52000PC0840

Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Directive 97/68/EC 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

(presented by the Commission)

EXPLANATORY MEMORANDUM

A. Objective of the proposal

The objective of the proposal is to extend the scope of the current Directive on emissions from compression ignition engines to be used in non-road mobile machinery (Directive 97/68/EC) to cover small spark ignition engines also. This will contribute to achieving ambient air quality targets especially concerning formation of ozone.

B. Legal basis

The amendment is proposed on the basis of Article 95 (ex Article 100a) of the EC Treaty. It forms part of the type-approval system used for engines for non-road machinery and compliance with it will be mandatory for new type approvals to be issued by national authorities. The amendment sets performance standards, leaving the manufacturer the freedom to design products that meet those standards. This legislative approach is fully supported by the operators in the market.

The text is relevant for the EEA.

C. Background

The current EU Directive on emissions from engines for non-road machinery (Directive 97/68/EC) covers only compression engines with a power output above 18 kW but not more than 560 kW. It includes emission limits for carbon monoxide, oxides of nitrogen, hydrocarbons and particulates. The different limit values are implemented in two stages -stage I coming into force during 1999 and stage II between 2000 and 2003, depending on the engine power output.

Recital 5 of the Directive states that the scope of the Directive could be extended to cover gasoline engines - however without giving any schedule for the extension.

As will be discussed later, the Directive was developed and implemented in very close co-operation with the Environmental Protection Agency of the USA, thus achieving worldwide alignment, including the Japanese legislation. It is therefore of particular interest to study what has already happened and what is in the pipeline in the USA concerning non-road spark ignition engines.

Regulations have been in force federally in the USA since 1997 (adopted in 1995). Those regulations are limited to engines of not more than 19 kilowatts and certain applications are exempted - for instance engines used for marine vessels, underground mining equipment, motorcycles, aircraft and certain recreational vehicles.

A second phase of those regulations was decided upon in March 1999 for "non-handheld engines" and in June 2000 for "handheld engines". This second phase will come into force starting in 2001 for "non-handheld engines". Concerning "handheld engines", the regulations will be implemented between 2002 and 2007.

For engines with a power output above 19 kW there are no regulations in force federally in the USA. At state level the California ARB implemented such rules in October 1998.

To prepare for a possible extension of the scope of Directive 97/68/EC, consultations have been held with experts from the Member States.

1. Justification for extending the scope of Directive 97/68/EC

1.1. Emissions from non-road SI engines

In the field of SI engines for non-road mobile machinery the most immediate pollutants to discuss are hydrocarbons and oxides of nitrogen - as ozone precursors. In the longer term particulate emissions, especially from two-stroke engines, and perhaps specific toxic hydrocarbons should also be studied. The latter pollutants are not covered in this proposed amendment but might be covered in future work since further scientific studies have to be carried out before any concrete measures can be justified and proposed.

Statistics on emissions of air pollution have concentrated very much on road traffic and on stationary sources. Thus there is a certain lack of reliable data on the overall emissions from non-road mobile machinery. In preparing Directive 97/68 the Commission launched a study in order to draw up an inventory of the emissions and relative importance of different categories of non-road engines. The data used in this study are from the beginning of the 1990s.

From the study the following information can be extracted:

>TABLE POSITION>

Stage I of Directive 97/68/EC has been implemented resulting in a reduction of emissions from non-road mobile machinery equipped with diesel engines. Concerning light on-road vehicles, three-way catalytic converter technology was introduced at the start of the 1990s resulting in significantly lower emissions of all gaseous pollutants. The standards have been tightened step by step, and a modern light vehicle of today emits less than 10% of what was the case with a vehicle in the late 1980s. A similar development has taken place concerning heavy-duty vehicles although not as effective as for light vehicles.

Furthermore additional tightening of the standards has already been decided upon. For light vehicles the next step will be introduced in 2005 and for heavy duty vehicles (HDV) tighter standards will be introduced step by step in October 2000, in 2005 and, for NOx, tentatively also in 2008. In addition a concept of EEV (enhanced environmentally friendly vehicles), to be used by Member States together with economic incentives, has been decided upon for HDVs.

With the introduction of those standards emissions from on-road vehicles will decrease significantly in spite of the increased traffic volumes. According to calculations made in the Auto Oil II programme, emissions of NOx and VOC from the road transport sector will decrease by about 50% by the year 2010 compared with today's situation. The relative importance of emissions from non-road machinery and especially from spark-ignited engines has therefore increased since 1990 and will continue to do so even more in the future.

1.2. Environmental needs

The intention of the Auto-Oil II programme was to find cost-effective strategies to meet the requirements of the different ambient air quality standards and other air pollution programmes within the EU. Certain results from the programme are of interest when evaluating future emission standards for non-road machinery.

Modelling of the "base case" forecasts significant reductions in emissions for all 'conventional' pollutants by the year 2010. These reductions, which will be even more significant by the year 2020, will translate into big improvements in air quality but may not always be sufficient to reach the air quality objectives mentioned above.

In particular with regard to tropospheric ozone, it has been suggested that the improvements in ozone levels which can be expected will still leave the Community well short of its objective of no regional-scale exceedences of critical levels. The remaining main air quality challenge will be 'closing the gap' between the Auto-Oil II base case emission projections and the proposed national emission ceilings for NOx and HC. The national emission ceilings for HC emissions, which is one of the main pollutants from small SI engines, are expected to be exceeded in several Member States in 2010.

Another pollutant highlighted in the Auto-Oil II programme is particulate emissions. In this case the cause-effects relationship is still unclear but it is obvious that the number of small particles as well as the content of the particles might be greater than previously thought. Therefore this kind of pollutant is also of future interest concerning spark ignition engines - especially two-stroke engines.

1.3. Cost

With respect to cost-effectiveness no detailed scenarios for spark ignition engines for non-road machinery were produced in the Auto-Oil II programme. However, the background reports to the US-regulation contain extensive studies on the environmental benefits, the effects of the emissions and the costs for the standards decided upon. Even though those studies cover the US situation, much of the data generated is of a general character and therefore can be used also to estimate the cost-effectiveness under European conditions.

