1.

Combustion cycle:

 2 cycle

 4 cycle

6.2.

Cooling medium:

 air

 water

 oil

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6.3.

Individual cylinder displacement, within 85 % and 100 % of the largest displacement within the engine family

6.4.

Method of air aspiration

6.5.

Fuel type

 Diesel

 Petrol.

6.6.

Combustion chamber type/design

6.7.

Valve and porting — configurations, size and number

6.8.

Fuel system

For diesel:

 pump-line injector

 in-line pump

 distributor pump

 single element

 unit injector.

For petrol:

 carburettor

 port fuel injection

 direct injection.

6.9.

Miscellaneous features

 Exhaust gas recirculation

 Water injection/emulsion

 Air injection

 Charge cooling system

 Ignition type (compression, spark).

6.10.

Exhaust after-treatment

 Oxidation catalyst

 Reduction catalyst

 Three way catalyst

 Thermal reactor

 Particulate trap.

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7.   CHOICE OF THE PARENT ENGINE

7.1.

The parent engine of the family shall be selected using the primary criteria of the highest fuel delivery per stroke at the declared maximum torque speed. In the event that two or more engines share this primary criteria, the parent engine shall be selected using the secondary criteria of highest fuel delivery per stroke at rated speed. Under certain circumstances, the approval authority may conclude that the worst case emission rate of the family can best be characterized by testing a second engine. Thus, the approval authority may select an additional engine for test based upon features which indicate that it may have the highest emission levels of the engines within that family.

7.2.

If engines within the family incorporate other variable features which could be considered to affect exhaust emissions, these features must also be identified and taken into account in the selection of the parent engine.

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8.   TYPE APPROVAL REQUIREMENTS FOR STAGES IIIB AND IV

8.1.

This section shall apply to the type-approval of electronically controlled engines, which uses electronic control to determine both the quantity and timing of injecting fuel (hereafter ‘engine’). This section shall apply irrespective of the technology applied to such engines to comply with the emission limit values set out in sections 4.1.2.5 and 4.1.2.6 of this Annex.

8.2.

Definitions

For the purpose of this section, the following definitions shall apply:

8.2.1.

emission control strategy’ means a combination of an emission control system with one base emission control strategy and with one set of auxiliary emission control strategies, incorporated into the overall design of an engine or non-road mobile machinery into which the engine is installed.

8.2.2.

reagent’ means any consumable or non-recoverable medium required and used for the effective operation of the exhaust after-treatment system.

8.3.

General requirements

8.3.1.    Requirements for base emission control strategy

8.3.1.1.

The base emission control strategy, activated throughout the speed and torque operating range of the engine, shall be designed as to enable the engine to comply with the provisions of this Directive

8.3.1.2.

Any base emission control strategy that can distinguish engine operation between a standardised type approval test and other operating conditions and subsequently reduce the level of emission control when not operating under conditions substantially included in the type approval procedure is prohibited.

8.3.2.    Requirements for auxiliary emission control strategy

8.3.2.1.

An auxiliary emission control strategy may be used by an engine or a non-road mobile machine, provided that the auxiliary emission control strategy, when activated, modifies the base emission control strategy in response to a specific set of ambient and/or operating conditions but does not permanently reduce the effectiveness of the emission control system:

(a) where the auxiliary emission control strategy is activated during the type approval test, sections 8.3.2.2 and 8.3.2.3 shall not apply;

(b) where the auxiliary emission control strategy is not activated during the type approval test, it must be demonstrated that the auxiliary emission control strategy is active only for as long as required for the purposes identified in section 8.3.2.3.

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8.3.2.2.

The control conditions applicable for Stage IIIB and Stage IV are the following:

(a) Control conditions for Stage III B engines:

(i) an altitude not exceeding 1 000 metres (or equivalent atmospheric pressure of 90 kPa);

(ii) an ambient temperature within the range 275 K to 303 K (2 °C to 30 °C);

(iii) the engine coolant temperature above 343 K (70 °C).

Where the auxiliary emission control strategy is activated when the engine is operating within the control conditions set out in points (i), (ii) and (iii), the strategy shall only be activated exceptionally.

(b) Control conditions for Stage IV engines:

(i) the atmospheric pressure greater than or equal to 82,5 kPa;

(ii) 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: image , where: Tc is the calculated ambient air temperature, K and P b is the atmospheric pressure, kPa;

(iii) the engine coolant temperature above 343 K (70 °C).

Where the auxiliary emission control strategy is activated when the engine is operating within the control conditions set out in points (i), (ii) and (iii), the strategy shall only be activated when demonstrated to be necessary for the purposes identified in Section 8.3.2.3. and approved by the Type Approval authority.

(c) Cold temperature operation

By derogation from the requirements of point (b), an auxiliary emission control strategy may be used on a Stage IV engine equipped with exhaust gas recirculation (EGR) when the ambient temperature is below 275 K (2 °C) and if one of the two following criteria is met:

(i) intake manifold temperature is less than or equal to the temperature defined by the following equation: image , where: IMT c is the calculated intake manifold temperature, K and P IM is the absolute intake manifold pressure in kPa;

(ii) engine coolant temperature is less than or equal to the temperature defined by the following equation: image , where: ECT c is the calculated engine coolant temperature, K and P IM is the absolute intake manifold pressure, kPa.

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8.3.2.3.

An auxiliary emission control strategy may be activated in particular for the following purposes:

(a) by onboard signals, for protecting the engine (including air-handling device protection) and/or non-road mobile machine into which the engine is installed from damage;

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(b) for operational safety reasons;

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(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.

8.3.2.4.

The manufacturer shall demonstrate to the technical service at the time of the type-approval test that the operation of any auxiliary emission strategy complies with the provisions of section 8.3.2. The demonstration shall consist of an evaluation of the documentation referred to in section 8.3.3.

8.3.2.5.

Any operation of an auxiliary emission control strategy not compliant with section 8.3.2 is prohibited.

8.3.3.    Documentation requirements

8.3.3.1.

The manufacturer shall provide an information folder accompanying the application for type-approval at the time of submission to the technical service, which ensures access to any element of design and emission control strategy and the means by which the auxiliary strategy directly or indirectly controls the output variables. The information folder shall be made available in two parts:

(a) the documentation package, annexed to the application for type-approval, shall include a full overview of the emission control strategy. Evidence shall be provided that all outputs permitted by a matrix, obtained from the range of control of the individual unit inputs, have been identified. This evidence shall be attached to the information folder as referred to in Annex II;

(b) the additional material, presented to the technical service but not annexed to the application for type-approval, shall include all the modified parameters by any auxiliary emission control strategy and the boundary conditions under which this strategy operates and in particular:

(i) a description of the control logic and of timing strategies and switch points, during all modes of operation for the fuel and other essential systems, resulting in effective emissions control (such as exhaust gas recirculation system (EGR) or reagent dosing);

(ii) a justification for the use of any auxiliary emission control strategy applied to the engine, accompanied by material and test data, demonstrating the effect on exhaust emissions. This justification may be based on test data, sound engineering analysis, or a combination of both;

(iii) a detailed description of algorithms or sensors (where applicable) used for identifying, analysing, or diagnosing incorrect operation of the NOx control system;

(iv) the tolerance used to satisfy the requirements in section 8.4.7.2, regardless of the used means.

8.3.3.2.

The additional material referred to in point (b) of section 8.3.3.1 shall be treated as strictly confidential. It shall be made available to the type-approval authority on request. The type-approval authority shall treat this material as confidential.

8.4.

►M8  Requirements on NOx control measures for Stage IIIB engines  ◄

8.4.1.

The manufacturer shall provide information that fully describes the functional operational characteristics of the NOx control measures using the documents set out in section 2 of Appendix 1 to Annex II and in section 2 of Appendix 3 to Annex II.

8.4.2.

If the emission control system requires a reagent, 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 section 2.2.1.13 of Appendix 1 and in section 2.2.1.13 of Appendix 3 to Annex II.

8.4.3.

The engine emission control strategy shall be operational under all environmental conditions regularly pertaining in the territory of the Community, especially at low ambient temperatures.

8.4.4.

The manufacturer shall demonstrate that the emission of ammonia during the applicable emission test cycle of the type approval procedure, when a reagent is used, does not exceed a mean value of 25 ppm.

8.4.5.

If separate reagent containers are installed on or connected to a non-road mobile machine, 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.

8.4.6.

Use and maintenance requirements

8.4.6.1.

The type approval shall be made conditional, in accordance with Article 4(3), upon providing to each operator of non-road mobile machinery written instructions comprising the following:

(a) detailed warnings, explaining possible malfunctions generated by incorrect operation, use or maintenance of the installed engine, accompanied by respective rectification measures;

(b) detailed warnings on the incorrect use of the machine resulting in possible malfunctions of the engine, accompanied by respective rectification measures;

(c) information on the correct use of the reagent, accompanied by an instruction on refilling the reagent between normal maintenance intervals;

(d) a clear warning, that the type-approval certificate, issued for the type of engine concerned, is valid only when all of the following conditions are met:

(i) the engine is operated, used and maintained in accordance with the instructions provided;

(ii) prompt action has been taken for rectifying incorrect operation, use or maintenance in accordance with the rectification measures indicated by the warnings referred to in point (a) and (b);

(iii) no deliberate misuse of the engine has taken place, in particular deactivating or not maintaining an EGR or reagent dosing system.

The instructions shall be written in a clear and non-technical manner using the same language as is used in the operator’s manual on non-road mobile machinery or engine.

8.4.7.

Reagent control (where applicable)

8.4.7.1.

The type approval shall be made conditional, in accordance with the provisions of section 3 of Article 4, upon providing indicators or other appropriate means, according to the configuration of the non-road mobile machinery, informing the operator on:

(a) the amount of reagent remaining in the reagent storage container and by an additional specific signal, when the remaining reagent is less than 10 % of the full container’s capacity;

(b) when the reagent container becomes empty, or almost empty;

(c) when the reagent in the storage tank does not comply with the characteristics declared and recorded in section 2.2.1.13 of Appendix 1 and section 2.2.1.13 of Appendix 3 to Annex II, according to the installed means of assessment.

(d) when the dosing activity of the reagent is interrupted, in cases other than those executed by the engine ECU or the dosing controller, reacting to engine operating conditions where the dosing is not required, provided that these operating conditions are made available to the type approval authority.

8.4.7.2.

By the choice of the manufacturer the requirements of reagent compliance with the declared characteristics and the associated NOx emission tolerance shall be satisfied by one of the following means:

(a) direct means, such as the use of a reagent quality sensor.

(b) indirect means, such as the use of a NOx sensor in the exhaust to evaluate reagent effectiveness.

(c) any other means, provided that its efficacy is at least equal to the one resulting by the use of the means of points (a) or (b) and the main requirements of this section are maintained.

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8.5.

Requirements on NOx control measures for Stage IV engines

8.5.1.

The manufacturer shall provide information that fully describes the functional operational characteristics of the NOx control measures using the documents set out in Section 2 of Appendix 1 to Annex II and in Section 2 of Appendix 3 to Annex II.

8.5.2.

The engine emission control strategy shall be operational under all environmental conditions regularly pertaining in the territory of the Union, especially at low ambient temperatures. This requirement is not restricted to the conditions under which a base emission control strategy must be used as specified in Section 8.3.2.2.

8.5.3.

When a reagent is used, the manufacturer shall demonstrate that the emission of ammonia over the hot NRTC or NRSC at the type approval procedure does not exceed a mean value of 10 ppm.

8.5.4.

If reagent containers are installed on or connected to a non-road mobile machine, 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.

8.5.5.

The type approval shall be made conditional, in accordance with Article 4(3), upon the following:

(a) providing to each operator of non-road mobile machinery written maintenance instructions;

(b) providing to the OEM installation documents for the engine, inclusive of the emission control system that is part of the approved engine type;

(c) providing to the OEM instructions for an operator warning system, an inducement system and (where applicable) reagent freeze protection;

(d) the application of provisions on operator instruction, installation documents, operator warning system, inducement system and reagent freeze protection that are set out in Appendix 1 to this Annex.

8.6.

Control area for stage IV

In accordance with paragraph 4.1.2.7 of this Annex, for stage IV engines the emissions sampled within the control area defined in Annex I Appendix 2 shall not exceed by more than 100 % the limit values of the emissions in table 4.1.2.6 of this Annex.

8.6.1.   Demonstration requirements

The technical service shall select up to three random load and speed points within the control area for testing. The technical service shall also determine a random running order of the test points. The test shall be run in accordance with the principal requirements of the NRSC, but each test point shall be evaluated separately. Each test point shall meet the limit values defined in Section 8.6.

8.6.2.   Test requirements

The test shall be carried out immediately after the discrete mode test cycles as described in Annex III.

However, where the manufacturer, pursuant to point 1.2.1 of Annex III, chooses to use the procedure of Annex 4B to UNECE Regulation No 96.03 series of amendments the test shall be carried out as follows:

(a) the test shall be carried out immediately after the discrete mode test cycles as described in points (a) to (e) of paragraph 7.8.1.2 of Annex 4B to UNECE Regulation No 96.03 series of amendments but before the post test procedures (f) or after the Ramped Modal Cycle (RMC) test in points (a) to (d) of paragraph 7.8.2.2 of Annex 4B to UNECE Regulation No 96.03 series of amendments but before the post test procedures (e) as relevant;

(b) the tests shall be carried out as required in points (b) to (e) of paragraph 7.8.1.2 of Annex 4B to UNECE Regulation No 96.03 series of amendments using the multiple filter method (one filter for each test point) for each of the three chosen test points;

(c) a specific emission value shall be calculated (in g/kWh) for each test point;

(d) emissions values may be calculated on a molar basis using Appendix A.7 or on a mass basis using Appendix A.8, but should be consistent with the method used for the discrete mode or RMC test;

(e) for gaseous summation calculations the Nmode shall be set to 1 and a weighting factor of 1 shall be used;

(f) for particulate calculations use the multiple filter method and for summation calculations Nmode shall be set to 1 and a weighting factor of 1 shall be used.

8.7.

Verifying Emissions of Crankcase Gases for stage IV engines

8.7.1.

No crankcase emissions shall be discharged directly into the ambient atmosphere, with the exception given in paragraph 8.7.3.

8.7.2.

Engines may discharge crankcase emissions into the exhaust upstream of any after treatment device during all operation.

8.7.3.

Engines equipped with turbochargers, pumps, blowers, or superchargers for air induction may discharge crankcase emissions to the ambient atmosphere. In this case the crankcase emissions shall be added to the exhaust emissions (either physically or mathematically) during all emission testing in accordance with paragraph 8.7.3.1 of this section.

8.7.3.1.   Crankcase emissions

No crankcase emissions shall be discharged directly into the ambient atmosphere, with the following exception: engines equipped with turbochargers, pumps, blowers, or superchargers for air induction may discharge crankcase emissions to the ambient atmosphere if the emissions are added to the exhaust emissions (either physically or mathematically) during all emission testing. Manufacturers taking advantage of this exception shall install the engines so that all crankcase emission can be routed into the emissions sampling system. For the purpose of this paragraph, crankcase emissions that are routed into the exhaust upstream of exhaust after treatment during all operation are not considered to be discharged directly into the ambient atmosphere.

Open crankcase emissions shall be routed into the exhaust system for emission measurement, as follows:

(a) the tubing materials shall be smooth-walled, electrically conductive, and not reactive with crankcase emissions. Tube lengths shall be minimised as far as possible;

(b) the number of bends in the laboratory crankcase tubing shall be minimised, and the radius of any unavoidable bend shall be maximised;

(c) the laboratory crankcase exhaust tubing shall meet the engine manufacturer’s specifications for crankcase back pressure;

(d) the crankcase exhaust tubing shall connect into the raw exhaust downstream of any after treatment system, downstream of any installed exhaust restriction, and sufficiently upstream of any sample probes to ensure complete mixing with the engine’s exhaust before sampling. The crankcase exhaust tube shall extend into the free stream of exhaust to avoid boundary-layer effects and to promote mixing. The crankcase exhaust tube’s outlet may orient in any direction relative to the raw exhaust flow.

9.   SELECTION OF ENGINE POWER CATEGORY

9.1. For the purposes of establishing the conformity of variable speed engines defined by Section 1.A.(i) and 1.A.(iv) of this Annex with the emission limits given in Section 4 of this Annex they shall be allocated to power bands on the basis of the highest value of the net power measured in accordance with paragraph 2.4 of Annex I.