For the phase 1 programme in the USA, the following information on cost-effectiveness has been published (Source: EPA - response to comments on the Notice of Proposed Rulemaking):

-If the total costs for the proposed standards are allocated to HC the cost will be $ 266 per tonne of HC reduced. If equally split between HC and CO the cost will be $ 133 per tonne of HC and CO reduced.

For phase 2 non-handheld engines the following cost has been used (EPA Final Regulatory Impact Analyses):

-When not taking the fuel saving into account $ 852 per tonne HC+NOx saved - noting that by far the biggest reduction is the one in HC - and when taking fuel savings into account $ 507 per tonne. The greatest fuel saving is within the Class II engines but for the Class I engines the cost also decreases to a third when taking the fuel saving into account.

For phase 2 regulations on handheld engines the corresponding estimates are $ 830-1020/ tonne NOx+HC without fuel savings and $ 560-750 with fuel savings.

To gain an idea of the relative cost-effectiveness those figures could be compared with the ones available as a basis for the Commission proposal on a Directive on national emissions ceilings. For hydrocarbons, which are one of the important pollutants when discussing non-road SI machinery, the cost-effectiveness in the different Member States for meeting the requirements in the proposed NEC-Directive typically varies between EUR 1500 and 4000 per tonne reduction in HC.

Assuming that the cost-efficiency used in the US-regulatory process is also typical for European conditions, implementation of an amendment in line with the US regulations/proposed regulations should be well below those figures and should thus be considered cost-effective. Overall the cost implications of introducing standards corresponding to the US standards should be less for European manufacturers. The US estimate was based on the assumption that the legislation was introduced in the USA only. Many European manufacturers are producing engines on a global market and have to develop and produce engines meeting the US standards independently of the EU legislation. A global alignment of the legislation will lower the cost for those manufacturers.

In addition to the overall cost-effectiveness of an amendment the impact on individual manufacturers must be taken into account. For those European manufacturers who are not operating on a global market and will not be doing so in the future, an amendment will have different consequences than it will for manufacturers who are operating on a global market. The former might have limited resources to carry out technical development and they might also have a limited number of machinery types. Another problem that must be taken into account is the specific European noise requirements that might create the need for extra efforts especially for equipment manufacturers. This kind of problem will, however, occur whichever standards are implemented and should be handled by certain special arrangements, for instance longer implementation periods.

1.4. Industry needs

The current situation in Europe, where there is no emission legislation covering spark ignition engines for non-road mobile machinery but obviously an environmental need for it, opens up the possibility of implementation of national and local standards. There are no guaranties that those standards will be similar in the different Member States and if they are not they will definitely create distortion of the single market. Furthermore, from an environmental point of view it is unfortunate if the development resources of the industry are split between a lot of different concepts making it more difficult to get robust solutions at a high environmental level.

Many, though far from all, companies are presently offering their products on a world-wide basis. Those companies will definitely benefit from a limitation in the number of standards, especially if a world-wide alignment is achieved. For those companies not yet on the world market such a development would open up this market too for their products.

D. INVOLVEMENT OF INTERESTED PARTIES

1. Position of industry

The engine manufacturers have been closely involved in the discussions and the development of the proposal. They have been an important contributor and, in general, support the Commission's proposal.

2. Position of Member States

Experts from the Member States have been consulted and informed of the content of the proposal through the Commission's Working Group on Emissions from Non-road Mobile Machinery Engines (GEME) and by mail. A majority of the experts support the proposals.

E. CONTENT OF THE PROPOSAL

1. "World-wide" alignment

When the preparatory work on the current Directive 97/68/EC for CI engines started, no regulations had yet been implemented in the USA or in Japan. They were thus developed in parallel in Europe and the USA. This created a good opportunity to find common solutions and the rules were developed in a spirit of mutual understanding and a willingness to achieve alignment. Later Japan developed legislation aligned on the EU/US legislation.

The situation today concerning spark ignition engines is somewhat different. In the USA regulations are already in place for small engines. For large engines the situation is very much the same as it was for diesel engines when developing Directive 97/68, in that there is no EU legislation and no federal US legislation either.

This means in reality that alignment for small engines is basically a question of evaluation of the current US legislation. However, during the bilateral discussions that have taken place, representatives from the US-EPA have stated a willingness to propose amendments to their legislation if this can be justified and if necessary in order to achieve an alignment.

The European manufacturers have, through the European Association of Internal Combustion Engine Manufacturers (Euromot), expressed a strong wish to achieve world-wide alignment of the legislation concerning SI engines also. In this context they have presented a proposal based mainly on the US legislation - though taking into account some specific European conditions.

From an environmental point of view an alignment is advantageous providing that the standards are on a high level of ambition reflecting the use of best available technology, that they are cost efficient and that they address the relevant environmental problems. The background documents presented by US-EPA clearly indicate that this is the case with the implemented US legislation. In addition aligned requirements will give industry a better chance to concentrate development resources and thus produce more durable technical designs to meet the standards.

Consequently it is beneficial for industry as well as for the environment to align the future EU legislation on the corresponding US legislation as far as possible and to work for world-wide acceptance of those standards. The recent global agreement within the UN-ECE in Geneva creates a possible forum to obtain such world-wide alignment.

2. Scope of the amendment

Directive 97/68/EC on CI (diesel) engines covers engines with a power output between 18 kW and 560 kW. Those are typical sizes for that kind of engine and consequently the contribution of emissions from CI engines below 18 kW is very small.

SI engines used in non-road equipment are the opposite case. They are normally smaller and the smallest ones make the highest contribution to the overall emissions (NMHC). Typically those below about 20 kW are the biggest contributors, although the contribution from somewhat bigger engines cannot be neglected.

When developing Directive 97/68/EC the Commission carried out an inventory to find out the contributions of the different classes of non-road engines to the emissions.

>TABLE POSITION>

The data from the study clearly indicate that engines below 18 kW are the most important for the overall emissions from SI engines. This does not exclude that there might be cost-effective measures for larger engines as well. However, to be able to draw any conclusions about this, further studies will have to be carried out. Furthermore, if the current policy of achieving a global alignment of the standards is to be maintained, discussions will have to take place on an international level. This process will take a long time. To avoid delaying implementation of standards for the smaller engines, this first amendment of the Directive on SI engines is limited to the segment already regulated in the USA - not more than 19 kW.