9.2. For other engine types rated net power shall be used.




Appendix 1

Requirements to ensure the correct operation of NOx control measures

1.    Introduction

This Annex sets out the requirements to ensure the correct operation of NOx control measures. It includes requirements for engines that rely on the use of a reagent in order to reduce emissions.

1.1.    Definitions and abbreviations

‘NOx Control Diagnostic system (NCD)’ means a system on-board the engine which has the capability of:

(a) detecting a NOx Control Malfunction;

(b) identifying the likely cause of NOx control malfunctions by means of information stored in computer memory and/or communicating that information off-board.

‘NOx Control Malfunction (NCM)’ means an attempt to tamper with the NOx control system of an engine or a malfunction affecting that system that might be due to tampering, that is considered by this Directive as requiring the activation of a warning or an inducement system once detected.

‘Diagnostic trouble code (DTC)’ means a numeric or alphanumeric identifier which identifies or labels a NOx Control Malfunction.

‘Confirmed and active DTC’ means a DTC that is stored during the time the NCD system concludes that a malfunction exists.

‘Scan-tool’ means an external test equipment used for off-board communication with the NCD system.

‘NCD engine family’ means a manufacturer’s grouping of engine systems having common methods of monitoring/diagnosing NCMs.

2.    General requirements

The engine system shall be equipped with a NOx Control Diagnostic system (NCD) able to identify the NOx control malfunctions (NCMs) considered by this Annex. Any engine system covered by this section 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 useful life period as specified in Section 3.1 of Appendix 5 to Annex III to this Directive show some deterioration in the performance and the sensitivity of the NOx Control Diagnostic system (NCD), such that the thresholds specified in this Annex may be exceeded before the warning and/or inducement systems are activated.

2.1.    Required information

2.1.1.

If the emission control system requires a reagent, 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 Section 2.2.1.13 of Appendix 1 and in Section 2.2.1.13 of Appendix 3 to Annex II.

2.1.2.

Detailed written information fully describing the functional operation characteristics of the operator warning system in paragraph 4 and of the operator inducement system in paragraph 5 shall be provided to the approval authority at the time of type-approval.

2.1.3.

The 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, when installed in the machine, 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 system (software, hardware, and communication) needed for the correct installation of the engine system in the machine.

2.2.    Operating conditions

2.2.1.

The NOx control diagnostic system shall be operational at the following conditions:

(a) ambient temperatures between 266 K and 308 K (– 7 °C and 35 °C);

(b) all altitudes below 1 600  m;

(c) engine coolant temperatures above 343 K (70 °C).

This section shall not apply in the case of monitoring for reagent level in the storage tank where monitoring shall be conducted under all conditions where measurement is technically feasible (for instance, under all conditions when a liquid reagent is not frozen).

2.3.    Reagent freeze protection

2.3.1.

It is permitted to use a heated or a non-heated reagent tank and dosing system. A heated system shall meet the requirements of paragraph 2.3.2. A non-heated system shall meet the requirements of paragraph 2.3.3.

2.3.1.1.

The use of a non-heated reagent tank and dosing system shall be indicated in the written instructions to the owner of the machine.

2.3.2.

Reagent tank and dosing system

2.3.2.1.

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.

2.3.2.2.

Design criteria for a heated system

A heated system shall be so designed that it meets the performance requirements set out in this section when tested using the procedure defined.

2.3.2.2.1. 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.

2.3.2.2.2. After the soak period in paragraph 2.3.2.2.1, the machine/engine shall be started and operated at 266 K (– 7 °C) ambient temperature or lower as follows:

(a) 10 to 20 minutes idling,

(b) followed by up to 50 minutes at no more than 40 per cent of rated load.

2.3.2.2.3. At the conclusion of the test procedure in paragraph 2.3.2.2.2, the reagent dosing system shall be fully functional.

2.3.2.3.

Evaluation of the design criteria may be performed in a cold chamber test cell using an entire machine or parts representative of those to be installed on a machine or based on field tests.

2.3.3.

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

2.3.3.1.

The operator warning system described in paragraph 4 shall be activated if no reagent dosing occurs at an ambient temperature ≤ 266 K (– 7 °C).

2.3.3.2.

The severe inducement system described in paragraph 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).

2.4.    Diagnostic requirements

2.4.1.

The NOx Control Diagnostic system (NCD) shall be able to identify the NOx control malfunctions (NCMs) 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.

2.4.2.

Requirements for recording Diagnostic Trouble Codes (DTCs)

2.4.2.1.

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

2.4.2.2.

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 paragraph 4.

2.4.2.3.

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 machine), 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.).

2.4.3.

Requirements for erasing Diagnostic trouble codes (DTCs):

(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;

(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.

2.4.4.

An NCD system shall not be programmed or otherwise designed to partially or totally deactivate based on age of the machine 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.

2.4.5.

Any reprogrammable computer codes or operating parameters of the NCD system shall be resistant to tampering.

2.4.6.

NCD engine family

The manufacturer is responsible for determining the composition of an NCD engine family. Grouping engine systems within an NCD engine family shall be based on good engineering judgement 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.

2.4.6.1.   Parameters defining an NCD engine family

An NCD engine family is characterised by basic design parameters that shall be common to engine systems within the family.

In order that engine systems are considered to belong to the same NCD engine family, the following list of basic parameters shall be similar:

(a) emission control systems;

(b) methods of NCD monitoring;

(c) criteria for NCD monitoring;

(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 system 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 flow, etc.); or their similarities are based on good engineering judgement.

3.    Maintenance requirements

3.1. The manufacturer shall furnish or cause to be furnished to all owners of new engines or machines written instructions about the emission control system and its correct operation.

These instructions shall state that if the emission control system is not functioning correctly, the operator will be informed of a problem by the operator warning system and that activation of the operator inducement system as a consequence of ignoring this warning will result in the machine being unable to conduct its mission.

3.2. The instructions shall indicate requirements for the proper use and maintenance of engines in order to maintain their emissions performance, including where relevant the proper use of consumable reagents.

3.3. The instructions shall be written in a clear and non-technical manner using the same language as is used in the operator’s manual on the non-road mobile machinery or engine.

3.4. The instructions shall specify whether consumable reagents have to be refilled by the operator between normal maintenance intervals. The instructions shall also specify the required reagent quality. They shall indicate how the operator should refill the reagent tank. The information shall also indicate a likely rate of reagent consumption for the engine type and how often it should be replenished.

3.5. The instructions shall state that use of, and refilling of, a required reagent of the correct specifications is essential in order for the engine to comply with the requirements for the issuing of the type approval for that engine type.

3.6. The instructions shall explain how the operator warning and inducement systems work. In addition, the consequences, in terms of performance and fault logging, of ignoring the warning system and not replenishing the reagent or rectifying the problem shall be explained.

4.    Operator warning system

4.1. The machine 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 of the type specified in paragraph 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 paragraph 5 has been activated.

4.2. The warning shall not be the same as the warning used for the purposes of signalling a malfunction or other engine maintenance, though it may use the same warning system.

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

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

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

 the conditions under which machine 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.

4.4. 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.

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

4.6. 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.

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

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

4.9. As part of the application for type-approval under this Directive, the manufacturer shall demonstrate the operation of the operator warning system, as specified in Section 11.

5.    Operator inducement system

5.1.

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

5.1.1. a two-stage inducement system starting with a low-level inducement (performance restriction) followed by a severe inducement (effective disablement of machine operation);

5.1.2. a one-stage severe inducement system (effective disablement of machine operation) activated under the conditions of a low-level inducement system as specified in paragraphs 6.3.1, 7.3.1, 8.4.1, and 9.4.1.

5.2.

Upon prior approval of the type approval authority, the engine may be fitted with a means to disable the operator inducement during an emergency declared by a national or regional government, their emergency services or their armed services.

5.3.

Low-level inducement system

5.3.1. The low-level inducement system shall be activated after any of the conditions specified in paragraphs 6.3.1, 7.3.1, 8.4.1, and 9.4.1 has occurred.

5.3.2. The low-level inducement system shall gradually reduce the maximum available engine torque across the engine speed range by at least 25 per cent between the peak torque speed and the governor breakpoint as shown in Figure 1. The rate of torque reduction shall be a minimum of 1 % per minute.

5.3.3. Other inducement measures that are demonstrated to the type approval authority as having the same or greater level of severity may be used.

Figure 1

Low-level inducement torque reduction scheme

image

5.4.

Severe inducement system

5.4.1. The severe inducement system shall be activated after any of the conditions specified in paragraphs 2.3.3.2, 6.3.2, 7.3.2, 8.4.2, and 9.4.2 has occurred.

5.4.2. The severe inducement system shall reduce the machine’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:

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 1 by a minimum of 1 per cent per minute to 50 per cent of maximum torque or lower and engine speed shall be gradually reduced to 60 per cent of rated speed or lower within the same time period as the torque reduction, as shown in Figure 2.

Figure 2 Severe inducement torque reduction scheme image

5.4.2.2. Other inducement measures that are demonstrated to the type approval authority as having the same or greater level of severity may be used.

5.5.

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

 is active for no longer than 30 minutes, and

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

5.6.

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.

5.7.

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

5.8.

As part of the application for type-approval under this Directive, the manufacturer shall demonstrate the operation of the operator inducement system, as specified in Section 11.

6.    Reagent availability

6.1.    Reagent level indicator

The machine 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 paragraph 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.

6.2.    Activation of the operator warning system

6.2.1. The operator warning system specified in paragraph 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.

6.2.2. 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’).

6.2.3. 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 paragraph 6.3 comes into effect than when it was first activated.

6.2.4. 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.

6.2.5. 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.

6.3.    Activation of the operator inducement system

6.3.1. The low-level inducement system described in paragraph 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.

6.3.2. The severe inducement system described in paragraph 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.

6.3.3. Except to the extent permitted by paragraph 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.

7.    Reagent quality monitoring

7.1.

The engine or machine shall include a means of determining the presence of an incorrect reagent on board a machine.

7.1.1. The manufacturer shall specify a minimum acceptable reagent concentration CDmin, which results in tailpipe NOx emissions not exceeding a threshold of 0,9 g/kWh.

7.1.1.1. The correct value of CDmin shall be demonstrated during type approval by the procedure defined in Section 12 and recorded in the extended documentation package as specified in Section 8 of Annex I.

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

7.1.3. 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.

7.1.3.1. 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.

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

7.2.

Activation of the operator warning system

When the monitoring system confirms that the reagent quality is incorrect, the operator warning system described in paragraph 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’).

7.3.

Activation of the operator inducement system

7.3.1. The low-level inducement system described in paragraph 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 described in paragraph 7.2.

7.3.2. The severe inducement system described in paragraph 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 in described paragraph 7.2.

7.3.3. 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.

8.    Reagent dosing activity

8.1.

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

8.2.

Reagent dosing activity counter

8.2.1. 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 machine operating conditions are such that the machine’s emission performance does not require reagent dosing.

8.2.1.1. 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.

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

8.3.

Activation of the operator warning system

The operator warning system described in paragraph 4 shall be activated in the case of interruption of dosing which sets the dosing activity counter in accordance with paragraph 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’).

8.4.

Activation of the operator inducement system

8.4.1. The low-level inducement system described in paragraph 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 paragraph 8.3.

8.4.2. The severe inducement system described in paragraph 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 paragraph 8.3.

8.4.3. 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.

9.    Monitoring failures that may be attributed to tampering

9.1.

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:

(i) impeded EGR valve;

(ii) failures of the NOx Control Diagnostic (NCD) system, as described in paragraph 9.2.1.

9.2.

Monitoring requirements

9.2.1.

The NOx 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 mentioned in paragraphs 6 to 8 (component monitoring).

A non-exhaustive list of sensors that affect the diagnostic capability are those directly measuring NOx concentration, urea quality sensors, ambient sensors and sensors used for monitoring reagent dosing activity, reagent level, or reagent consumption.

9.2.2.

EGR valve counter

9.2.2.1. A specific 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.

9.2.2.1.1. Optionally, the manufacturer may group the impeded EGR valve failure together with one or more of the failures listed in Sections 7, 8 and 9.2.3 into a single counter.

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

9.2.3.

NCD system counter(s)

9.2.3.1. A specific counter shall be attributed to each of the monitoring failures considered in paragraph 9.1 (ii). 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. Grouping of several faults into a single counter is permitted.

9.2.3.1.1. Optionally, the manufacturer may group the NCD system failure together with one or more of the failures listed in Sections 7, 8 and 9.2.2 into a single counter.

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

9.3.

Activation of the operator warning system

The operator warning system described in paragraph 4 shall be activated in case any of the failures specified in paragraph 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 the reason of the warning (for example ‘reagent dosing valve disconnected’, or ‘critical emission failure’).

9.4.

Activation of the operator inducement system

9.4.1.

The low-level inducement system described in paragraph 5.3 shall be activated if a failure specified in paragraph 9.1 is not rectified within a maximum of 36 engine operating hours after the activation of the operator warning system in paragraph 9.3.

9.4.2.

The severe inducement system described in paragraph 5.4 shall be activated if a failure specified in paragraph 9.1 is not rectified within a maximum of 100 engine operating hours after the activation of the operator warning system in paragraph 9.3.

9.4.3.

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.

9.5.

As an alternative to the requirements in paragraph 9.2, the manufacturer may use a NOx sensor located in the exhaust gas. In this case,

 the NOx value shall not exceed a threshold of 0,9 g/kWh,

 use of a single failure ‘high NOx — root cause unknown’ may be used,

 Section 9.4.1 shall read ‘within 10 engine hours’,

 Section 9.4.2 shall read ‘within 20 engine hours’.

10.    Demonstration requirements

10.1.    General

The compliance to the requirements of this Annex shall be demonstrated during type-approval by performing, as illustrated in Table 1 and specified in this section:

(a) a demonstration of the warning system activation;

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

(c) a demonstration of the severe inducement system activation.



Table 1

Illustration of the content of the demonstration process according to the provisions in Sections 10.3 and 10.4 of this Appendix

Mechanism

Demonstration elements

Warning system activation specified in Section 10.3 of this Appendix

— Two activation tests (incl. lack of reagent)

— Supplementary demonstration elements, as appropriate

Low-level inducement activation specified in Section 10.4 of this Appendix

— Two activation tests (incl. lack of reagent)

— Supplementary demonstration elements, as appropriate

— One torque reduction test

Severe inducement activation specified in Section 10.4.6 of this Appendix

— Two activation tests (incl. lack of reagent)

— Supplementary demonstration elements, as appropriate

10.2.    Engine families And NCD engine families

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 Annex are similar within the family.

10.2.1.

The demonstration that the monitoring systems for other members of the NCD family are similar may be performed by presenting to the approval authorities such elements as algorithms, functional analyses, etc.

10.2.2.

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.

10.2.3.

In the case where engines of an engine family belong to an NCD engine family that has already been type-approved according to paragraph 10.2.1 (Figure 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 Annex are similar within the considered engine and NCD engine families.

image

10.3.    Demonstration of the warning system activation

10.3.1.

The compliance of the warning system activation shall be demonstrated by performing two tests: lack of reagent, and one failure category considered in Section 7 to 9 of this Annex.

10.3.2.

Selection of the failures to be tested

10.3.2.1.

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 according to the requirements of Section 7 of this Annex

10.3.2.2.

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 of this Annex the selection shall be performed according to the following requirements:

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

10.3.2.2.2. The failure to be considered in the test shall be selected by the approval authority from this list referred to in Section 10.3.2.2.1.

10.3.3.

Demonstration

10.3.3.1.

For the purpose of this demonstration, a separate test shall be performed for each of the failures considered in Section 10.3.1.

10.3.3.2.

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

10.3.3.3.

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

10.3.3.4.

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

10.3.3.5.

Detection of failures other than lack of reagent

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

10.3.3.5.1. The NCD system shall respond to the introduction of a failure selected as appropriate by the type 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 paragraph 10.3.3.7 of this Appendix.

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 three 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.

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 according to Section 10.3.2.1, the warning system has been properly activated and the DTC for the selected failure has got the ‘confirmed and active’ status.

10.3.3.6.

Detection in case of lack of reagent

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

10.3.3.6.1. 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 per cent of the nominal capacity of the tank.

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

(a) the warning system has been activated with a reagent availability greater or equal to 10 per cent of the capacity of the reagent tank, and

(b) the ‘continuous’ warning system has been activated with a reagent availability greater or equal to the value declared by the manufacturer according to the provisions of Section 6 of this Annex.

10.3.3.7.

NCD test cycle

10.3.3.7.1. The NCD test cycle considered in this Section 10 for demonstrating the correct performance of the NCD system is the hot NRTC cycle.