According to recital 5 in Directive 97/68/EC the scope of the Directive should be enlarged to include gasoline engines. Even if the expression "gasoline engines" is used it might be considered whether alternative fuelled engines should also be covered. In the current US regulations a voluntary option on NMHC (non-methane hydrocarbon) is included for "non- handheld engines" to cover natural gas fuelled engines. Such engines are not expected as "handheld engines". However gas fuelling is more common for the bigger engines and is expected to be very exceptional for engines below 20 kW in Europe. The European manufacturers have expressed no wish for a similar voluntary option as in the USA. The discussion on gas fuelled engines therefore will be addressed when discussing SI engines with a power output above 19 kW.

In the current scope of Directive 97/68/EC certain applications are exempted. For natural reasons engines for propelling on-road vehicles are exempted. By limiting the scope of this amendment to engines of not more than 19 kW those are normally exempted anyhow but should still be outside the scope of the Directive also concerning SI engines. Concerning recreational boats work is under way on drafting an amendment to Directive 94/25/EC to cover emissions (and noise). Consequently there is no need to include this application in the amendment of Directive 97/68/EC.

Today constant speed engines (generating sets) are also excluded. This is not the case in the corresponding US legislation. There is no other EU legislation applicable to emissions from those types of engines and they should therefore be covered. For SI engines they will be covered on the same implementation dates as for other types of engines. For CI engines they will be covered from 1 January 2007, giving the manufacturers enough lead time to develop the necessary technology.

Finally "recreational" vehicles (like snowmobiles) are exempted in the US legislation. Many of those engines are above 19 kW but smaller engines also exist. In certain Member States emissions from snowmobiles are a notable part of overall emissions. However, since the segment proposed for the current amendment only covers a minor part of the engines and since the background studies do not include recreational vehicles those have been excluded from the proposal. The US EPA has announced its intention to develop legislation for emissions from recreational vehicles in the future which creates a good opportunity for bilateral discussions and, if found appropriate, for aligned legislation.

3. Classification of engines

As in the current US regulation, engines are divided into two main categories, depending on the kind of equipment in which they are intended to be used - handheld and non-handheld. This split is also the natural split between the segment totally dominated by 4-stroke engines and the one in which 2-stroke engines are frequent.

Handheld engines are defined as follows:

At least one of the following requirements must be met:

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

*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);

*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:

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

(b) The operator must provide support or attitudinal control for the equipment throughout the performance of its function(s); and

(c) The engine must be used in a generator or a pump;

Equipment not fulfilling those criteria is consequently defined as non-handheld.

The two categories of engine - handheld/non-handheld - are subdivided into three and four size-classes respectively, depending on the displacement of the engines. This classification is linked to the technical/economic possibilities to reduce emissions.

The engines covered by the extended scope of Directive 97/68/EC are - following the US legislation and the Euromot proposal - divided into different classes and categories:

Main class S: Small engines with a net power „ 19 kW.

Main class S will be divided into two categories:

H: Engines for handheld machinery,

N: Engines for non-handheld machinery.

Class/category // Displacement (cubic cm)

Handheld engines

Class SH:1 // < 20

Class SH:2 // … 20 to < 50

Class SH:3 // … 50

Non-handheld engines

Class SN:1 // < 66

Class SN:2 // … 66

< 100

Class SN:3 // … 100

< 225

Class SN:4 // … 225

4. Pollutants to be regulated

Pollutants normally covered by EU Directives on emissions from engines or vehicles are carbon monoxide (CO), oxides of nitrogen (NOx), hydrocarbons (HC) and particulates (PT) (diesel). As discussed in chapter 1 of this explanatory memorandum, it is obvious that the emission of hydrocarbons is a main issue for this kind of engine. Especially for 2-stroke engines this is the dominant gaseous pollutant and therefore must obviously be addressed in the amendment. In addition the emissions of NOx, as a precursor of ozone, should be considered. The Auto Oil II programme clearly indicated that no further problems are expected with CO in the future and therefore the need to regulate this is less obvious from an environmental point of view. However, for the sake of alignment, it should be included in the set of standards in the amendment. It is noteworthy that the US EPA has drawn similar conclusions on the relative importance of the gaseous pollutants. Thus it should be noted that the standards for CO have not been tightened in phase II - only adjusted to reflect that the phase II standards include durability requirements.

Obviously particulate emissions from SI engines, especially two-stroke engines, will also be a topic of some urgency in the future. However, there is still a need for further knowledge about the importance from both the health and environmental points of view before relevant regulations can be implemented. There is also a need for further inventory studies on the emission, size distribution and content of those particles.

5. Two-step approach

As described above, the US regulation has been implemented in two phases. The current Directive 97/68/EC also contains two stages of implementation for compression ignition engines. A two-stage approach of this kind has certain advantages. The main advantage is that it gives the industry longer lead-time to develop a reliable and durable technology. A disadvantage is that it might take longer to introduce very strict standards than it would if doing so in one step.

For SI engines a first phase is already in force in the USA. It will be fully implemented by the year 2002. It could therefore be asked whether any European legislation - assuming it is aligned with the US legislation - should go directly for the second phase. Theoretically it could be stated that going directly to step 2 should be less expensive for industry and should also allow earlier implementation than would otherwise be the case. However, if such a strategy were chosen, SI engines for non-road mobile machinery would be unregulated in Europe for at least another 5 years or so. Therefore the proposal includes a two-step approach. The implementation dates are obviously linked to the corresponding implementation in the USA. It should, however, be noted that not all European manufacturers are producing engines for the US market. They therefore need a certain lead time to develop their products even if the basic technology is known. In addition the equipment manufacturers have to adjust their designs for the European market to take into account the stricter EU legislation on noise.

6. Limit values. Compliance with standards

Limit values

The limit values used in the US legislation have been demonstrated to give a good balance between the environmental benefits and the overall economic implications. Using the same limit values (and test procedures) is also the most important element in the alignment procedure. Consequently there is no need to modify them.