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

(a) the requested test-cycle results in a monitor that will run in real world driving, and

(b) the applicable NCD test-cycle specified in paragraph 10.3.3.7.1 is shown to be less appropriate for the considered monitoring.

10.3.4.

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

10.4.    Demonstration of the inducement system activation

10.4.1.

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

10.4.1.1.

Any components or subsystems not physically mounted on the engine system, 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 system for that purpose, or shall be simulated, to the satisfaction of the approval authority.

10.4.1.2.

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

10.4.2.

The test sequence shall demonstrate the activation of the inducement system in case of lack of reagent and in case of one of the failures defined in Sections 7, 8, or 9 of this Annex.

10.4.3.

For the purpose of this demonstration:

(a) the approval authority shall select, in addition to the lack of reagent, one of the failures defined in Sections 7, 8 or 9 of this Annex that has been previously used in the demonstration of the warning system activation;

(b) 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;

(c) 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 Directive. Separate torque measurement during the inducement system demonstration is not required in this case;

(d) the severe inducement shall be demonstrated according to the requirements of Section 10.4.6 of this Appendix.

10.4.4.

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

10.4.4.1.

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.

10.4.5.

Demonstration test of the low level inducement system

10.4.5.1.

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.

10.4.5.2.

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

10.4.5.2.1. 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.

10.4.5.3.

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 system shall be run for the relevant number of operating hours indicated in Table 3 of this Appendix or, at the choice of the manufacturer, until the relevant counter has reached the value at which the low-level inducement system is activated.

10.4.5.4.

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 Sections 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.

10.4.6.

Demonstration test of the severe inducement system

10.4.6.1.

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.

10.4.6.2.

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

10.4.6.2.1. 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.

10.4.6.3.

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 system shall then be run for the relevant number of operating hours indicated in Table 3 of this Appendix or, at the choice of the manufacturer, until the relevant counter has reached the value at which the severe inducement system is activated.

10.4.6.4.

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

10.4.7.

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 machine in accordance with the requirements of Section 5.4, either by mounting the machine on a suitable test bed or by running it on a test track under controlled conditions.

10.4.7.1.

The machine shall be operated until the counter associated with the selected failure has reached the relevant number of operating hours indicated in Table 3 of this Appendix or, as appropriate, until either the reagent tank is empty or, has reached the level below 2,5 per cent of the nominal full capacity of the tank at which the manufacturer has chosen to activate the severe inducement system.

11.    Description of the operator warning and inducement activation and deactivation mechanisms

11.1.

To complement the requirements specified in this Annex 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.

11.2.

Activation and deactivation mechanisms of the warning system

11.2.1.

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 2 of this Appendix.



Table 2

Activation of the operator warning system

Failure type

DTC status for activation of the warning system

Poor reagent quality

confirmed and active

Interruption of dosing

confirmed and active

Impeded EGR valve

confirmed and active

Malfunction of the monitoring system

confirmed and active

NOx threshold, if applicable

confirmed and active

11.2.2.

The operator warning system shall be deactivated when the diagnostic 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.

11.2.2.1.   Requirements for erasing ‘NOx control information’

11.2.2.1.1.   Erasing/resetting ‘NOx control information’ 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 3).



Table 3

Erasing/resetting ‘NOx control information’ by a scan-tool

NOx control information

Erasable

Resetable

All DTCs

X

 

The value of the counter with the highest number of engine operating hours

 

X

The number of engine operating hours from the NCD counter(s)

 

X

11.2.2.1.2.

NOx control information shall not be erased by disconnection of the machine’s battery(s).

11.2.2.1.3.

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

11.2.2.1.4.

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

11.3.

Activation and deactivation mechanism of the operator inducement system

11.3.1.

The operator inducement system shall be activated when the warning system is active and the counter relevant to the type of NCM justifying its activation has reached the value specified in Table 4 of this Appendix.

11.3.2.

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.

11.3.3.

The operator warning and inducement systems shall be immediately activated or deactivated as appropriate according to the provisions of Section 6 of this Annex 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.

11.4.

Counter mechanism

11.4.1.   General

11.4.1.1.

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

(a) an incorrect reagent quality;

(b) an interruption of reagent dosing activity;

(c) an impeded EGR valve;

(d) a failure of the NCD system according to Section 9.1(ii) of this Annex.

11.4.1.1.1.

Optionally, the manufacturer may use one or more counters for grouping the failures indicated in Section 11.4.1.1.

11.4.1.2.

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.

11.4.1.3.

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

11.4.1.3.1.

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 Annex to that type of counters.

11.4.2.   Principle of counters mechanism

11.4.2.1.

Each of the counters shall operate as follows:

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 2.

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

(i) 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 of this Appendix or a value of greater than or equal to the counter value for severe inducement minus 30 minutes.

(ii) The counter shall be kept frozen at the value defined in Table 4 of this Appendix or a value greater than or equal to the counter value for severe inducement minus 30 minutes.

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 Section 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

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

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).

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).

11.5.

Illustration of the activation and deactivation and counter mechanisms

11.5.1.

This paragraph illustrates the activation and deactivation and counter mechanisms for some typical cases. The figures and descriptions given in paragraphs 11.5.2, 11.5.3 and 11.5.4 are provided solely for the purposes of illustration in this Annex and should not be referenced as examples of either the requirements of this Directive or as definitive statements of the processes involved. The counter hours in Figures 6 and 7 refer to the maximum severe inducement values in Table 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.

image

11.5.2.

Figure 5 illustrates the operation of the activation and deactivation mechanisms when monitoring the reagent availability for five cases:

 use case 1: the operator continues operating the machine in spite of the warning until machine operation is disabled;

 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;

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

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

image

11.5.3.

Figure 6 illustrates three cases of wrong reagent quality:

 use case 1: the operator continues operating the machine in spite of the warning until machine operation is disabled;

 repair case 1 (‘bad’ or ‘dishonest’ repair): after disablement of the machine, 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 machine operation is disabled after 2 engine operating hours;

 repair case 2 (‘good’ repair): after disablement of the machine, 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.

image

11.5.4.

Figure 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 of this Annex:

 use case 1: the operator continues operating the machine in spite of the warning until machine operation is disabled;

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

 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.

image

12.    Demonstration of the minimum acceptable reagent concentration CDmin

12.1. The manufacturer shall demonstrate the correct value of CDmin during type approval by performing the hot part of the NRTC cycle using a reagent with the concentration CDmin.

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

12.3. The pollutant emissions resulting from this test shall be lower than the NOx threshold specified in Section 7.1.1 of this Annex.




Appendix 2

Control Area requirements for stage IV engines

1.    Engine control area

The control area (see Figure 1) is defined as follows:

speed range: speed A to high speed;

where:

speed A = low speed + 15 % (high speed — low speed).

High speed and low speed as defined in Annex III or, if the manufacturer, based on the option indicated in Section 1.2.1 of Annex III, chooses to use the procedure of Annex 4B to UNECE Regulation No 96.03 series of amendments, the definition of paragraphs 2.1.33 and 2.1.37 to UNECE Regulation No 96.03 series of amendments shall be used.

If the measured engine speed A is within ± 3 % of the engine speed declared by the manufacturer, the declared engine speeds shall be used. If the tolerance is exceeded for any of the test speeds, the measured engine speeds shall be used.

2.

The following engine operating conditions shall be excluded from testing:

(a) points below 30 % of maximum torque;

(b) points below 30 % of maximum power.

The manufacturer may request that the Technical Service excludes operating points from the control area defined in Section 1 and 2 of this Appendix during the certification/type approval. Subject to the positive opinion of the Approval Authority, the Technical Service may accept this exclusion if the manufacturer can demonstrate that the engine is never capable of operating at such points when used in any machine combination.

Figure 1

Control area

image

▼B




ANNEX II

INFORMATION DOCUMENT No. …

relating to type-approval and referring to measures against the emission of gaseous and particulate pollutants from internal combustion engines to be installed in non-road mobile machinery

(Directive 97/68/EC as last amended by Directive ../…/EC)

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Appendix 1

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image

▼M6

2.   MEASURES TAKEN AGAINST AIR POLLUTION

2.1.

Device for recycling crankcase gases: yes/no ( 16 ) …

2.2.

Additional anti-pollution devices (if any, and if not covered by another heading)

2.2.1.

Catalytic converter: yes/no (16) 

2.2.1.1.

Make(s): …

2.2.1.2.

Type(s): …

2.2.1.3.

Number of catalytic converters and elements …

2.2.1.4.

Dimensions- and volume of the catalytic converter(s): …

2.2.1.5.

Type of catalytic action: …

2.2.1.6.

Total charge of precious metals: …

2.2.1.7.

Relative concentration: …

2.2.1.8.

Substrate (structure and material): …

2.2.1.9.

Cell density: …

2.2.1.10.

Type of casing for the catalytic converter(s): …

2.2.1.11.

Location of the catalytic converter(s) (place(s) and maximum/minimum distance(s) from engine): …

2.2.1.12.

Normal operating range (K): …

2.2.1.13.

Consumable reagent (where appropriate): …

2.2.1.13.1.

Type and concentration of reagent needed for catalytic action: …

2.2.1.13.2.

Normal operational temperature range of reagent: …

2.2.1.13.3.

International standard (where appropriate): …

2.2.1.14.

NOx sensor: yes/no (16) 

2.2.2.

Oxygen sensor: yes/no (16) 

2.2.2.1.

Make(s): …

2.2.2.2.

Type: …

2.2.2.3.

Location: …

2.2.3.

Air injection: yes/no (16) 

2.2.3.1.

Type (pulse air, air pump, etc.): …

2.2.4.

EGR: yes/no (16) 

2.2.4.1.

Characteristics (cooled/uncooled, high pressure/low pressure, etc.): …

2.2.5.

Particulate trap: yes/no (16) 

2.2.5.1.

Dimensions and capacity of the particulate trap: …

2.2.5.2.

Type and design of the particulate trap: …

2.2.5.3.

Location (place(s) and maximum/minimum distance(s) from engine): …

2.2.5.4.

Method or system of regeneration, description and/or drawing: …

2.2.5.5.

Normal operating temperature (K) and pressure (kPa) range: …

2.2.6.

Other systems: yes/no (16) 

2.2.6.1.

Description and operation: …

▼B

image ►(1) M8  

image ►(1) M8  

▼M8

5.   VALVE TIMING

5.1.

Maximum lift and angles of opening and closing in relation to dead centres or equivalent data: …

5.2.

Reference and/or setting ranges ( 17 )

5.3.

Variable valve timing system (if applicable and where intake and/or exhaust)

5.3.1.

Type: continuous or on/off (17) 

5.3.2.

Cam phase shift angle: …

6.   PORTING CONFIGURATION

6.1.

Position, size and number:

7.   IGNITION SYSTEM

7.1.   Ignition coil

7.1.1.

Make(s): …

7.1.2.

Type(s): …

7.1.3.

Number: …

7.2.

Spark plug(s): …

7.2.1.

Make(s): …

7.2.2.

Type(s): …

7.3.

Magneto: …

7.3.1.

Make(s): …

7.3.2.

Type(s): …

7.4.

Ignition timing: …

7.4.1.

Static advance with respect to top dead centre [crank angle degrees] …

7.4.2.

Advance curve, if applicable: …

▼B




Appendix 2

image ►(3) M8   ►(3) M8   ►(3) M8  




Appendix 3

image

image

▼M6

2.   MEASURES TAKEN AGAINST AIR POLLUTION

2.1.

Device for recycling crankcase gases: yes/no ( 18 ) …

2.2.

Additional anti-pollution devices (if any, and if not covered by another heading)

2.2.1.

Catalytic converter: yes/no (18) 

2.2.1.1.

Make(s): …

2.2.1.2.

Type(s): …

2.2.1.3.

Number of catalytic converters and elements …

2.2.1.4.

Dimensions- and volume of the catalytic converter(s): …

2.2.1.5.

Type of catalytic action: …

2.2.1.6.

Total charge of precious metals: …

2.2.1.7.

Relative concentration: …

2.2.1.8.

Substrate (structure and material): …

2.2.1.9.

Cell density: …

2.2.1.10.

Type of casing for the catalytic converter(s): …

2.2.1.11.

Location of the catalytic converter(s) (place(s) and maximum/minimum distance(s) from engine): …

2.2.1.12.

Normal operating range (K) …

2.2.1.13.

Consumable reagent (where appropriate): …

2.2.1.13.1.

Type and concentration of reagent needed for catalytic action: …

2.2.1.13.2.

Normal operational temperature range of reagent: …

2.2.1.13.3.

International standard (where appropriate): …

2.2.1.14.

NOx sensor: yes/no (18) 

2.2.2.

Oxygen sensor: yes/no (18) 

2.2.2.1.

Make(s): …

2.2.2.2.

Type: …

2.2.2.3.

Location: …

2.2.3.

Air injection: yes/no (18) 

2.2.3.1.

Type (pulse air, air pump, etc.): …

2.2.4.

EGR: yes/no (18) 

2.2.4.1.

Characteristics (cooled/uncooled, high pressure/low pressure, etc.): …

2.2.5.

Particulate trap: yes/no (18) 

2.2.5.1.

Dimensions and capacity of the particulate trap: …

2.2.5.2.

Type and design of the particulate trap: …

2.2.5.3.

Location (place(s) and maximum/minimum distance(s) from engine): …

2.2.5.4.

Method or system of regeneration, description and/or drawing: …

2.2.5.5.

Normal operating temperature (K) and pressure (kPa) range: …

2.2.6.

Other systems: yes/no (18) 

2.2.6.1.

Description and operation: …

▼B

image ►(1) M2  

image ►(6) M2   ►(6) M2   ►(6) M2   ►(6) M2   ►(6) M2   ►(6) M2  




ANNEX III

▼M2

TEST PROCEDURE FOR C.I. ENGINES

▼B

1.   INTRODUCTION

▼M6

1.1.

This Annex describes the method of determining emissions of gaseous and particulate pollutants from the engine to be tested.

The following test cycles shall apply:

 the NRSC (non-road steady cycle) appropriate for the equipment specification which shall be used for the measurement of the emissions of carbon monoxide, hydrocarbons, oxides of nitrogen and particulates for stages I, II, IIIA, IIIB and IV of engines described in points (i) and (ii) of section 1.A of Annex I, and

 the NRTC (non-road transient cycle) which shall be used for the measurement of the emissions of carbon monoxide, hydrocarbons, oxides of nitrogen and particulates for stages IIIB and IV of engines described in point (i) of section 1.A of Annex I,

 for engines intended to be used in inland waterway vessels the ISO test procedure as specified by ISO 8178-4:2002 and IMO ( 19 ) MARPOL ( 20 ) 73/78, Annex VI (NOx Code) shall be used,

 for engines intended for propulsion of railcars an NRSC shall be used for the measurement of gaseous and particulate pollutants for stage IIIA and for stage IIIB,

 for engines intended for propulsion of locomotives an NRSC shall be used for the measurement of gaseous and particulate pollutants for stage IIIA and for stage IIIB.

▼M8

1.2.

Selection of test procedure

The test shall be carried out with the engine mounted on a test bench and connected to a dynamometer.

1.2.1.   Test procedure for stages I, II, IIIA, IIIB and IV

The test shall be carried out in accordance with the procedure in this Annex or, at the choice of the manufacturer, the test procedure as specified in Annex 4B to UNECE Regulation No 96.03 series of amendments shall be applied.

In addition, the following requirements apply:

(i) durability requirements as set out in Appendix 5 to this Annex;

(ii) engine control area provisions as set out in Section 8.6 of Annex I (stage IV engines only);

(iii) CO2 reporting requirements as set out in Appendix 6 to this Annex for engines tested according to the procedure in this Annex. In case of engines tested according to the procedure in Annex 4B to UNECE Regulation No 96.03 series of amendments, Appendix 7 to this Annex shall apply;

(iv) the reference fuel in Annex V to this Directive shall be used for engines tested according to the requirements in this Annex. The reference fuel in Annex V to this Directive shall be used in case of engines tested according to the requirements in Annex 4B to UNECE Regulation No 96.03 series of amendments.

1.2.1.1. In case that the manufacturer chooses in accordance with Annex I, Section 8.6.2 to use the test procedure specified in Annex 4B to UNECE Regulation No 96.03 series of amendments for testing engines of stages I, II, IIIA or IIIB, the test cycles specified in Section 3.7.1 shall be used.

▼M3

1.3.