It should though be noted that the two classes SN:1 and SN:2 did not exist in phase I of the US legislation and no engines fulfilling those requirements existed. Consequently all existing engines in those classes are developed to meet the phase two standards. Those standards include the deterioration of the engines and to be fully logical the emission limits for stage I should have been strengthened accordingly. However there are no data on how to do this calculation. Therefore the same limit values as in stage II have been used with the certainty that the real emissions will be lower. Furthermore the implementation date proposed for stage II for those engines is to be as early as 1 August 2004.

>TABLE POSITION>

Compliance with standards

The impact on the environment, of course, depends on the emissions of the engines during real working conditions and taking into account their deterioration by normal use. The US regulation on non-handheld engines, phase II, has therefore implemented standards reflecting in-use emissions. For this purpose a method on how to measure the deterioration factors (DFs) is presented as well as a set of assigned DFs that can be used by small volume manufacturers which have less resources to carry out durability tests.

Implementing such a system in stage 1 already for the European regulations could give some environmental benefits. On the other hand it is difficult to find what standards should be used that correspond to the standards used in the USA for phase I.

7. Phase-in, averaging, banking and trading

The limit values shown in the table are being introduced in the US legislation with a degree of flexibility. For stage one a "phase-in" procedure is used meaning that only a certain share of a manufacturer's production has to meet the standards in the first year. This share is increased every year until the total production has to meet the standards. This phase-in procedure started in 1996 and by 2002 all the production has to meet the regulations.

Such a phase-in procedure might be beneficial for the environment as well as for the industry. It will make it possible to implement standards for part of the production even though this is not possible for the whole production. At the same time it gives flexibility for industry to develop its production step by step. However since phase I of the US legislation will be fully implemented by 2002, well before the implementation dates in this proposed amendment, there is no need for a similar phase-in programme.

Furthermore, in the corresponding US regulations a system of averaging, banking and trading has been included for the phase II requirements. In brief this means that a manufacturer may produce engine families that are emitting pollutants above the emission limits as long as he is compensating this with other engine families that are emitting below the limit values. As an average the manufacturer has to be below the limit values for his total production. In practice this means that initially he can concentrate on the large engine families and leave the small ones.

To obtain environmental benefits from this system a manufacturer using this option must on average meet progressively tighter standards until the application dates when stage II comes into force. At the implementation date for stage II, of course, the manufacturer has to meet those requirements as an average.

Within the banking system a manufacturer may save credits from one year to another to meet the average emission standards.

The trading system means that a manufacturer might buy or sell credits from or to another manufacturer.

This system, especially the averaging and banking parts, is an important element of the US regulations and thus essential to achieve alignment between the US and EU legislation. The intention therefore has been to build a similar system into this amendment. However, trying to do so raises some issues of concern:

Administrative difficulties

There are some major differences between the US administrative procedures and the EU procedure used in Directive 97/68/EC. The US procedure is based on a certification system leaving much of the responsibilities of testing to the manufacturers. Furthermore it is administered by one and the same authority - EPA. The EU legislation in this field is based on a type-approval system and is administered by, in principle, approval authorities in all the Member States. Those differences make it difficult to transfer the US system into EU legislation without modifications.

Competition between "small" and "large" manufacturers

Only manufacturers producing more than one engine family can use an averaging and banking system. The more engine families produced the more beneficial the system is. This might lead to a situation where a large manufacturer with a large number of engine families in its range could continue to produce engine types with emissions above the limit values by compensating this with production of an engine family with emissions below the limit values. At the same time a small manufacturer with perhaps a similar engine as the only one in its range has to meet the standards.

Those two issues have been addressed in the proposed amendment. One alternative is of course not to include averaging and banking. If doing so and still trying to offer a possibility for the engine manufacturers to use the same engine designs world-wide, the limit values would have needed to be higher or implemented later. This would have opened the way for imports onto the EU market of engines with lower technical standards from an emission point of view.

Consequently a system of averaging and banking is included in the proposal. This system is optional for the manufacturer who might choose to use the traditional method of type approving all his engine families separately to meet the limit values instead. To avoid any extra administrative burden on the approval authorities, all requirements that might follow as a consequence of the system have to be covered by the manufacturers. To meet the competition between manufacturers who cannot use the system of averaging and banking and those who can, an exemption is proposed for "small engine families", as is the case in the US legislation (see below).

An averaging and banking system has never been used in EU legislation before. Some doubts therefore were raised during the discussions with Member States and industry whether the details of the proposed system were the most appropriate. At the same time experts from the Member States expressed the need for quick introduction of the amendment and implementation as early as possible. In order to meet both those requests the Commission, instead of delaying implementation, will launch a study to look at the details of the proposed system in greater depth and, if found appropriate, propose amendments before the averaging and banking option comes into force (stage II).

8. Small volume manufacturers and small engine families - stage II

Small volume manufacturers

Small volume manufacturers will have greater difficulties in addressing the requirements than manufacturers producing larger volumes. They have more limited development resources and thus need extra time to adjust their production. In the US legislation too this problem has been addressed by a later implementation date for those manufacturers.

During the discussion with industry a request for a later implementation date for stage II was made. An application date three years later has therefore been proposed for small volume engine manufacturers, defined as those with a total production of the engines covered by the proposal of less than 25 000 units per year.

Production of small engine families

Costs for developing the technology necessary to meet the standards could of course be covered more easily with big engine families than with smaller ones. For some niche products it might be difficult to cover the cost needed to meet the standards, at least in the short term. These products need extra time for technical development or to find solutions that can replace the engines. This need is similar for small engine manufacturers and for large engine manufacturers.

In the US legislation this is approached by an exemption for small engine families. However, such a solution might - taking into account the structure of grouping into engine families in the EU legislation - result in a manufacturer dividing his production into a large number of small engine families to prevent introduction of the standards. To avoid this the criteria on how to group the engine families must be changed. The engine family concept was introduced to limit the burden of testing for the manufacturer. Consequently it has been left to the manufacturer to a great extent to decide how to create the engine families, just concentrating on the "worst case" in the engine family. A change of those provisions would limit this advantage for the manufacturer without presenting the necessary advantages from other points of view. Instead, to simplify the system, the problem with small engine families has been addressed by looking at the production of a certain class of engines. Such a simplification would take care of the small engine family problem in a reasonable way for small manufacturers who are unable to use the averaging system. For manufacturers using the averaging and banking system this will solve the corresponding problem on an equitable basis from a competition point of view.