Measurement principle:

The engine exhaust emissions to be measured include the gaseous components (carbon monoxide, total hydrocarbons and oxides of nitrogen), and the particulates. Additionally, carbon dioxide is often used as a tracer gas for determining the dilution ratio of partial and full flow dilution systems. Good engineering practice recommends the general measurement of carbon dioxide as an excellent tool for the detection of measurement problems during the test run.

1.3.1.   NRSC test:

During a prescribed sequence of operating conditions, with the engines warmed up, the amounts of the above exhaust emissions shall be examined continuously by taking a sample from the raw exhaust gas. The test cycle consists of a number of speed and torque (load) modes, which cover the typical operating range of diesel engines. During each mode, the concentration of each gaseous pollutant, exhaust flow and power output shall be determined, and the measured values weighted. The particulate sample shall be diluted with conditioned ambient air. One sample over the complete test procedure shall be taken and collected on suitable filters.

Alternatively, a sample shall be taken on separate filters, one for each mode, and cycle-weighted results computed.

The grams of each pollutant emitted per kilowatt-hour shall be calculated as described in Appendix 3 to this Annex.

▼M6

1.3.2.    NRTC test

The prescribed transient test cycle, based closely on the operating conditions of diesel engines installed in non-road machinery, is run twice:

 the first time (cold start) after the engine has soaked to room temperature and the engine coolant and oil temperatures, after treatment systems and all auxiliary engine control devices are stabilised between 20 and 30 °C,

 the second time (hot start) after a twenty-minute hot soak that commences immediately after the completion of the cold start cycle.

During this test sequence the above pollutants shall be examined. The test sequence consists of a cold start cycle following natural or forced cool-down of the engine, a hot soak period and a hot start cycle, resulting in a composite emissions calculation. Using the engine torque and speed feedback signals of the engine dynamometer, the power shall be integrated with respect to the time of the cycle, resulting in the work produced by the engine over the cycle. The concentrations of the gaseous components shall be determined over the cycle, either in the raw exhaust gas by integration of the analyser signal in accordance with Appendix 3 to this Annex, or in the diluted exhaust gas of a CVS full-flow dilution system by integration or by bag sampling in accordance with Appendix 3 to this Annex. For particulates, a proportional sample shall be collected from the diluted exhaust gas on a specified filter by either partial flow dilution or full-flow dilution. Depending on the method used, the diluted or undiluted exhaust gas flow rate shall be determined over the cycle to calculate the mass emission values of the pollutants. The mass emission values shall be related to the engine work to give the grams of each pollutant emitted per kilowatt-hour.

Emissions (g/kWh) shall be measured during both the cold and hot start cycles. Composite weighted emissions shall be computed by weighting the cold start results 10 % and the hot start results 90 %. Weighted composite results shall meet the limits.

▼B

2.   TEST CONDITIONS

2.1.   General requirements

All volumes and volumetric flow rates shall be related to 273 K (0 oC) and 101,3 kPa.

2.2.   Engine test conditions

2.2.1.

The absolute temperature Ta of the engine intake air expressed in Kelvin, and the dry atmospheric pressure ps, expressed in kPa, shall be measured, and the parameter fa shall be determined according to the following provisions:

Naturally aspirated and mechanically supercharged engines:

image

Turbocharged engine with or without cooling of the intake air:

image

2.2.2.

Test validity

For a test to be recognized as valid, the parameter fa shall be such that:

▼M1

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▼M3

2.2.3.

Engines with charge air cooling

The charge air temperature shall be recorded and, at the declared rated speed and full load, shall be within ± 5 K of the maximum charge air temperature specified by the manufacturer. The temperature of the cooling medium shall be at least 293 K (20 °C).

If a test shop system or external blower is used, the charge air temperature shall be set to within ± 5 K of the maximum charge air temperature specified by the manufacturer at the speed of the declared maximum power and full load. Coolant temperature and coolant flow rate of the charge air cooler at the above set point shall not be changed for the whole test cycle. The charge air cooler volume shall be based upon good engineering practice and typical vehicle/machinery applications.

Optionally, the setting of the charge air cooler may be done in accordance with SAE J 1937 as published in January 1995.

▼B

2.3.   Engine air inlet system

▼M3

The test engine shall be equipped with an air inlet system presenting an air inlet restriction within ± 300 Pa of the value specified by the manufacturer for a clean air cleaner at the engine operating conditions as specified by the manufacturer, which result in maximum air flow. The restrictions are to be set at rated speed and full load. A test shop system may be used, provided it duplicates actual engine operating conditions.

▼B

2.4.   Engine exhaust system

▼M3

The test engine shall be equipped with an exhaust system with exhaust back pressure within ± 650 Pa of the value specified by the manufacturer at the engine operating conditions resulting in maximum declared power.

If the engine is equipped with an exhaust after-treatment device, the exhaust pipe shall have the same diameter as found in-use for at least four pipe diameters upstream to the inlet of the beginning of the expansion section containing the after-treatment device. The distance from the exhaust manifold flange or turbocharger outlet to the exhaust after-treatment device shall be the same as in the machine configuration or within the distance specifications of the manufacturer. The exhaust backpressure or restriction shall follow the same criteria as above, and may be set with a valve. The after-treatment container may be removed during dummy tests and during engine mapping, and replaced with an equivalent container having an inactive catalyst support.

▼B

2.5.   Cooling system

An engine cooling system with sufficient capacity to maintain the engine at normal operating temperatures prescribed by the manufacturer.

2.6.   Lubricating oil

Specifications of the lubricating oil used for the test shall be recorded and presented with the results of the test.

2.7.   Test fuel

The fuel shall be the reference fuel specified in ►M2  Annex V ◄ .

The cetane number and the sulphur content of the reference fuel used for test shall be recorded at sections 1.1.1 and 1.1.2 respectively of ►M2  Annex VII ◄ , Appendix 1.

The fuel temperature at the injection pump inlet shall be 306-316 K (33-43 oC).

▼M3

3.   TEST RUN (NRSC TEST)

▼M3

3.1.   Determination of dynamometer settings

The basis of specific emissions measurement is uncorrected brake power according to ISO 14396: 2002.

Certain auxiliaries, which are necessary only for the operation of the machine and may be mounted on the engine, should be removed for the test. The following incomplete list is given as an example:

 air compressor for brakes

 power steering compressor

 air conditioning compressor

 pumps for hydraulic actuators.

Where auxiliaries have not been removed, the power absorbed by them at the test speeds shall be determined in order to calculate the dynamometer settings, except for engines where such auxiliaries form an integral part of the engine (e.g. cooling fans for air cool engines).

The settings of inlet restriction and exhaust pipe backpressure shall be adjusted to the manufacturer's upper limits, in accordance with sections 2.3. and 2.4.

The maximum torque values at the specified test speeds shall be determined by experimentation in order to calculate the torque values for the specified test modes. For engines which are not designed to operate over a range on a full load torque curve, the maximum torque at the test speeds shall be declared by the manufacturer.

The engine setting for each test mode shall be calculated using the formula:

image

If the ratio,

image

the value of PAE may be verified by the technical authority granting type approval.

▼B

►M3   ►C1  3.2. ◄  ◄    Preparation of the sampling filters

At least one hour before the test, each filter (pair) shall be placed in a closed, but unsealed, petri dish and placed in a weighing chamber for stabilization. At the end of the stabilization period, each filter (pair) shall be weighed and the tare weight shall be recorded. The filter (pair) shall then be stored in a closed petri dish or filter holder until needed for testing. If the filter (pair) is not used within eight hours of its removal from the weighing chamber, it must be reweighed before use.

►M3   ►C1  3.3. ◄  ◄    Installation of the measuring equipment

The instrumentation and sample probes shall be installed as required. When using a full flow dilution system for exhaust gas dilution, the tailpipe shall be connected to the system.

►M3   ►C1  3.4. ◄  ◄    Starting the dilution system and engine

The dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilized at full load and rated speed (section 3.6.2).

▼M3

3.5.   Adjustment of the dilution ratio

The particulate sampling system shall be started and running on bypass for the single filter method (optional for the multiple filter method). The particulate background level of the dilution air may be determined by passing dilution air through the particulate filters. If filtered dilution air is used, one measurement may be done at any time prior to, during, or after the test. If the dilution air is not filtered, the measurement must be done on one sample taken for the duration of the test.

The dilution air shall be set to obtain a filter face temperature between 315 K (42 °C) and 325 K (52 °C) at each mode. The total dilution ratio shall not be less than four.

NOTE: For steady-state procedure, the filter temperature may be kept at or below the maximum temperature of 325 K (52 °C) instead of respecting the temperature range of 42 °C to 52 °C.

For the single and multiple filter methods, the sample mass flow rate through the filter shall be maintained at a constant proportion of the dilute exhaust mass flow rate for full flow systems for all modes. This mass ratio shall be within ± 5 % with respect to the averaged value of the mode, except for the first 10 seconds of each mode for systems without bypass capability. For partial flow dilution systems with single filter method, the mass flow rate through the filter shall be constant within ± 5 % with respect to the averaged value of the mode, except for the first 10 seconds of each mode for systems without bypass capability.

For CO2 or NOx concentration controlled systems, the CO2 or NOx content of the dilution air must be measured at the beginning and at the end of each test. The pre and post test background CO2 or NOx concentration measurements of the dilution air must be within 100 ppm or 5 ppm of each other, respectively.

When using a dilute exhaust gas analysis system, the relevant background concentrations shall be determined by sampling dilution air into a sampling bag over the complete test sequence.

Continuous (non-bag) background concentration may be taken at the minimum of three points, at the beginning, at the end, and a point near the middle of the cycle and averaged. At the manufacturer's request background measurements may be omitted.

▼B

►M3   ►C1  3.6. ◄  ◄    Checking the analysers

The emission analysers shall be set at zero and spanned.

►M3   ►C1  3.7. ◄  ◄    Test cycle

▼M6

3.7.1.

Equipment specification according to section 1.A of Annex I:

3.7.1.1.    Specification A

For engines covered by points (i) and (iv) of section 1.A of Annex I, the following 8-mode cycle ( 21 ) shall be followed in dynamometer operation on the test engine:



Mode No

Engine speed

(r/min)

Load

(%)

Weighting factor

1

Rated or reference (1)

100

0,15

2

Rated or reference (1)

75

0,15

3

Rated or reference (1)

50

0,15

4

Rated or reference (1)

10

0,10

5

Intermediate

100

0,10

6

Intermediate

75

0,10

7

Intermediate

50

0,10

8

Idle

0,15

(1)   Reference speed is defined in section 4.3.1 of Annex III.

3.7.1.2.    Specification B

For engines covered by point (ii) of section 1.A of Annex I, the following 5-mode cycle ( 22 ) shall be followed in dynamometer operation on the test engine:



Mode No

Engine speed

(r/min)

Load

(%)

Weighting factor

1

Rated

100

0,05

2

Rated

75

0,25

3

Rated

50

0,30

4

Rated

25

0,30

5

Rated

10

0,10

The load figures are percentage values of the torque corresponding to the prime power rating defined as the maximum power available during a variable power sequence, which may be run for an unlimited number of hours per year, between stated maintenance intervals and under the stated ambient conditions, the maintenance being carried out as prescribed by the manufacturer.

3.7.1.3.    Specification C

For propulsion engines ( 23 ) intended to be used in inland waterway vessels the ISO test procedure as specified by ISO 8178-4:2002 and IMO MARPOL 73/78, Annex VI (NOx Code) shall be used.

Propulsion engines that operate on a fixed-pitch propeller curve shall be tested on a dynamometer using the following 4-mode steady-state cycle ( 24 ) developed to represent in-use operation of commercial marine diesel engines.



Mode No

Engine speed

(r/min)

Load

(%)

Weighting factor

1

100 % (Rated)

100

0,20

2

91 %

75

0,50

3

80 %

50

0,15

4

63 %

25

0,15

Fixed speed inland waterway propulsion engines with variable pitch or electrically coupled propellers shall be tested on a dynamometer using the following 4-mode steady-state cycle ( 25 ) characterised by the same load and weighting factors as the above cycle, but with engine operated in each mode at rated speed:



Mode No

Engine speed

(r/min)

Load

(%)

Weighting factor

1

Rated

100

0,20

2

Rated

75

0,50

3

Rated

50

0,15

4

Rated

25

0,15

3.7.1.4.    Specification D

For engines covered by point (v) of section 1.A of Annex I, the following 3-mode cycle ( 26 ) shall be followed in dynamometer operation on the test engine:



Mode No

Engine speed

(r/min)

Load

(%)

Weighting factor

1

Rated

100

0,25

2

Intermediate

50

0,15

3

Idle

0,60

▼B

►M3   ►C1  3.7.2. ◄  ◄

Conditioning of the engine

Warming up of the engine and the system shall be at maximum speed and torque in order to stabilize the engine parameters according to the recommendations of the manufacturer.

Note: The conditioning period should also prevent the influence of deposits from a former test in the exhaust system. There is also a required period of stabilization between test points which has been included to minimise point to point influences.

►M3   ►C1  3.7.3. ◄  ◄

Test sequence

▼M3

The test sequence shall be started. The test shall be performed in the order of the mode numbers as set out above for the test cycles.

During each mode of the given test cycle after the initial transition period, the specified speed shall be held to within ± 1 % of rated speed or ± 3 min-1, whichever is greater, except for low idle which shall be within the tolerances declared by the manufacturer. The specified torque shall be held so that the average over the period during which the measurements are being taken is within ± 2 % of the maximum torque at the test speed.

For each measuring point a minimum time of 10 minutes is necessary. If for the testing of an engine, longer sampling times are required for reasons of obtaining sufficient particulate mass on the measuring filter the test mode period can be extended as necessary.

The mode length shall be recorded and reported.

The gaseous exhaust emission concentration values shall be measured and recorded during the last three minutes of the mode.

The particulate sampling and the gaseous emission measurement should not commence before engine stabilisation, as defined by the manufacturer, has been achieved and their completion must be coincident.

The fuel temperature shall be measured at the inlet to the fuel injection pump or as specified by the manufacturer, and the location of measurement recorded.

▼B

►M3   ►C1  3.7.4. ◄  ◄

Analyser response

The output of the analysers shall be recorded on a strip chart recorder or measured with an equivalent data acquisition system with the exhaust gas flowing through the analysers at least during the last three minutes of each mode. If bag sampling is applied for the diluted CO and CO2 measurement (see Appendix 1, section 1.4.4), a sample shall be bagged during the last three minutes of each mode, and the bag sample analysed and recorded.

►M3   ►C1  3.7.5. ◄  ◄

Particulate sampling

The particulate sampling can be done either with the single filter method or with the multiple filter method (Appendix 1, section 1.5). Since the results of the methods may differ slightly, the method used must be declared with the results.

For the single filter method the modal weighting factors specified in the test cycle procedure shall be taken into account during sampling by adjusting sample flow rate and/or sampling time, accordingly.

Sampling must be conducted as late as possible within each mode. The sampling time per mode must be at least 20 seconds for the single filter method and at least 60 seconds for the multi-filter method. For systems without bypass capability, the sampling time per mode must be a least 60 seconds for single and multiple filter methods.

►M3   ►C1  3.7.6. ◄  ◄

Engine conditions

The engine speed and load, intake air temperatur, fuel flow and air or exhaust gas flow shall be measured for each mode once the engine has been stabilized.

If the measurement of the exhaust gas flow or the measurement of combustion air and fuel consumption is not possible, it can be calculated using the carbon and oxygen balance method (see Appendix 1, section 1.2.3).

Any additional data required for calculation shall be recorded (see Appendix 3, sections 1.1 and 1.2).

►M3   ►C1  3.8. ◄  ◄    Re-checking the analysers

After the emission test a zero gas and the same span gas will be used for re-checking. The test will be considered acceptable if the difference between the two measuring results is less than 2 %.

▼M3

4.   TEST RUN (NRTC TEST)

4.1.   Introduction

The non-road transient cycle (NRTC) is listed in Annex III, Appendix 4 as a second-by-second sequence of normalised speed and torque values applicable to all diesel engines covered by this Directive. In order to perform the test on an engine test cell, the normalised values shall be converted to the actual values for the individual engine under test, based on the engine mapping curve. This conversion is referred to as denormalisation, and the test cycle developed is referred to as the reference cycle of the engine to be tested. With these reference speed and torque values, the cycle shall be run on the test cell, and the feedback speed and torque values recorded. In order to validate the test run, a regression analysis between reference and feedback speed and torque values shall be conducted upon completion of the test.

4.1.1. The use of defeat devices or irrational control or irrational emission control strategies shall be prohibited

4.2.   Engine mapping procedure

When generating the NRTC on the test cell, the engine shall be mapped before running the test cycle to determine the speed vs torque curve.