The proposal therefore delays implementation for three years for any manufacturer who can show a production volume of a certain class of engines below 5 000 units per year. The delay of course only covers that specific class of engines.

9. Replacement engines

For smaller engines (SI engines) the value of the engine as such represents the main value of the equipment. Therefore there is no need to address the issue of replacement engines. Subsequently there are no specific arrangements in the US legislation for this type of engine.

For larger engines, where the total value of the equipment is considerably higher than the value of the engine as such, special arrangements for replacement engines might be relevant. The current requirement in Directive 97/68/EC is that a replacement engine must meet the emission limits in force at the time. It might, however, be difficult to find a fitting engine meeting those emission standards.

In the current Directive 97/68/EC this topic of replacement engines has not been dealt with separately. So far it has created no problems since stage I of the Directive came into force very recently. However, if not addressed it will create problems in the future. Therefore separate requirements are proposed for replacement CI engines making it possible to replace an engine with one meeting the same requirements that the original engine had to meet.

2000/0336(COD)

Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending Directive 97/68/EC 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 95 thereof,

Having regard to the proposal from the Commission,

Having regard to the opinion of the Economic and Social Committee,

Having regard to the opinion of the Committee of the Regions,

Acting in accordance with the procedure laid down in Article 251 of the Treaty

Whereas:

(1) The Auto Oil II programme was a programme to identify cost effective strategies to meet the air quality objectives of the Community. The Commission Communication Review on the Auto Oil II programme [1] concluded that there is a need for measures, especially to adddress the issues of ozone and particulate emissions. Recent work on the development of national emissions ceilings has shown that further measures are needed to meet the air quality objectives decided upon in the Community legislation.

[1] COM (2000) 626 final.

(2) Stringent standards on emissions from vehicles on highways have been gradually introduced. It has already been decided that those standards should be strengthened. The relative contribution of pollutants from non-road mobile machinery thus will be more predominant in the future.

(3) Directive 97/68/EC of the European Parliament and of the Council [2] introduced emission limit values for gaseous and particulate pollutants from internal combustion engines to be installed in non-road mobile machinery.

[2] OJ L 59, 27.2.1998, p.1.

(4) Although Directive 97/68/EC initially applied only to certain compression ignition engines, recital (5) of that Directive envisages the extension of its scope to include gasoline engines.

(5) The emissions from small spark ignition engines (gasoline engines) in different types of machinery contribute significantly to identified air quality problems, both current and future, especially ozone formation.

(6) Emissions from small spark ignition engines are subject to strict environmental standards in the USA showing that it is technically possible to significantly reduce the emissions.

(7) The absence of Community legislation means it is possible to import engines with old fashioned technology from an environmental point of view, thereby jeopardising the air quality objectives in the Community or to implement national legislation in this field, with the potential to create barriers to trade.

(8) Directive 97/68/EC is closely aligned with the corresponding US legislation and continuing alignment will have benefits for industry as well as for the environment.

(9) A certain lead time is necessary for the European industry, especially for those manufacturers that are not yet operating on a global basis, to be able to meet the emission standards.

(10) A two step approach is used in Directive 97/68/EC for compression ignition engines as well as in the US regulations on spark ignition engines. Although it might have been possible to adopt a one step approach in the Community legislation, this would have left the field unregulated for another 4-5 years, thereby creating a market for engines with high emissions.

(11) A system of averaging, banking and trading is an important element of stage II of the US regulations. Such a system means that a manufacturer can compensate emissions above the standards for one engine family by lower emissions from another as long as the average emissions of the engines sold is below the standard, banking credits from one year to another to achieve the averaging goal and buying and selling those credits to other manufacturers. The averaging and banking parts of the system, in particular, are essential when trying to align the US and Community legislation. A similar system of banking and trading is included in this Directive, to be used on a voluntary basis.

(12) Averaging and banking has never before been used in the Community legislation in this field. Differences in the administrative systems between the Community and the USA create some uncertainties about the details of the averaging and banking systems; the Commission will review the details of the included averaging and banking systems and, where necessary, propose changes or amendments before the scheduled date of entry into force.

(13) Provisions of Directive 97/68/EC concerning the Committee procedure should be adapted to take account of Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission. [3]

[3] OJ L 184, 17.7.1999, p.23.

(14) Directive 97/68/EC should be amended accordingly,

HAVE ADOPTED THIS DIRECTIVE:

Article 1

Directive 97/68/EC is amended as follows:

(1) In Article 2, the following indents are added:

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

-handheld 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 handheld engine shall mean an engine which does not fall under the definition of a handheld 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 manufacturer of SI engines shall mean a manufacturer with a total production of less than 5 000 units of one and the same class,

-small volume engine manufacturer of SI engines shall mean a manufacturer with a total production of less than 25 000 units."

(2) In Article 3, the following paragraph 4 is added:

"4. A manufacturer may, for SI engines with a power output of not more than 19 kW for stage II, on a voluntary basis, use the alternative type approval procedure described in Annex XII to this Directive."

(3) Article 4 is amended as follows :

(a) Paragraph 2 is amended as follows:

(i) in the first sentence "Annex VI" is replaced by "Annex VII";

(ii) in the second sentence "Annex VII" is replaced by "Annex VIII";

(b) Paragraph 4 is amended as follows:

(i) in point (a) "Annex VIII" is replaced by "Annex IX";

(ii) in point (b) "Annex IX" is replaced by "Annex X";

(c) In paragraph 5, "Annex X" is replaced by "Annex XI".

(d) The following paragraph 6 is added:

"6. If a manufacturer has chosen to use the voluntary type approval procedure described in Annex XII, sections 8, 9 and 10 of that Annex shall apply by way of derogation from paragraphs 1 to 2 and paragraph 4 of this Article".

(4) In Article 6 the following paragraph 5 is added:

"5. If a manufacturer has chosen to use the voluntary averaging and banking procedure described in Annex XII, section 10 of that Annex shall apply by way of derogation from paragraphs 3 and 4 of this Article."