4.2.1.   Determination of the mapping speed range

The minimum and maximum mapping speeds are defined as follows:

Minimum mapping speed

=

idle speed

Maximum mapping speed

=

nhi x 1,02 or speed where full load torque drops off to zero, whichever is lower (where nhi is the high speed, defined as the highest engine speed where 70 % of the rated power is delivered).

4.2.2.   Engine mapping curve

The engine shall be warmed up at maximum power in order to stabilise the engine parameters according to the recommendation of the manufacturer and good engineering practice. When the engine is stabilised, the engine mapping shall be performed according to the following procedures.

4.2.2.1.   Transient map

(a) The engine shall be unloaded and operated at idle speed.

(b) The engine shall be operated at full load setting of the injection pump at minimum mapping speed.

(c) The engine speed shall be increased at an average rate of 8 ± 1 min-1/s from minimum to maximum mapping speed. Engine speed and torque points shall be recorded at a sample rate of at least one point per second.

4.2.2.2.   Step map

(a) The engine shall be unloaded and operated at idle speed.

(b) The engine shall be operated at full load setting of the injection pump at minimum mapping speed.

(c) While maintaining full load, the minimum mapping speed shall be maintained for at least 15 s, and the average torque during the last 5 s shall be recorded. The maximum torque curve from minimum to maximum mapping speed shall be determined in no greater than 100 ± 20/min speed increments. Each test point shall be held for at least 15 s, and the average torque during the last 5 s shall be recorded.

4.2.3.   Mapping curve generation

All data points recorded under section 4.2.2 shall be connected using linear interpolation between points. The resulting torque curve is the mapping curve and shall be used to convert the normalised torque values of the engine dynamometer schedule of Annex IV into actual torque values for the test cycle, as described in section 4.3.3.

4.2.4.   Alternate mapping

If a manufacturer believes that the above mapping techniques are unsafe or unrepresentative for any given engine, alternate mapping techniques may be used. These alternate techniques must satisfy the intent of the specified mapping procedures to determine the maximum available torque at all engine speeds achieved during the test cycles. Deviations from the mapping techniques specified in this section for reasons of safety or representativeness shall be approved by the parties involved along with the justification for their use. In no case, however, shall the torque curve be run by descending engine speeds for governed or turbocharged engines.

4.2.5.   Replicate tests

An engine need not be mapped before each and every test cycle. An engine must be remapped prior to a test cycle if:

 an unreasonable amount of time has transpired since the last map, as determined by engineering judgement, or,

 physical changes or recalibrations have been made to the engine, which may potentially affect engine performance.

4.3.   Generation of the reference test cycle

▼M6

4.3.1.    Reference speed

The reference speed (nref) corresponds to the 100 % normalised speed values specified in the engine dynamometer schedule of Appendix 4 of Annex III. The actual engine cycle resulting from denormalisation to the reference speed depends largely on selection of the proper reference speed. The reference speed shall be determined by the following formula:

nref = low speed + 0,95 x (high speed – low speed)

(the high speed is the highest engine speed where 70 % of the rated power is delivered, while the low speed is the lowest engine speed where 50 % of the rated power is delivered).

If the measured reference speed is within +/– 3 % of the reference speed as declared by the manufacturer, the declared reference speed may be used for the emissions test. If the tolerance is exceeded, the measured reference speed shall be used for the emissions test ( 27 ).

▼C1

4.3.2.   Denormalisation of engine speed

The speed shall be denormalised using the following equation:

image

4.3.3.   Denormalisation of engine torque

The torque values in the engine dynamometer schedule of Annex III, Appendix 4 are normalised to the maximum torque at the respective speed. The torque values of the reference cycle shall be denormalised, using the mapping curve determined according to Section 4.2.2, as follows:

image

for the respective actual speed as determined in Section 4.3.2.

4.3.4.   Example of denormalisation procedure

As an example, the following test point shall be denormalised:

% speed = 43 %

% torque = 82 %

Given the following values:

reference speed = 2 200 /min

idle speed = 600/min

results in

image

With the maximum torque of 700 Nm observed from the mapping curve at 1 288 /min

image

4.4.   Dynamometer

4.4.1. When using a load cell, the torque signal shall be transferred to the engine axis and the inertia of the dyno shall be considered. The actual engine torque is the torque read on the load cell plus the moment of inertia of the brake multiplied by the angular acceleration. The control system has to perform this calculation in real time.

4.4.2. If the engine is tested with an eddy-current dynamometer, it is recommended that the number of points, where the difference image is smaller than – 5 % of the peak torque, does not exceed 30 (where Tsp is the demanded torque, image is the derivative of the engine speed, image is the rotational inertia of the eddy-current dynamometer).

▼M6

4.5.    Emissions test run

The following flow chart outlines the test sequence:

image

One or more practice cycles may be run as necessary to check engine, test cell and emissions systems before the measurement cycle.

4.5.1.    Preparation of the sampling filters

At least one hour before the test, each filter shall be placed in a petri dish, which is protected against dust contamination and allows air exchange, and placed in a weighing chamber for stabilisation. At the end of the stabilisation period, each filter shall be weighed and the weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed for testing. The filter shall be used within eight hours of its removal from the weighing chamber. The tare weight shall be recorded.

4.5.2.    Installation of the measuring equipment

The instrumentation and sample probes shall be installed as required. The tailpipe shall be connected to the full-flow dilution system, if used.

4.5.3.    Starting the dilution system

The dilution system shall be started. The total diluted exhaust gas flow of a full-flow dilution system or the diluted exhaust gas flow through a partial flow dilution system shall be set to eliminate water condensation in the system, and to obtain a filter face temperature between 315 K (42 °C) and 325 K (52 °C).

4.5.4.    Starting the particulate sampling system

The particulate sampling system shall be started and run on by-pass. The particulate background level of the dilution air may be determined by sampling the dilution air prior to entrance of the exhaust into the dilution tunnel. It is preferred that background particulate sample be collected during the transient cycle if another PM sampling system is available. Otherwise, the PM sampling system used to collect transient cycle PM can be used. If filtered dilution air is used, one measurement may be done prior to or after the test. If the dilution air is not filtered, measurements should be carried out prior to the beginning and after the end of the cycle and the values averaged.

4.5.5.    Checking the analysers

The emission analysers shall be set at zero and spanned. If sample bags are used, they shall be evacuated.

4.5.6.    Cool-down requirements

A natural or forced cool-down procedure may be applied. For forced cool-down, good engineering judgement shall be used to set up systems to send cooling air across the engine, to send cool oil through the engine lubrication system, to remove heat from the coolant through the engine cooling system, and to remove heat from an exhaust after-treatment system. In the case of a forced after-treatment cool down, cooling air shall not be applied until the after-treatment system has cooled below its catalytic activation temperature. Any cooling procedure that results in unrepresentative emissions is not permitted.

The cold start cycle exhaust emission test may begin after a cool-down only when the engine oil, coolant and after-treatment temperatures are stabilised between 20 °C and 30 °C for a minimum of 15 minutes.

4.5.7.    Cycle run

4.5.7.1.    Cold start cycle

The test sequence shall commence with the cold start cycle at the completion of the cool-down when all the requirements specified in section 4.5.6 are met.

The engine shall be started according to the starting procedure recommended by the manufacturer in the owner's manual, using either a production starter motor or the dynamometer.

As soon as it is determined that the engine is started, start a ‘free idle’ timer. Allow the engine to idle freely with no-load for 23 ± 1 s. Begin the transient engine cycle such that the first non-idle record of the cycle occurs at 23 ± 1 s. The free idle time is included in the 23 ± 1 s.

The test shall be performed according to the reference cycle as set out in Annex III, Appendix 4. Engine speed and torque command set points shall be issued at 5 Hz (10 Hz recommended) or greater. The set points shall be calculated by linear interpolation between the 1 Hz set points of the reference cycle. Feedback engine speed and torque shall be recorded at least once every second during the test cycle, and the signals may be electronically filtered.

4.5.7.2.    Analyser response

At the start of the engine the measuring equipment shall be started, simultaneously:

 start collecting or analysing dilution air, if a full flow dilution system is used,

 start collecting or analysing raw or diluted exhaust gas, depending on the method used,

 start measuring the amount of diluted exhaust gas and the required temperatures and pressures,

 start recording the exhaust gas mass flow rate, if raw exhaust gas analysis is used,

 start recording the feedback data of speed and torque of the dynamometer.

If raw exhaust measurement is used, the emission concentrations (HC, CO and NOx) and the exhaust gas mass flow rate shall be measured continuously and stored with at least 2 Hz on a computer system. All other data may be recorded with a sample rate of at least 1 Hz. For analogue analysers the response shall be recorded, and the calibration data may be applied online or offline during the data evaluation.

If a full flow dilution system is used, HC and NOx shall be measured continuously in the dilution tunnel with a frequency of at least 2 Hz. The average concentrations shall be determined by integrating the analyser signals over the test cycle. The system response time shall be no greater than 20 s, and shall be coordinated with CVS flow fluctuations and sampling time/test cycle offsets, if necessary. CO and CO2 shall be determined by integration or by analysing the concentrations in the sample bag collected over the cycle. The concentrations of the gaseous pollutants in the dilution air shall be determined by integration or by collection in the background bag. All other parameters that need to be measured shall be recorded with a minimum of one measurement per second (1 Hz).

4.5.7.3.    Particulate sampling

At the start of the engine the particulate sampling system shall be switched from by-pass to collecting particulates.

If a partial flow dilution system is used, the sample pump(s) shall be adjusted so that the flow rate through the particulate sample probe or transfer tube is maintained proportional to the exhaust mass flow rate.

If a full flow dilution system is used, the sample pump(s) shall be adjusted so that the flow rate through the particulate sample probe or transfer tube is maintained at a value within ± 5 % of the set flow rate. If flow compensation (i.e. proportional control of sample flow) is used, it must be demonstrated that the ratio of main tunnel flow to particulate sample flow does not change by more than ± 5 % of its set value (except for the first 10 seconds of sampling).

NOTE: For double dilution operation, sample flow is the net difference between the flow rate through the sample filters and the secondary dilution airflow rate.

The average temperature and pressure at the gas meter(s) or flow instrumentation inlet shall be recorded. If the set flow rate cannot be maintained over the complete cycle (within ± 5 %) because of high particulate loading on the filter, the test shall be voided. The test shall be rerun using a lower flow rate and/or a larger diameter filter.

4.5.7.4.    Engine stalling during the cold start test cycle

If the engine stalls anywhere during the cold start test cycle, the engine shall be preconditioned, then the cool-down procedure repeated; finally the engine shall be restarted, and the test repeated. If a malfunction occurs in any of the required test equipment during the test cycle, the test shall be voided.

4.5.7.5.    Operations after cold start cycle

At the completion of the cold start cycle of the test, the measurement of the exhaust gas mass flow rate, the diluted exhaust gas volume, the gas flow into the collecting bags and the particulate sample pump shall be stopped. For an integrating analyser system, sampling shall continue until system response times have elapsed.

The concentrations of the collecting bags, if used, shall be analysed as soon as possible and in any case not later than 20 minutes after the end of the test cycle.

After the emission test, a zero gas and the same span gas shall be used for re-checking the analysers. The test will be considered acceptable if the difference between the pre-test and post-test results is less than 2 % of the span gas value.

The particulate filters shall be returned to the weighing chamber no later than one hour after completion of the test. They shall be conditioned in a petri dish, which is protected against dust contamination and allows air exchange, for at least one hour, and then weighed. The gross weight of the filters shall be recorded.

4.5.7.6.    Hot soak

Immediately after the engine is turned off, the engine cooling fan(s) shall be turned off if used, as well as the CVS blower (or disconnect the exhaust system from the CVS), if used.

Allow the engine to soak for 20 ± 1 minutes. Prepare the engine and dynamometer for the hot start test. Connect evacuated sample collection bags to the dilute exhaust and dilution air sample collection systems. Start the CVS (if used or not already on) or connect the exhaust system to the CVS (if disconnected). Start the sample pumps (except the particulate sample pump(s), the engine cooling fan(s) and the data collection system.

The heat exchanger of the constant volume sampler (if used) and the heated components of any continuous sampling system(s) (if applicable) shall be preheated to their designated operating temperatures before the test begins.

Adjust the sample flow rates to the desired flow rate and set the CVS gas flow measuring devices to zero. Carefully install a clean particulate filter in each of the filter holders and install assembled filter holders in the sample flow line.

4.5.7.7.    Hot start cycle

As soon as it is determined that the engine is started, start a ‘free idle’ timer. Allow the engine to idle freely with no-load for 23 ± 1 s. Begin the transient engine cycle such that the first non-idle record of the cycle occurs at 23 ± 1 s. The free idle time is included in the 23 ± 1 s.

The test shall be performed according to the reference cycle as set out in Appendix 4 to Annex III. Engine speed and torque command set points shall be issued at 5 Hz (10 Hz recommended) or greater. The set points shall be calculated by linear interpolation between the 1 Hz set points of the reference cycle. Feedback engine speed and torque shall be recorded at least once every second during the test cycle, and the signals may be electronically filtered.

The procedure described in previous sections 4.5.7.2 and 4.5.7.3 shall then be repeated.

4.5.7.8.    Engine stalling during the hot start cycle

If the engine stalls anywhere during the hot start cycle, the engine may be shut off and re-soaked for 20 minutes. The hot start cycle may then be rerun. Only one hot re-soak and hot start cycle restart is permitted.

4.5.7.9.    Operations after hot start cycle

At the completion of the hot start cycle, the measurement of the exhaust gas mass flow rate, the diluted exhaust gas volume, the gas flow into the collecting bags and the particulate sample pump shall be stopped. For an integrating analyser system, sampling shall continue until system response times have elapsed.

The concentrations of the collecting bags, if used, shall be analysed as soon as possible and in any case not later than 20 minutes after the end of the test cycle.

After the emission test, a zero gas and the same span gas shall be used for re-checking the analysers. The test will be considered acceptable if the difference between the pre-test and post-test results is less than 2 % of the span gas value.

The particulate filters shall be returned to the weighing chamber no later than one hour after completion of the test. They shall be conditioned in a petri dish, which is protected against dust contamination and allows air exchange, for at least one hour, and then weighed. The gross weight of the filters shall be recorded.

▼C1

4.6.   Verification of the test run

4.6.1.   Data shift

To minimise the biasing effect of the time lag between the feedback and reference cycle values, the entire engine speed and torque feedback signal sequence may be advanced or delayed in time with respect to the reference speed and torque sequence. If the feedback signals are shifted, both speed and torque must be shifted by the same amount in the same direction.

4.6.2.   Calculation of the cycle work

The actual cycle work Wact (kWh) shall be calculated using each pair of engine feedback speed and torque values recorded. The actual cycle work Wact is used for comparison to the reference cycle work Wref and for calculating the brake specific emissions. The same methodology shall be used for integrating both reference and actual engine power. If values are to be determined between adjacent reference or adjacent measured values, linear interpolation shall be used.

In integrating the reference and actual cycle work, all negative torque values shall be set equal to zero and included. If integration is performed at a frequency of less than 5 Hertz, and if, during a given time segment, the torque value changes from positive to negative or negative to positive, the negative portion shall be computed and set equal to zero. The positive portion shall be included in the integrated value.

Wact shall be between – 15 % and + 5 % of Wref.

4.6.3.   Validation statistics of the test cycle

Linear regressions of the feedback values on the reference values shall be performed for speed, torque and power. This shall be done after any feedback data shift has occurred, if this option is selected. The method of least squares shall be used, with the best fit equation having the form:

y = mx + b

where:

y

=

feedback (actual) value of speed (min-1), torque (N·m), or power (kW)

m

=

slope of the regression line

x

=

reference value of speed (min-1), torque (N·m), or power (kW)

b

=

y intercept of the regression line

The standard error of estimate (SE) of y on x and the coefficient of determination (r2) shall be calculated for each regression line.

It is recommended that this analysis be performed at 1 Hertz. For a test to be considered valid, the criteria of Table 1 must be met.