(5) In Article 7, the following paragraph 3 is added:

"3. Type-approvals according to Directive 88/77/EEC which are in compliance with stages A, B1, B2 or C, provided for in Article 2 and section 6.2.1 of Annex 1 to Directive 1999/96/EC of the European Parliament and of the Council [4], and, where applicable, the pertaining approval marks shall be accepted for Stage II provided for in Article 9(3) of this Directive."

[4] OJ L 44, 16.2.2000, p.1.

(6) In Article 8, the first sentence of paragraph 5 is replaced by the following:

"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) or section 10 of Annex XII."

(7) Article 9 is amended as follows:

(a) The heading "Timetable" is replaced by the heading "Timetable -Compression ignition engines";

(b) In point 1, "Annex VI" is replaced by "Annex VII";

(c) Point 2 is amended as follows:

(i) "Annex VI" is replaced by "Annex VII";

(ii) "section 4.2.1 of Annex I" is replaced by "section 4.1.2.1 of Annex I";

(d) Point 3 is amended as follows:

(i) "Annex VI" is replaced by "Annex VII";

(ii) " section 4.2.3 of Annex I" is replaced by "section 4.1.2.3 of Annex I";

(e) In point 4, first paragraph, the word "new" is deleted.

(8) The following Article 9a is inserted:

"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 handheld machinery

N: Engines for non-handheld machinery

Class/category // Displacement (cubic cm)

Handheld engines

Class SH:1 // < 20

Class SH:2 // … 20 to < 50

Class SH:3 // … 50

Non handheld 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 dd/mm/yy, 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 (VI), and shall refuse to grant any other type-approval for non-road mobile machinery in which an engine is installed after (18) months from the date of entry into force of this Directive, 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 (VI), 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 2008 for engine classes SH1, SH 2 and SN:3

after 1 August 2010 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 1.

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.

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

(9) Article 10 is amended as follows:

(a) Paragraph 1 is replaced by the following:

"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;"

(b) The following paragraph 1a is inserted:

"1a. A replacement engine shall comply with the limit values that the engine to be replaced had to meet when originally placed on the market.

The text "REPLACEMENT ENGINE" shall be attached to a label on the engine or inserted into the owner's manual."

(c) The following paragraphs 3 and 4 are added:

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

4. The requirements of Article 9a(4) shall be replaced by the corresponding stage I requirements for a small volume engine family manufacturer for the class or classes for which the manufacturer can show a yearly production less than 5 000 units."

(10) Articles 14 and 15 are replaced by the following:

"Article 14

Adaptation to technical progress

Any amendments which are necessary in order to adapt the Annexes to this Directive, with the exception of the requirements specified in section 1, sections 2.1 to 2.8 and section 4 of Annex I, to take account of technical progress shall be adopted by the Commission in accordance with the procedure referred to in Article 15(2).

Article 15

Committee

1. The Commission shall be assisted by the committee established by Article 13 of Council Directive 70/156/EEC [5] composed of representatives of the Member States and chaired by the representative of the Commission.

[5] OJ L 42, 23.2.1970, p.1.

2. Where reference is made to this article, the regulatory procedure laid down in Article 5 of Council Decision 1999/468/EC [6] shall apply, in compliance with Article 7 [and Article 8 IF CODECISION] thereof.

[6] OJ L 184, 17.7.1999, p.23.

3. The period provided for in Article 5(6) of Decision 1999/468/EC shall be 3 months."

(11) The following list of annexes is added:

"List of Annexes

Annex I: Scope, definitions ...

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 - compression ignition engines

Appendix 1: Measurement and sampling procedures

Appendix 2: Calibration of the analytical instruments

Appendix 3: Data evaluation and calculations

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: Technical characteristics of reference fuel

Annex VI: Analytical and sampling system

Annex VII: Type approval certificate

Appendix 1: Test result for CI engines

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: Procedure for voluntary averaging and banking

(12) The Annexes are amended in accordance with the Annex to this Directive.

Article 2

1. Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by dd/mm/yy at the latest. They shall forthwith inform the Commission thereof.

When Member States adopt those provisions, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. Member States shall determine how such reference is to be made.

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

Article 3

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

Article 4

This Directive is addressed to the Member States.

Done at Brussels,

For the European Parliament For the Council

The President The President

ANNEX

1. Annex I is amended as follows:

(a) The first sentence of Section 1 "SCOPE" shall be replaced by the following:

"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) In paragraph 1A the first sentence is amended as follows:

"A. intended and suited, to move, or to be moved on the ground with or without road and with either

(a) a C.I. engine having a net power in accordance with section 2.4 that is higher than 18 kW but not more than 560 kW (4) and that is operated under intermittent speed rather than a single constant speed.

Machinery, the engines ...... ...... ...... ...... ..........

( remains unchanged)

-.....

- mobile cranes;

(b) a C.I. engine for irrigation pumps or generating sets with intermittent load.

Machinery, the engines of which are covered under this definition, includes but is not limited to:

-gas compressors,

-generating sets with intermittent load including refrigerating units and welding sets,

-irrigation pumps,

-turf care, chippers, snow removal equipment, sweepers;

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

Machinery, the engines of which are covered under this definition, includes but is not limited to:

-lawn mowers,

-chain saws,

-generators,

-water pumps,

-bush cutters.

The Directive is not applicable for the following applications:

B. ships;

C. railway locomotives;

D. aircraft;

E. recreational vehicles;

F. generating sets with C.I. engines for stage I and for stage II until 31 December 2006."

. (c) Section 2 is amended as follows:

- The following words shall be added to footnote 2 in section 2.4:

"... except for engines where such an auxiliary is an integral part of the engine (see Appendix 3 of Annex VII)."

- The following new indent shall be added to section 2.8:

-"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)."

- The following new sections shall be added:

"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 (S.I.) 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."

. - Section 2.9 becomes a new section 2.16 and current sections 2.9.1 to 2.9.3 become new sections 2.16.1 to 2.16.3.

. (d) Section 3 is amended as follows:

-. Section 3.1 is replaced by the following:

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

. - Section 3.1.3 is amended as follows:

Annex VII is replaced by Annex VIII.

. -A new section 3.2 is inserted as follows:

"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;

3.2.3 the averaging scheme approval number if the engine is included in an emission averaging system as provided for in Annex XII."

. - Sections 3.2 to 3.6 become new sections 3.3 to 3.7.

- Section 3.7 is amended as follows: Annex VI is replaced by Annex VII.

. (e) Section 4 is amended as follows:

-The following new heading shall be inserted: "4.1 CI engines."

-Current section 4.1 shall become section 4.1.1.

-Current section 4.2 shall become section 4.1.2 and is amended as follows: Annex V is replaced by Annex VI.

-Current section 4.2.1 shall become new section 4.1.2.1; current section 4.2.2 shall become new section 4.1.2.2 and the reference to section 4.2.1 shall be replaced by a reference to section 4.1.2.1; current sections 4.2.3 and 4.2.4 shall become new sections 4.1.2.3 and 4.1.2.4.

(f) The following new paragraph shall be added:

"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

>TABLE POSITION>

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

>TABLE POSITION>

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

4.2.2.3 Notwithstanding the definition of "handheld engine" in Article 2 of this Directive two-stroke engines used to power snowthrowers may meet SH:1, SH:2 or SH:3 standards."

. (g) Sections 6.3 to 6.9 are replaced by the following:

"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"

2. Annex II is amended as follows:

(a) In Appendix 2 the text in the table is amended as follows:

"Fuel delivery per stroke (mm 3)" in lines 3 and 6 shall be replaced by "Fuel delivery per stroke (mm 3) for diesel engines,

fuel flow (g/h) for petrol engines".

(b) Appendix 3 is amended as follows:

- The heading of section 3 shall be replaced by "FUEL FEED FOR DIESEL ENGINES"

-The following new sections shall be inserted:

"4: FUEL FEED FOR PETROL ENGINES

4.1. Carburettor

4.1.1. Make(s):...

4.1.2. Type(s):... ...... ...... ...... ..........

4.2. Port fuel injection: single-point or multi-point

4.2.1. Make(s):...

4.2.2. Type(s):...

4.3. Direct injection

4.3.1. Make(s):...

4.3.2. Type(s):...

4.4. Fuel flow [g/h] and air/fuel ratio at rated speed and wide open throttle"

- Current section 4 becomes section 5 and shall be amended as follows:

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

5.3.1. Type: continuous or on/off

5.3.2. Cam phase shift angle"

-The following new section shall be added:

"6. PORTING CONFIGURATION

6.1. Position, size and number"

-The following new section shall be added:

"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:... "

3. Annex III is amended as follows:

(a) The heading is replaced by the following:

"TEST PROCEDURE FOR CI ENGINES"

(b) Section 2.7 is amended as follows:

Annex VI is replaced by Annex VII and Annex IV is replaced by Annex V.

(c) Section 3.6. is amended as follows:

- Sections 3.6.1 and 3.6.1.1. are amended as follows:

"3.6.1. Test cycle of machinery according to Section 1 of Annex I:

3.6.1.1. The following 8-mode cycle ( [7]) shall be followed by specification A of machinery in dynamometer operation on the test engine:... "

[7] Identical with C1cycle of the draft ISO 8178-4 standard.

- A new section 3.6.1.2. is added as follows:

"3.6.1.2. The following 5-mode cycle( [8]) shall be followed by specification (b) of machinery in dynamometer operation on the test engine:

[8] Identical with D2 cycle of the ISO 8168-4: 1996(E) standard.

>TABLE POSITION>

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.( [9])"

[9] For a better illustration of the prime power definition, see Figure 2 of ISO 8528-1: 1993(E) standard.

- Section 3.6.3 is amended as follows:

"3.6.3. Test sequence

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

During each mode of the given test cycle..... "

. (d) Appendix 1, section 1 is amended as follows:

In section 1 and 1.4.3. Annex V is replaced by Annex VI.

4. The following new annex is added:

ANNEX IV

TEST PROCEDURE FOR SPARK IGNITION ENGINES

1. INTRODUCTION

1.1. This Annex describes the method of determining emissions of gaseous pollutants from the engines to be tested.

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

2. TEST CONDITIONS

2.1. Engine test conditions

The absolute temperature (Ta) of the engine air at the inlet to the engine, 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:

>REFERENCE TO A GRAPHIC>

2.1.1. Test validity

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

>REFERENCE TO A GRAPHIC>

2.1.2. Engines with charge air-cooling

The temperature of the cooling medium and the temperature of the charge air have to be recorded.

2.2. Engine air inlet system

The test engine shall be equipped with an air inlet system presenting an air inlet restriction within 10% of the upper limit specified by the manufacturer for a new air cleaner at the engine operating conditions, as specified by the manufacturer, which result in maximum air flow in the respective engine application.

For small spark ignition engines (<1000 cm3 displacement) a system representative of the installed engine shall be used.

2.3. Engine exhaust system

The test engine shall be equipped with an exhaust system presenting an exhaust back pressure within 10% of the upper limit specified by the manufacturer for the engine operating conditions which result in the maximum declared power in the respective engine application.

For small spark ignition engines (<1000 cm3 displacement) a system representative of the installed engine shall be used.

2.4. Cooling system

An engine cooling system with sufficient capacity to maintain the engine at normal operating temperatures prescribed by the manufacturer shall be used. This provision shall apply to units which have to be detached in order to measure the power, such as with a blower where the blower (cooling) fan has to be disassembled to get access to the crankshaft.

2.5. Lubricating oil

Lubricating oil that meets the engine manufacturer's specifications for a particular engine and intended usage shall be used. Manufacturers must use engine lubricants representative of commercially available engine lubricants.

The specifications of the lubricating oil used for the test shall be recorded at section 1.2 of Annex VII, Appendix 2 for SI engines and presented with the results of the test.

2.6. Adjustable carburettors

Engines with limited adjustable carburettors shall be tested at both extremes of the adjustment.

2.7. Test fuel

The fuel shall be the reference fuel specified in Annex V.

The octane number and the density of the reference fuel used for test shall be recorded at section 1.1.1 of Annex VII, Appendix 2 for SI engines.