Table 1 —   Regression line tolerances



 

Speed

Torque

Power

Standard error of estimate (SE) of Y on X

max 100 min-1

max 13 % of power map maximum engine torque

max 8 % of power map maximum engine power

Slope of the regression line, m

0,95 to 1,03

0,83 — 1,03

0,89 — 1,03

Coefficient of determination, r2

min 0,9700

min 0,8800

min 0,9100

Y intercept of the regression line, b

± 50 min-1

± 20 N·m or ± 2 % of max torque, whichever is greater

± 4 kW or ± 2 % of max power, whichever is greater

For regression purposes only, point deletions are permitted where noted in Table 2 before doing the regression calculation. However, those points must not be deleted for the calculation of cycle work and emissions. An idle point is defined as a point having a normalised reference torque of 0 % and a normalised reference speed of 0 %. Point deletion may be applied to the whole or to any part of the cycle.

Table 2 —   Permitted point deletions from regression analysis (points to which the point deletion is applied have to be specified)



Condition

Speed and/or torque and/or power points which may be deleted with reference to the conditions listed in the left column

First 24 (±1) s and last 25 s

Speed, torque and power

Wide open throttle, and torque feedback < 95 % torque reference

Torque and/or power

Wide open throttle, and speed feedback < 95 % speed reference

Speed and/or power

Closed throttle, speed feedback > idle speed + 50 min-1, and torque feedback > 105 % torque reference

Torque and/or power

Closed throttle, speed feedback ≤ idle speed + 50 min-1, and torque feedback = Manufacturer defined/measured idle torque ± 2 % of max torque

Speed and/or power

Closed throttle and speed feedback > 105 % speed reference

Speed and/or power

▼M3




Appendix 1

MEASUREMENT AND SAMPLING PROCEDURES

1.   MEASUREMENT AND SAMPLING PROCEDURES (NRSC TEST)

Gaseous and particulate components emitted by the engine submitted for testing shall be measured by the methods described in Annex VI. The methods of Annex VI describe the recommended analytical systems for the gaseous emissions (Section 1.1) and the recommended particulate dilution and sampling systems (Section 1.2).

1.1.   Dynamometer specification

An engine dynamometer with adequate characteristics to perform the test cycle described in Annex III, Section 3.7.1 shall be used. The instrumentation for torque and speed measurement shall allow the measurement of the power within the given limits. Additional calculations may be necessary. The accuracy of the measuring equipment must be such that the maximum tolerances of the figures given in point 1.3 are not exceeded.

1.2.   Exhaust gas flow

The exhaust gas flow shall be determined by one of the methods mentioned in sections 1.2.1 to 1.2.4.

1.2.1.   Direct measurement method

Direct measurement of the exhaust flow by flow nozzle or equivalent metering system (for detail see ISO 5167:2000).

Note: Direct gaseous flow measurement is a difficult task. Precautions must be taken to avoid measurement errors that will impact emission value errors.

1.2.2.   Air and fuel measurement method

Measurement of the airflow and the fuel flow.

Air flow-meters and fuel flow-meters with the accuracy defined in Section 1.3 shall be used.

The calculation of the exhaust gas flow is as follows:

GEXHW = GAIRW + GFUEL (for wet exhaust mass)

1.2.3.   Carbon balance method

Exhaust mass calculation from fuel consumption and exhaust gas concentrations using the carbon balance method (Annex III, Appendix 3).

1.2.4.   Tracer measurement method

This method involves measurement of the concentration of a tracer gas in the exhaust. A known amount of an inert gas (e.g. pure helium) shall be injected into the exhaust gas flow as a tracer. The gas is mixed and diluted by the exhaust gas, but must not react in the exhaust pipe. The concentration of the gas shall then be measured in the exhaust gas sample.

In order to ensure complete mixing of the tracer gas, the exhaust gas sampling probe shall be located at least 1 m or 30 times the diameter of the exhaust pipe, whichever is larger, downstream of the tracer gas injection point. The sampling probe may be located closer to the injection point if complete mixing is verified by comparing the tracer gas concentration with the reference concentration when the tracer gas is injected upstream of the engine.

The tracer gas flow rate shall be set so that the tracer gas concentration at engine idle speed after mixing becomes lower than the full scale of the trace gas analyser.

The calculation of the exhaust gas flow is as follows:

image

where

GEXHW

=

instantaneous exhaust mass flow (kg/s)

GT

=

tracer gas flow (cm3/min)

concmix

=

instantaneous concentration of the tracer gas after mixing, (ppm)

ρEXH

=

density of the exhaust gas (kg/m3)

conca

=

background concentration of the tracer gas in the intake air (ppm)

The background concentration of the tracer gas (conc a) may be determined by averaging the background concentration measured immediately before and after the test run.

When the background concentration is less than 1 % of the concentration of the tracer gas after mixing (conc mix.) at maximum exhaust flow, the background concentration may be neglected.

The total system shall meet the accuracy specifications for the exhaust gas flow and shall be calibrated according to Appendix 2, Section 1.11.2.

1.2.5.   Air flow and air to fuel ratio measurement method

This method involves exhaust mass calculation from the air flow and the air to fuel ratio. The calculation of the instantaneous exhaust gas mass flow is as follows:

image

image

image

where

A/Fst

=

stoichiometric air/fuel ratio (kg/kg)

λ

=

relative air/fuel ratio

concCO2

=

dry CO2 concentration ( %)

concCO

=

dry CO concentration (ppm)

concHC

=

HC concentration (ppm)

Note: The calculation refers to a diesel fuel with a H/C ratio equal to 1,8.

The air flowmeter shall meet the accuracy specifications in Table 3, the CO2 analyser used shall meet the specifications of clause 1.4.1, and the total system shall meet the accuracy specifications for the exhaust gas flow.

Optionally, air to fuel ratio measurement equipment, such as a zirconia type sensor, may be used for the measurement of the relative air to fuel ratio in accordance with the specifications of clause 1.4.4.

1.2.6.   Total dilute exhaust gas flow

When using a full flow dilution system, the total flow of the dilute exhaust (GTOTW) shall be measured with a PDP or CFV or SSV (Annex VI, Section 1.2.1.2) The accuracy shall conform to the provisions of Annex III, Appendix 2, Section 2.2.

1.3.   Accuracy

The calibration of all measurement instruments shall be traceable to national or international standards and comply with the requirements listed in Table 3.

Table 3 —   Accuracy of measuring instruments



No

Measuring instrument

Accuracy

1

Engine speed

± 2 % of reading or ± 1 % of engine's max. value whichever is larger

2

Torque

± 2 % of reading or ± 1 % of engine's max. value whichever is larger

3

Fuel consumption

± 2 % of engine's max. value

4

Air consumption

± 2 % of reading or ± 1 % of engine's max. value whichever is larger

5

Exhaust gas flow

± 2,5 % of reading or ± 1,5 % of engine's max. value whichever is larger

6

Temperatures ≤ 600 K

± 2 K absolute

7

Temperatures > 600 K

± 1 % of reading

8

Exhaust gas pressure

± 0,2 kPa absolute

9

Intake air depression

± 0,05 kPa absolute

10

Atmospheric pressure

± 0,1 kPa absolute

11

Other pressures

± 0,1 kPa absolute

12

Absolute humidity

± 5 % of reading

13

Dilution air flow

± 2 % of reading

14

Diluted exhaust gas flow

± 2 % of reading

1.4.   Determination of the gaseous components

1.4.1.   General analyser specifications

The analysers shall have a measuring range appropriate for the accuracy required to measure the concentrations of the exhaust gas components (section1.4.1.1). It is recommended that the analysers be operated in such a way that the measured concentration falls between 15 % and 100 % of full scale.

If the full scale value is 155 ppm (or ppm C) or less or if read-out systems (computers, data loggers) that provide sufficient accuracy and resolution below 15 % of full scale are used, concentrations below 15 % of full scale are also acceptable. In this case, additional calibrations are to be made to ensure the accuracy of the calibration curves – Annex III, Appendix 2, section 1.5.5.2.

The electromagnetic compatibility (EMC) of the equipment shall be on a level as to minimise additional errors.

1.4.1.1.   Measurement error

The analyser shall not deviate from the nominal calibration point by more than ± 2 % of the reading or ± 0,3 % of full scale, whichever is larger.

NOTE: For the purpose of this standard, accuracy is defined as the deviation of the analyser reading from the nominal calibration values using a calibration gas (≡ true value)

1.4.1.2.   Repeatability

The repeatability, defined as 2,5 times the standard deviation of 10 repetitive responses to a given calibration or span gas, must be no greater than ± 1 % of full scale concentration for each range used above 155 ppm (or ppm C) or ± 2 % of each range used below 155 ppm (or ppm C).

1.4.1.3.   Noise

The analyser peak-to-peak response to zero and calibration or span gases over any 10-second period shall not exceed 2 % of full scale on all ranges used.

1.4.1.4.   Zero drift

The zero drift during a one-hour period shall be less than 2 % of full scale on the lowest range used. The zero response is defined as the mean response, including noise, to a zero gas during a 30-second time interval.

1.4.1.5.   Span drift

The span drift during a one-hour period shall be less than 2 % of full scale on the lowest range used. Span is defined as the difference between the span response and the zero response. The span response is defined as the mean response, including noise, to a span gas during a 30-second time interval.

1.4.2.   Gas drying

The optional gas drying device must have a minimal effect on the concentration of the measured gases. Chemical dryers are not an acceptable method of removing water from the sample.

1.4.3.   Analysers

Sections 1.4.3.1 to 1.4.3.5 of this Appendix describe the measurement principles to be used. A detailed description of the measurement systems is given in Annex VI.

The gases to be measured shall be analysed with the following instruments. For non-linear analysers, the use of linearising circuits is permitted.

1.4.3.1.   Carbon monoxide (CO) analysis

The carbon monoxide analyser shall be of the non-dispersive infra-red (NDIR) absorption type.

1.4.3.2.   Carbon dioxide (CO2) analysis

The carbon dioxide analyser shall be of the non-dispersive infra-red (NDIR) absorption type.

1.4.3.3.   Hydrocarbon (HC) analysis

The hydrocarbon analyser shall be of the heated flame ionization detector (HFID) type with detector, valves, pipework, etc, heated so as to maintain a gas temperature of 463 K (190 °C) ± 10 K.

1.4.3.4.   Oxides of nitrogen (NOx) analysis

The oxides of nitrogen analyser shall be of the chemiluminescent detector (CLD) or heated chemiluminescent detector (HCLD) type with a NO2/NO converter, if measured on a dry basis. If measured on a wet basis, a HCLD with converter maintained above 328 K (55 °C) shall be used, provided the water quench check (Annex III, Appendix 2, section 1.9.2.2) is satisfied.

For both CLD and HCLD, the sampling path shall be maintained at a wall temperature of 328 K to 473 K (55 to 200 °C) up to the converter for dry measurement, and up to the analyser for wet measurement.

1.4.4.   Air to fuel measurement

The air to fuel measurement equipment used to determine the exhaust gas flow as specified in section 1.2.5 shall be a wide range air to fuel ratio sensor or lambda sensor of Zirconia type.

The sensor shall be mounted directly on the exhaust pipe where the exhaust gas temperature is high enough to eliminate water condensation.

The accuracy of the sensor with incorporated electronics shall be within:

± 3 % of reading λ < 2

± 5 % of reading 2 ≤ λ < 5

± 10 % of reading 5 ≤ λ

To fulfil the accuracy specified above, the sensor shall be calibrated as specified by the instrument manufacturer.

1.4.5.   Sampling for gaseous emissions

The gaseous emissions sampling probes must be fitted at least 0,5 m or three times the diameter of the exhaust pipe — whichever is the larger — upstream of the exit of the exhaust gas system as far as applicable and sufficiently close to the engine as to ensure an exhaust gas temperature of at least 343 K (70 °C) at the probe.

In the case of a multi-cylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multi-cylinder engines having distinct groups of manifolds, such as in a ‘V’-engine configuration, it is permissible to acquire a sample from each group individually and calculate an average exhaust emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emissions calculation the total exhaust mass flow of the engine must be used.

If the composition of the exhaust gas is influenced by any exhaust after-treatment system, the exhaust sample must be taken upstream of this device in the tests of stage I and downstream of this device in the tests of stage II. When a full flow dilution system is used for the determination of the particulates, the gaseous emissions may also be determined in the diluted exhaust gas. The sampling probes shall be close to the particulate sampling probe in the dilution tunnel (Annex VI, section 1.2.1.2, DT and Section 1.2.2, PSP). CO and CO2 may optionally be determined by sampling into a bag and subsequent measurement of the concentration in the sampling bag.

1.5.   Determination of the particulates

The determination of the particulates requires a dilution system. Dilution may be accomplished by a partial flow dilution system or a full flow dilution system. The flow capacity of the dilution system shall be large enough to completely eliminate water condensation in the dilution and sampling systems, and maintain the temperature of the diluted exhaust gas between 315 K (42 °C) and 325 K (52 °C) immediately upstream of the filter holders. De-humidifying the dilution air before entering the dilution system is permitted, if the air humidity is high. Dilution air pre-heating above the temperature limit of 303 K (30 °C) is recommended, if the ambient temperature is below 293 K (20 °C). However, the diluted air temperature must not exceed 325 K (52 °C) prior to the introduction of the exhaust in the dilution tunnel.

Note: For steady-state procedure, the filter temperature may be kept at or below the maximum temperature of 325 K (52 °C) instead of respecting the temperature range of 42 to 52 °C.

For a partial flow dilution system, the particulate sampling probe must be fitted close to and upstream of the gaseous probe as defined in Section 4.4 and in accordance with Annex VI, section 1.2.1.1, figure 4-12 EP and SP.

The partial flow dilution system has to be designed to split the exhaust stream into two fractions, the smaller one being diluted with air and subsequently used for particulate measurement. From that it is essential that the dilution ratio be determined very accurately. Different splitting methods can be applied, whereby the type of splitting used dictates to a significant degree the sampling hardware and procedures to be used (Annex VI, section 1.2.1.1).

To determine the mass of the particulates, a particulate sampling system, particulate sampling filters, a microgram balance and a temperature and humidity controlled weighing chamber are required.

For particulate sampling, two methods may be applied:

 the single filter method uses one pair of filters (1.5.1.3 of this Appendix) for all modes of the test cycle. Considerable attention must be paid to sampling times and flows during the sampling phase of the test. However, only one pair of filters will be required for the test cycle,

 the multiple filter method dictates that one pair of filters (section 1.5.1.3 of this Appendix) is used for each of the individual modes of the test cycle. This method allows more lenient sample procedures but uses more filters.

1.5.1.   Particulate sampling filters

1.5.1.1.   Filter specification

Fluorocarbon coated glass fibre filters or fluorocarbon based membrane filters are required for certification tests. For special applications different filter materials may be used. All filter types shall have a 0,3 μm DOP (di-octylphthalate) collection efficiency of at least 99 % at a gas face velocity between 35 and 100 cm/s. When performing correlation tests between laboratories or between a manufacturer and an approval authority, filters of identical quality must be used.

1.5.1.2.   Filter size

Particulate filters must have a minimum diameter of 47 mm (37 mm stain diameter). Larger diameter filters are acceptable (section 1.5.1.5).

1.5.1.3.   Primary and back-up filters

The diluted exhaust shall be sampled by a pair of filters placed in series (one primary and one back-up filter) during the test sequence. The back-up filter shall be located no more than 100 mm downstream of, and shall not be in contact with, the primary filter. The filters may be weighed separately or as a pair with the filters placed stain side to stain side.

1.5.1.4.   Filter face velocity

A gas face velocity through the filter of 35 to 100 cm/s shall be achieved. The pressure drop increase between the beginning and the end of the test shall be no more than 25 kPa.

1.5.1.5.   Filter loading

The recommended minimum filter loadings for the most common filter sizes are shown in the following table. For larger filter sizes, the minimum filter loading shall be 0,065 mg/1 000 mm2 filter area.



Filter diameter

(mm)

Recommended stain diameter

(mm)

Recommended minimum loading

(mg)

47

37

0,11

70

60

0,25

90

80

0,41

110

100

0,62

For the multiple filter method, the recommended minimum filter loading for the sum of all filters shall be the product of the appropriate value above and the square root of the total number of modes.

1.5.2.   Weighing chamber and analytical balance specifications

1.5.2.1.   Weighing chamber conditions

The temperature of the chamber (or room) in which the particulate filters are conditioned and weighed shall be maintained to within 295 K (22 °C) ± 3 K during all filter conditioning and weighing. The humidity shall be maintained to a dew point of 282,5 (9,5 °C) ± 3 K and a relative humidity of 45 ± 8 %.

1.5.2.2.   Reference filter weighing

The chamber (or room) environment shall be free of any ambient contaminants (such as dust) that would settle on the particulate filters during their stabilisation. Disturbances to weighing room specifications as outlined in section 1.5.2.1 will be allowed if the duration of the disturbances does not exceed 30 minutes. The weighing room should meet the required specifications prior to personnel entrance into the weighing room. At least two unused reference filters or reference filter pairs shall be weighed within four hours of, but preferably at the same time as the sample filter (pair) weighing. They shall be the same size and material as the sample filters.

If the average weight of the reference filters (reference filter pairs) changes between sample filter weighing by more than 10μg, then all sample filters shall be discarded and the emissions test repeated.

If the weighing room stability criteria outlined in section 1.5.2.1 is not met, but the reference filter (pair) weighing meet the above criteria, the engine manufacturer has the option of accepting the sample filter weights or voiding the tests, fixing the weighing room control system and re-running the test.

1.5.2.3.   Analytical balance

The analytical balance used to determine the weights of all filters shall have a precision (standard deviation) of 2 μg and a resolution of 1 μg (1 digit = 1 μg) specified by the balance manufacturer.

1.5.2.4.   Elimination of static electricity effects

To eliminate the effects of static electricity, the filters shall be neutralised prior to weighing, for example, by a Polonium neutraliser or a device of similar effect.

1.5.3.   Additional specifications for particulate measurement

All parts of the dilution system and the sampling system from the exhaust pipe up to the filter holder, which are in contact with raw and diluted exhaust gas, must be designed to minimise deposition or alteration of the particulates. All parts must be made of electrically conductive materials that do not react with exhaust gas components, and must be electrically grounded to prevent electrostatic effects.

2.   MEASUREMENT AND SAMPLING PROCEDURES (NRTC TEST)

2.1.   Introduction

Gaseous and particulate components emitted by the engine submitted for testing shall be measured by the methods of Annex VI. The methods of Annex VI describe the recommended analytical systems for the gaseous emissions (Section 1.1) and the recommended particulate dilution and sampling systems (Section 1.2).

2.2.   Dynamometer and test cell equipment

The following equipment shall be used for emission tests of engines on engine dynamometers:

2.2.1.   Engine dynamometer

An engine dynamometer shall be used with adequate characteristics to perform the test cycle described in Appendix 4 to this Annex. The instrumentation for torque and speed measurement shall allow the measurement of the power within the given limits. Additional calculations may be necessary. The accuracy of the measuring equipment must be such that the maximum tolerances of the figures given in Table 3 are not exceeded.

2.2.2.   Other instruments

Measuring instruments for fuel consumption, air consumption, temperature of coolant and lubricant, exhaust gas pressure and intake manifold depression, exhaust gas temperature, air intake temperature, atmospheric pressure, humidity and fuel temperature shall be used, as required. These instruments shall satisfy the requirements given in Table 3:

Table 3 —   Accuracy of measuring instruments



No.

Measuring instrument

accuracy

1

Engine speed

± 2 % of reading or ± 1 % of engine's max. value, whichever is larger

2

Torque

± 2 % of reading or ± 1 % of engine's max. value, whichever is larger

3

Fuel consumption

± 2 % of engine's max. value

4

Air consumption

± 2 % of reading or ± 1 % of engine's max. value, whichever is larger

5

Exhaust gas flow

± 2,5 % of reading or ± 1,5 % of engine's max. value, whichever is larger

6

Temperatures ≤ 600 K

± 2 K absolute

7

Temperatures > 600 K

± 1 % of reading

8

Exhaust gas pressure

± 0,2 kPa absolute

9

Intake air depression

± 0,05 kPa absolute

10

Atmospheric pressure

± 0,1 kPa absolute

11

Other pressures

± 0,1 kPa absolute

12

Absolute humidity

± 5 % of reading

13

Dilution air flow

± 2 % of reading

14

Diluted exhaust gas flow

± 2 % of reading

2.2.3.   Raw exhaust gas flow

For calculating the emissions in the raw exhaust gas and for controlling a partial flow dilution system, it is necessary to know the exhaust gas mass flow rate. For determining the exhaust mass flow rate, either of the methods described below may be used.

For the purpose of emissions calculation, the response time of either method described below shall be equal to or less than the requirement for the analyser response time, as defined in Appendix 2, Section 1.11.1.

For the purpose of controlling a partial flow dilution system, a faster response is required. For partial flow dilution systems with online control, a response time of ≤ 0,3 s is required. For partial flow dilution systems with look ahead control based on a pre-recorded test run, a response time of the exhaust flow measurement system of ≤ 5 s with a rise time of ≤ 1 s is required. The system response time shall be specified by the instrument manufacturer. The combined response time requirements for exhaust gas flow and partial flow dilution system are indicated in Section 2.4.

Direct measurement method

Direct measurement of the instantaneous exhaust flow may be done by systems, such as:

 pressure differential devices, like flow nozzle, (for details see ISO 5167: 2000)

 ultrasonic flowmeter

 vortex flowmeter.

Precautions shall be taken to avoid measurement errors, which will impact emission value errors. Such precautions include the careful installation of the device in the engine exhaust system according to the instrument manufacturers' recommendations and to good engineering practice. Especially, engine performance and emissions must not be affected by the installation of the device.

The flowmeters shall meet the accuracy specifications of Table 3.

Air and fuel measurement method

This involves measurement of the airflow and the fuel flow with suitable flowmeters. The calculation of the instantaneous exhaust gas flow is as follows:

GEXHW = GAIRW + GFUEL (for wet exhaust mass)

The flowmeters shall meet the accuracy specifications of Table 3, but shall also be accurate enough to also meet the accuracy specifications for the exhaust gas flow.

Tracer measurement method

This involves measurement of the concentration of a tracer gas in the exhaust.

A known amount of an inert gas (e.g. pure helium) shall be injected into the exhaust gas flow as a tracer. The gas is mixed and diluted by the exhaust gas, but must not react in the exhaust pipe. The concentration of the gas shall then be measured in the exhaust gas sample.

In order to ensure complete mixing of the tracer gas, the exhaust gas sampling probe shall be located at least 1 m or 30 times the diameter of the exhaust pipe, whichever is larger, downstream of the tracer gas injection point. The sampling probe may be located closer to the injection point if complete mixing is verified by comparing the tracer gas concentration with the reference concentration when the tracer gas is injected upstream of the engine.

The tracer gas flow rate shall be set so that the tracer gas concentration at engine idle speed after mixing becomes lower than the full scale of the trace gas analyser.

The calculation of the exhaust gas flow is as follows:

image

where

GEXHW

=

instantaneous exhaust mass flow (kg/s)

GT

=

tracer gas flow (cm3/min)

conc mix

=

instantaneous concentration of the tracer gas after mixing (ppm)

ρEXH

=

density of the exhaust gas (kg/m3)

conc a

=

background concentration of the tracer gas in the intake air (ppm)

The background concentration of the tracer gas (conc a) may be determined by averaging the background concentration measured immediately before the test run and after the test run.

When the background concentration is less than 1 % of the concentration of the tracer gas after mixing (conc mix.) at maximum exhaust flow, the background concentration may be neglected.

The total system shall meet the accuracy specifications for the exhaust gas flow, and shall be calibrated according to Appendix 2, paragraph 1.11.2.

Air flow and air to fuel ratio measurement method

This involves exhaust mass calculation from the airflow and the air to fuel ratio. The calculation of the instantaneous exhaust gas mass flow is as follows:

image

image

where

A/Fst

=

stoichiometric air/fuel ratio (kg/kg)

λ

=

relative air/fuel ratio

concCO2

=

dry CO2 concentration ( %)

concCO

=

dry CO concentration (ppm)

concHC

=

HC concentration (ppm)

Note: The calculation refers to a diesel fuel with a H/C ratio equal to 1,8.

The air flowmeter shall meet the accuracy specifications in Table 3, the CO2 analyser used shall meet the specifications of section 2.3.1, and the total system shall meet the accuracy specifications for the exhaust gas flow.

Optionally, air to fuel ratio measurement equipment, such as a zirconia type sensor, may be used for the measurement of the excess air ratio in accordance with the specifications of section 2.3.4.

2.2.4.   Diluted exhaust gas flow

For calculation of the emissions in the diluted exhaust gas, it is necessary to know the diluted exhaust gas mass flow rate. The total diluted exhaust gas flow over the cycle (kg/test) shall be calculated from the measurement values over the cycle and the corresponding calibration data of the flow measurement device (V 0 for PDP, K V for CFV, C d for SSV): the corresponding methods described in Appendix 3, section 2.2.1 shall be used. If the total sample mass of particulates and gaseous pollutants exceeds 0,5 % of the total CVS flow, the CVS flow shall be corrected or the particulate sample flow shall be returned to the CVS prior to the flow measuring device.

2.3.   Determination of the gaseous components

2.3.1.   General analyser specifications

The analysers shall have a measuring range appropriate for the accuracy required to measure the concentrations of the exhaust gas components (section 1.4.1.1). It is recommended that the analysers be operated in such a way that the measured concentration falls between 15 and 100 % of full scale.

If the full scale value is 155 ppm (or ppm C) or less, or if read-out systems (computers, data loggers) that provide sufficient accuracy and resolution below 15 % of full scale are used, concentrations below 15 % of full scale are also acceptable. In this case, additional calibrations are to be made to ensure the accuracy of the calibration curves – Annex III, Appendix 2, section 1.5.5.2.

The electromagnetic compatibility (EMC) of the equipment shall be of a level such as to minimise additional errors.

2.3.1.1.   Measurement error

The analyser shall not deviate from the nominal calibration point by more than ± 2 % of the reading or ± 0,3 % of full scale, whichever is larger.

Note: For the purpose of this standard, accuracy is defined as the deviation of the analyser reading from the nominal calibration values using a calibration gas (≡ true value).

2.3.1.2.   Repeatability

The repeatability, defined as 2,5 times the standard deviation of 10 repetitive responses to a given calibration or span gas, must be no greater than ± 1 % of full scale concentration for each range used above 155 ppm (or ppm C) or ± 2 % for each range used below 155 ppm (or ppm C).

2.3.1.3.   Noise

The analyser peak-to-peak response to zero and calibration or span gases over any 10-second period shall not exceed 2 % of full scale on all ranges used.

2.3.1.4.   Zero drift

The zero drift during a one-hour period shall be less than 2 % of full scale on the lowest range used. The zero response is defined as the mean response, including noise, to a zero gas during a 30-second time interval.

2.3.1.5.   Span drift

The span drift during a one-hour period shall be less than 2 % of full scale on the lowest range used. Span is defined as the difference between the span response and the zero response. The span response is defined as the mean response, including noise, to a span gas during a 30-second time interval.

2.3.1.6.   Rise time

For raw exhaust gas analysis, the rise time of the analyser installed in the measurement system shall not exceed 2,5 s.

NOTE: Only evaluating the response time of the analyser alone will not clearly define the suitability of the total system for transient testing. Volumes, and especially dead volumes, through out the system will not only affect the transportation time from the probe to the analyser, but also affect the rise time. Also transport times inside of an analyser would be defined as analyser response time, like the converter or water traps inside of a NOx analysers. The determination of the total system response time is described in Appendix 2, Section 1.11.1.

2.3.2.   Gas drying

Same specifications as for NRSC test cycle apply (Section 1.4.2) as described here below.

The optional gas drying device must have a minimal effect on the concentration of the measured gases. Chemical dryers are not an acceptable method of removing water from the sample.

2.3.3.   Analysers

Same specifications as for NRSC test cycle apply (Section 1.4.3) as described here below.

The gases to be measured shall be analysed with the following instruments. For non-linear analysers, the use of linearising circuits is permitted.

2.3.3.1.   Carbon monoxide (CO) analysis

The carbon monoxide analyser shall be of the non-dispersive infra-red (NDIR) absorption type.

2.3.3.2.   Carbon dioxide (CO2) analysis

The carbon dioxide analyser shall be of the non-dispersive infra-red (NDIR) absorption type.

2.3.3.3.   Hydrocarbon (HC) analysis

The hydrocarbon analyser shall be of the heated flame ionization detector (HFID) type with detector, valves, pipework, etc, heated so as to maintain a gas temperature of 463K (190 °C) ± 10 K.

2.3.3.4.   Oxides of nitrogen (NOx) analysis

The oxides of nitrogen analyser shall be of the chemiluminescent detector (CLD) or heated chemiluminescent detector (HCLD) type with a NO2/NO converter, if measured on a dry basis. If measured on a wet basis, a HCLD with converter maintained above 328 K (55 °C shall be used, provided the water quench check (Annex III, Appendix 2, section 1.9.2.2) is satisfied.

For both CLD and HCLD, the sampling path shall be maintained at a wall temperature of 328K to 473 K (55 to 200 °C) up to the converter for dry measurement, and up to the analyser for wet measurement.

2.3.4.   Air to fuel measurement

The air to fuel measurement equipment used to determine the exhaust gas flow as specified in section 2.2.3 shall be a wide range air to fuel ratio sensor or lambda sensor of Zirconia type.

The sensor shall be mounted directly on the exhaust pipe where the exhaust gas temperature is high enough to eliminate water condensation.

The accuracy of the sensor with incorporated electronics shall be within:

± 3 % of reading λ < 2

± 5 % of reading 2 ≤ λ < 5

± 10 % of reading 5 ≤ λ

To fulfil the accuracy specified above, the sensor shall be calibrated as specified by the instrument manufacturer.

2.3.5.   Sampling of gaseous emissions

2.3.5.1.   Raw exhaust gas flow

For calculation of the emissions in the raw exhaust gas the same specifications as for NRSC test cycle apply (Section 1.4.4), as described here below.

The gaseous emissions sampling probes must be fitted at least 0,5 m or three times the diameter of the exhaust pipe — whichever is the larger — upstream of the exit of the exhaust gas system as far as applicable and sufficiently close to the engine as to ensure an exhaust gas temperature of at least 343 K (70 °C) at the probe.

In the case of a multicylinder engine with a branched exhaust manifold, the inlet of the probe shall be located sufficiently far downstream so as to ensure that the sample is representative of the average exhaust emissions from all cylinders. In multicylinder engines having distinct groups of manifolds, such as in a ‘V’-engine configuration, it is permissible to acquire a sample from each group individually and calculate an average exhaust emission. Other methods which have been shown to correlate with the above methods may be used. For exhaust emissions calculation the total exhaust mass flow of the engine must be used.

If the composition of the exhaust gas is influenced by any exhaust after-treatment system, the exhaust sample must be taken upstream of this device in the tests of stage I and downstream of this device in the tests of stage II.

2.3.5.2.   Diluted exhaust gas flow

If a full flow dilution system is used, the following specifications apply.

The exhaust pipe between the engine and the full flow dilution system shall conform to the requirements of Annex VI.

The gaseous emissions sample probe(s) shall be installed in the dilution tunnel at a point where the dilution air and exhaust gas are well mixed, and in close proximity to the particulates sampling probe.

Sampling can generally be done in two ways:

 the pollutants are sampled into a sampling bag over the cycle and measured after completion of the test,

 the pollutants are sampled continuously and integrated over the cycle; this method is mandatory for HC and NOx.

The background concentrations shall be sampled upstream of the dilution tunnel into a sampling bag, and shall be subtracted from the emissions concentration according to Appendix 3, Section 2.2.3.

2.4.   Determination of the particulates

Determination of the particulates requires a dilution system. Dilution may be accomplished by a partial flow dilution system or a full flow dilution system. The flow capacity of the dilution system shall be large enough to completely eliminate water condensation in the dilution and sampling systems, and maintain the temperature of the diluted exhaust gas between 315 K (42 °C) and 325 K (52 °C) immediately upstream of the filter holders. De-humidifying the dilution air before entering the dilution system is permitted, if the air humidity is high. Dilution air pre-heating above the temperature limit of 303 K (30 °C) is recommended if the ambient temperature is below 293 K (20 °C). However, the diluted air temperature must not exceed 325 K (52 °C) prior to the introduction of the exhaust in the dilution tunnel.

The particulate sampling probe shall be installed in close proximity to the gaseous emissions sampling probe, and the installation shall comply with the provisions of Section 2.3.5.

To determine the mass of the particulates, a particulate sampling system, particulate sampling filters, microgram balance, and a temperature and humidity controlled weighing chamber, are required.

Partial flow dilution system specifications

The partial flow dilution system has to be designed to split the exhaust stream into two fractions, the smaller one being diluted with air and subsequently used for particulate measurement. For this it is essential that the dilution ratio be determined very accurately. Different splitting methods can be applied, whereby the type of splitting used dictates to a significant degree the sampling hardware and procedures to be used (Annex VI, section 1.2.1.1).

For the control of a partial flow dilution system, a fast system response is required. The transformation time for the system shall be determined by the procedure described in Appendix 2, Section 1.11.1.

If the combined transformation time of the exhaust flow measurement (see previous section) and the partial flow system is less than 0,3 s, online control may be used. If the transformation time exceeds 0,3 s, look ahead control based on a pre-recorded test run must be used. In this case, the rise time shall be ≤ 1 s and the delay time of the combination ≤ 10 s.

The total system response shall be designed as to ensure a representative sample of the particulates, GSE , proportional to the exhaust mass flow. To determine the proportionality, a regression analysis of GSE versus GEXHW shall be conducted on a minimum 5 Hz data acquisition rate, and the following criteria shall be met:

 the correlation coefficient r of the linear regression between GSE and GEXHW shall be not less than 0,95,

 the standard error of estimate of GSE on GEXHW shall not exceed 5 % of GSE maximum.

 GSE intercept of the regression line shall not exceed ± 2 % of GSE maximum.

Optionally, a pre-test may be run, and the exhaust mass flow signal of the pre-test be used for controlling the sample flow into the particulate system (look-ahead control). Such a procedure is required if the transformation time of the particulate system, t 50,P or/and the transformation time of the exhaust mass flow signal, t 50,F are > 0,3 s. Acorrect control of the partial dilution system is obtained, if the time trace of GEXHW ,pre of the pre-test, which controls GSE, is shifted by a ‘look-ahead’ time of t 50,P + t 50,F.

For establishing the correlation between GSE and GEXHW the data taken during the actual test shall be used, with GEXHW time aligned by t50,F relative to GSE (no contribution from t 50,P to the time alignment). That is, the time shift between GEXHW and GSE is the difference in their transformation times that were determined in Appendix 2, Section 2.6.

For partial flow dilution systems, the accuracy of the sample flow GSE is of special concern, if not measured directly, but determined by differential flow measurement:

GSE = GTOTW GDILW

In this case an accuracy of ± 2 % for GTOTW and GDILW is not sufficient to guarantee acceptable accuracies of GSE. If the gas flow is determined by differential flow measurement, the maximum error of the difference shall be such that the accuracy of GSE is within ± 5 % when the dilution ratio is less than 15. It can be calculated by taking root-mean-square of the errors of each instrument.

Acceptable accuracies of GSE can be obtained by either of the following methods:

(a) The absolute accuracies of GTOTW and GDILW are ± 0,2 % which guarantees an accuracy of GSE of ≤ 5 % at a dilution ratio of 15. However, greater errors will occur at higher dilution ratios.

(b) Calibration of GDILW relative to GTOTW is carried out such that the same accuracies for GSE as in (a) are obtained. For the details of such a calibration see Appendix 2, Section 2.6.

(c) The accuracy of GSE is determined indirectly from the accuracy of the dilution ratio as determined by a tracer gas, e.g. CO2. Again, accuracies equivalent to method (a) for GSE are required.

(d) The absolute accuracy of GTOTW and GDILW is within ± 2 % of full scale, the maximum error of the difference between GTOTW and GDILW is within 0,2 %, and the linearity error is within ± 0,2 % of the highest GTOTW observed during the test.

2.4.1.   Particulate sampling filters

2.4.1.1.   Filter specification

Fluorocarbon coated glass fibre filters or fluorocarbon based membrane filters are required for certification tests. For special applications different filter materials may be used. All filter types shall have a 0,3 μm DOP (di-octylphthalate) collection efficiency of at least 99 % at a gas face velocity between 35 and 100 cm/s. When performing correlation tests between laboratories or between a manufacturer and an approval authority, filters of identical quality must be used.

2.4.1.2.   Filter size

Particulate filters must have a minimum diameter of 47 mm (37 mm stain diameter). Larger diameter filters are acceptable (section 2.4.1.5).

2.4.1.3.   Primary and back-up filters

The diluted exhaust shall be sampled by a pair of filters placed in series (one primary and one back-up filter) during the test sequence. The back-up filter shall be located no more than 100mm downstream of, and shall not be in contact with, the primary filter. The filters may be weighed separately or as a pair with the filters placed stain side to stain side.

2.4.1.4.   Filter face velocity

A gas face velocity through the filter of 35 to 100 cm/s shall be achieved. The pressure drop increase between the beginning and the end of the test shall be no more than 25 kPa.

2.4.1.5.   Filter loading

The recommended minimum filter loadings for the most common filter sizes are shown in the following table. For larger filter sizes, the minimum filter loading shall be 0,065 mg/1 000 mm2 filter area.



Filter diameter

(mm)

Recommended stain diameter

(mm)

Recommended minimum loading

(mg)

47

37

0,11

70

60

0,25

90

80

0,41

110

100

0,62

2.4.2.   Weighing chamber and analytical balance specifications

2.4.2.1.   Weighing chamber conditions

The temperature of the chamber (or room) in which the particulate filters are conditioned and weighed shall be maintained to within 295 K (22 °C) ± 3 K during all filter conditioning and weighing. The humidity shall be maintained to a dewpoint of 282,5 (9,5 °C) ± 3 K and a relative humidity of 45 ± 8 %.

2.4.2.2.   Reference filter weighing

The chamber (or room) environment shall be free of any ambient contaminants (such as dust) that would settle on the particulate filters during their stabilisation. Disturbances to weighing room specifications as outlined in section 2.4.2.1 will be allowed if the duration of the disturbances does not exceed 30 minutes. The weighing room should meet the required specifications prior to personnel entrance into the weighing room. At least two unused reference filters or reference filter pairs shall be weighed within four hours of, but preferably at the same time as the sample filter (pair) weighing. They shall be the same size and material as the sample filters.

If the average weight of the reference filters (reference filter pairs) changes between sample filter weighing by more than 10 μg, then all sample filters shall be discarded and the emissions test repeated.

If the weighing room stability criteria outlined in section 2.4.2.1 are not met, but the reference filter (pair) weighing meet the above criteria, the engine manufacturer has the option of accepting the sample filter weights or voiding the tests, fixing the weighing room control system and re-running the test.

2.4.2.3.   Analytical balance

The analytical balance used to determine the weights of all filters shall have a precision (standard deviation) of 2 μg and a resolution of 1 μg (1 digit = 1 μg) specified by the balance manufacturer.

2.4.2.4.   Elimination of static electricity effects

To eliminate the effects of static electricity, the filters shall be neutralised prior to weighing, for example, by a Polonium neutraliser or a device having similar effect.

2.4.3.   Additional specifications for particulate measurement

All parts of the dilution system and the sampling system from the exhaust pipe up to the filter holder, which are in contact with raw and diluted exhaust gas, must be designed to minimise deposition or alteration of the particulates. All parts must be made of electrically conductive materials that do not react with exhaust gas components, and must be electrically grounded to prevent electrostatic effects.




Appendix 2

CALIBRATION PROCEDURE (NRSC, NRTC ( 28 ))

▼B

1.   CALIBRATION OF THE ANALYTICAL INSTRUMENTS

1.1.   Introduction

Each analyzer shall be calibrated as often as necessary to fulfil the accuracy requirements of this standard. The calibration method that shall be used is described in this paragraph for the analysers indicated in Appendix 1, section 1.4.3.

1.2.   Calibration gases

The shelf life of all calibration gases must be respected.

The expiry date of the calibration gases stated by the manufacturer shall be recorded.

1.2.1.   Pure gases

The required purity of the gases is defined by the contamination limits given below. The following gases must be available for operation:

 purified nitrogen

 (contamination ≤ 1 ppm C, ≤ 1 ppm CO, ≤ 400 ppm CO2, ≤ 0,1 ppm NO)

 purified oxygen

 (purity > 99,5 % vol O2)

 hydrogen-helium mixture

 (40 ± 2 % hydrogen, balance helium)

 (contamination ≤ 1 ppm C, ≤ 400 ppm ►M1  CO2  ◄ )

 purified synthetic air

 (contamination ≤ 1 ppm C, ≤ 1 ppm CO, ≤ 400 ppm CO2, ≤ 0,1 ppm NO)

 (oxygen content between 18 – 21 % vol)

1.2.2.   Calibration and span gases

Mixture of gases having the following chemical compositions shall be available:

 C3H8 and purified synthetic air (see section 1.2.1)

 CO and purified nitrogen

 NO and purified nitrogen (the amount of NO2 contained in this calibration gas must not exceed 5 % of the NO content)

 O2 and purified nitrogen

 CO2 and purified nitrogen

 CH4 and purified synthetic air

 C2H6 and purified synthetic air

Note: other gas combinations are allowed provided the gases do not react with one another.

The true concentration of a calibration and span gas must be within ± 2 % of the nominal value. All concentrations of calibration gas shall be given on a volume basis (volume percent or volume ppm).

The gases used for calibration and span may also be obtained by means of a gas divider, diluting with purified N2 or with purified synthetic air. The accuracy of the mixing device must be such that the concentration of the diluted calibration gases may be determined to within ± 2 %.

▼M3

This accuracy implies that primary gases used for blending shall be known to have an accuracy of at least ± 1 %, traceable to national or international gas standards. The verification shall be performed at between 15 and 50 % of full scale for each calibration incorporating a blending device. An additional verification may be performed using another calibration gas, if the first verification has failed.

Optionally, the blending device may be checked with an instrument which by nature is linear, e.g. using NO gas with a CLD. The span value of the instrument shall be adjusted with the span gas directly connected to the instrument. The blending device shall be checked at the used settings and the nominal value shall be compared to the measured concentration of the instrument. This difference shall in each point be within ± 1 % of the nominal value.

Other methods may be used based on good engineering practice and with the prior agreement of the parties involved.

Note: A precision gas divider of accuracy is within ± 1 %, is recommended for establishing the accurate analyser calibration curve. The gas divider shall be calibrated by the instrument manufacturer.

▼B

1.3.   Operating procedure for analysers and sampling system

The operating procedure for analysers shall follow the start-up and operating instructions of the instrument manufacturer. The minimum requirements given in sections 1.4 to 1.9 shall be included.

1.4.   Leakage test

A system leakage test shall be performed. The probe shall be disconnected from the exhaust system and the end plugged. The analyser pump shall be switched on. After an initial stabilization period all flow meters should read zero. If not, the sampling lines shall be checked and the fault corrected. The maximum allowable leakage rate on the vacuum side shall be 0,5 % of the in-use flow rate for the portion of the system being checked. The analyser flows and bypass flows may be used to estimate the in-use flow rates.

Another method is the introduction of a concentration step change at the beginning of the sampling line by switching from zero to span gas.

If after an adequate period of time the reading shows a lower concentration compared to the introduced concentration, this points to calibration or leakage problems.

1.5.   Calibration procedure

1.5.1.   Instrument assembly

The instrument assembly shall be calibrated and calibration curves checked against standard gases. The same gas flow rates shall be used as when sampling exhaust.

1.5.2.   Warming-up time

The warming-up time should be according to the recommendations of the manufacturer. If not specified, a minimum of two Hours is recommended for warming-up the analysers.

1.5.3.   NDIR and HFID analyser

The NDIR analyser shall be tuned, as necessary, and the combustion flame of the HFID analyser shall be optimized (section 1.8.1).

1.5.4.   Calibration

Each normally used operating range shall be calibrated.

Using purified synthetic air (or nitrogen), the CO, CO2, Nox, HC and O2 analysers shall be set at zero.

The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curve established according to section 1.5.6.

The zero setting shall be re-checked and the calibration procedure repeated, if necessary.

1.5.5.   Establishment of the calibration curve

1.5.5.1.   General guidelines

►M3   ►C1  The analyser calibration curve is established by at least six calibration points (excluding zero) spaced as uniformly as possible. ◄  ◄ The highest nominal concentration must be equal to or higher than 90 % of full scale.

The calibration curve is calculated by the method of least squares. If the resulting polynomial degree is greater than three, the number of calibration points (zero included) must be at least equal to this polynomial degree plus two.

▼M3

The calibration curve must not differ by more than ± 2 % from the nominal value of each calibration point and by more than ± 0,3 % of full scale at zero.

▼B

From the calibration curve and the calibration points, it is possible to verify that the calibration has been carried out correctly. The different characteristic parameters of the analyser must be indicated, particularly:

 the measuring range,

 the sensitivity,

 the date of carrying out the calibration.

1.5.5.2.   Calibration below 15 % of full scale

The analyser calibration curve is established by at least ten calibration points (excluding zero) spaced so that 50 % of the calibration points is below 10 % of full scale.

The calibration curve is calculated by the method of least squares.

▼M3

The calibration curve must not differ by more than ± 4 % from the nominal value of each calibration point and by more than ± 0,3 % of full scale at zero.

▼B

1.5.5.3.   Alternative methods

If it can be shown that alternative technology (e.g. computer, electronically controlled range switch, etc.) can give equivalent accuracy, then these alternatives may be used.

1.6.   Verification of the calibration

Each normally used operating range shall be checked prior to each analysis in accordance with the following procedure.

The calibration is checked by using a zero gas and a span gas whose nominal value is more than 80 % of full scale of the measuring range.

If, for the two points considered, the value found does not differ by more than ± 4 % of full scale from the declared reference value, the adjustment parameters may be modified. Should this not be the case, a new calibration curve shall be established in accordance with section 1.5.4.

1.7.   Efficiency test of the NOx converter

The efficiency of the converter used for the conversion of NO2 into NO is tested as given in sections 1.7.1 to 1.7.8 (Figure 1).

1.7.1.   Test set-up

Using the test set-up as shown in Figure 1 (see also Appendix 1, section 1.4.3.5) and the procedure below, the efficiency of converters can be tested by means of an ozonator.

image Figure 1 Schematic of NO2 converter efficiency device

1.7.2.   Calibration

The CLD and the HCLD shall be calibrated in the most common operating range following the manufacturer's specifications using zero and span gas (the NO content of which must amount to about 80 % of the operating range and the NO2 concentration of the gas mixture to less than 5 % of the NO concentration). The NOx analyser must be in the NO mode so that the span gas does not pass through the converter. The indicated concentration has to be recorded.

1.7.3.   Calculation

The efficiency of the NOx converter is calculated as follows:

image

(a)

NOx concentration according to section 1.7.6;

(b)

NOx concentration according to section 1.7.7;

(c)

NO concentration according to section 1.7.4;

(d)

NO concentration according to section 1.7.5.

1.7.4.   Adding of oxygen

Via a T-fitting, oxygen or zero air is added continuously to the gas flow until the concentration indicated is about 20 % less than the indicated calibration concentration given in section 1.7.2 (The analyser is in the NO mode.)

The indicated concentration (c) shall be recorded. The ozonator is kept de-activated throughout the process.

1.7.5.   Activation of the ozonator

The ozonator is now activated to generate enough ozone to bring the NO concentration down to about 20 % (minimum 10 %) of the calibration concentration given in section 1.7.2. The indicated concentration (d) shall be recorded. (The analyser is in the NO mode.)

1.7.6.   NOx mode

The NO analyser is then switched to the NOx mode so that the gas mixture (consisting of NO, NO2, O2 and N2) now passes through the converter. The indicated concentration (a) shall be recorded. (The analyser is in the NOx mode.)

1.7.7.   De-activation of the ozonator

The ozonator is now de-activated. The mixture of gases described in section 1.7.6 passes through the converter into the detector. The indicated concentration (b) shall be recorded. (The analyser is in the NOx mode.)

1.7.8.   NO mode

Switched to NO mode with the ozonator de-activated, the flow of oxygen or synthetic air is also shut off. The NOx reading of the analyser shall not deviate by more than ± 5 % from the value measured according to section 1.7.2 (The analyser is in the NO mode.)

1.7.9.   Test interval

The efficiency of the converter must be tested prior to each calibration of the NOx analyser.

1.7.10.   Efficiency requirement

The efficiency of the converter shall not be less than 90 %, but a higher efficiency of 95 % is strongly recommended.

Note: If, with the analyser in the most common range, the ozonator cannot give a reduction from 80 % to 20 % according to section 1.7.5, then the highest range which will give the reduction shall be used.

1.8.   Adjustment of the FID

1.8.1.   Optimization of the detector response

The HFID must be adjusted as specified by the instrument manufacturer. A propane in air span gas should be used to optimize the response on the most common operating range.

With the fuel and air flow rates set at the manufacturer's recommendations, a 350 ± 75 ppm C span gas shall be introduced to the analyser. The response at a given fuel flow shall be determined from the difference between the span gas response and the zero gas response. The fuel flow shall be incrementally adjusted above and below the manufacturer's specification. The span and zero response at these fuel flows shall be recorded. The difference between the s