For two-stroke engines, the fuel/oil mixture ratio must be the ratio which is recommended by the manufacturer. The percentage of oil in the fuel/lubricant mixture feeding the two-stroke engines and the resulting density of the fuel shall be recorded at section 1.1.4 of Annex VII, Appendix 2 for SI engines.

2.8. Determination of dynamometer settings

Emissions measurements shall be based on uncorrected brake power. Auxiliaries necessary only for the operation of the machine and which may be mounted on the engine shall be removed for the test. Where auxiliaries have not been removed, the power absorbed by them 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 cooled engines).

The settings of inlet restriction and exhaust pipe backpressure shall be adjusted, for engines where it is possible to perform such an adjustment, to the manufacturer's upper limits, in accordance with sections 2.2 and 2.3. 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 speed 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:

>REFERENCE TO A GRAPHIC>

where:

S is the dynamometer setting [kW]

PM is the maximum observed or declared power at the test speed under the test conditions (see Appendix 2 of Annex VII) [kW]

PAE is the declared total power absorbed by any auxiliary fitted for the test [kW] and not required by Appendix 3 of Annex VII

L is the percent torque specified for the test mode.

>REFERENCE TO A GRAPHIC>

If the ratio

>REFERENCE TO A GRAPHIC>

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

3. TEST RUN

3.1. Installation of the measuring equipment

The instrumentation and sampling 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.

3.2. Starting the dilution system and engine

The dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised at full load and rated speed (section 3.5.2.).

3.3. Adjustment of the dilution ratio

The total dilution ratio shall not be less than four.

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.

3.4. Checking the analysers

The emission analysers shall be set at zero and spanned.

3.5. Test cycle

3.5.1. Specification (c) of machinery according to section 1 of Annex I.

The following test cycles shall be followed in dynamometer operation on the test engine according to the given type of machinery:

cycle D [10]: generating sets with intermittent load;

[10] Identical with D2 cycle of the ISO 8168-4: 1996(E) standard.

cycle G1: non-handheld intermediate speed applications;

cycle G2: non-handheld rated speed applications;

cycle G3: handheld rated speed applications.

3.5.1.1. Test modes and weighting factors

>TABLE POSITION>

* For phase 4, 0.90 and 0.10 may be used instead of 0.85 and 0.15 respectively.

3.5.1.2. Definitions

The mode length is 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.

The rated speed is the engine speed at which, according to the statement of the engine manufacturer, the rated power is delivered.

The intermediate speed shall be 85% of the maximum rated speed for engines to be tested on test cycle G1.

3.5.1.3. Choosing an appropriate test cycle

If the primary end use of an engine model is known then the test cycle may be chosen based on the examples given in section 3.5.1.4. If the primary end use of an engine is uncertain then the appropriate test cycle should be chosen based upon the engine specification.

3.5.1.4. Examples (the list is not exhaustive):

Typical examples are for:

Cycle D:

Generating sets with intermittent load including generating sets on board ships and trains (not for propulsion), refrigerating units, welding sets;

Gas compressors.

Cycle G1:

Front or rear engines riding lawn mowers;

Golf carts;

Lawn sweepers;

Pedestrian-controlled rotary or cylinder lawn mowers;

Snow removal equipment;

Waste disposers.

Cycle G2:

Portable generators, pumps, welders and air compressors;

May also include lawn and garden equipment, which operate at engine rated speed.

Cycle G3:

Blowers;

Chain saws;

Hedge trimmers;

Portable saw mills;

Rotary tillers;

Sprayers;

String trimmers;

Vacuum equipment.

3.5.2. Conditioning of the engine

Warming up of the engine and the system shall be at maximum speed and torque in order to stabilise 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 stabilisation between test points which has been included to minimise point to point influences.

3.5.3. Test sequence

Test cycles G1, G2 or G3 shall be performed in ascending order of mode number of the cycle in question. When only gaseous emissions are measured each mode sampling time shall be at least 180 s. The gaseous exhaust emission concentration values shall be measured and recorded for the last 120 s of the respective sampling time. For each measuring point, the mode length shall be of sufficient duration to achieve thermal stability of the engine prior to the start of sampling. The mode length shall be recorded and reported.

a) For engines tested with the dynamometer speed control test configuration:

During each mode of the 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.

b) For engines tested with the dynamometer load control test configuration:

During each mode of the test cycle after the initial transition period, the specified speed shall be within ± 2 % of rated speed or ± 3 min-1 whichever is greater, but shall in any case be held within ± 5%, except for low idle which shall be within the tolerances declared by the manufacturer.

During each mode of the test cycle where the prescribed torque is 50% or greater of the maximum torque at the test speed the specified average torque over the data acquisition period shall be held within ± 5% of the prescribed torque. During modes of the test cycle where the prescribed torque is less than 50% of the maximum torque at the test speed the specified average torque over the data acquisition period shall be held within ± 10% of the prescribed torque or ± 0.27 Nm whichever is greater.

3.5.4. 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 180 s of each mode, and the bag sample analysed and recorded.

3.5.5. Engine conditions

The engine speed and load, intake air temperature and fuel flow shall be measured for each mode once the engine has been stabilised. Any additional data required for calculation shall be recorded (see Appendix 3, sections 1.1 and 1.2).

3.6. Rechecking the analysers

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

Appendix 1

1. MEASUREMENT AND SAMPLING PROCEDURES

Gaseous 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).

1.1. Dynamometer specification

An engine dynamometer with adequate characteristics to perform the test cycles described in Annex IV, section 3.5.1 shall be used. The instrumentation for torque and speed measurement shall allow the measurement of the shaft 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 section 1.3 are not exceeded.

1.2. Fuel flow and total diluted flow

Fuel flow meters with the accuracy defined in section 1.3 shall be used to measure the fuel flow that will be used to calculate emissions (Appendix 3). When using a full flow dilution system, the total flow of the dilute exhaust (GTOTW) shall be measured with a PDP or CFV - 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 measuring instruments shall be traceable to national (international) standards and comply with the requirements given in tables 2 and 3.

Table 2-- Permissible deviations of instruments for engine related parameters

>TABLE POSITION>

Table 3-- Permissible deviations of instruments for other essential parameters

>TABLE POSITION>

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 for measuring the concentrations of the exhaust gas components (section 1.4.1.1). It is recommended that the analysers be operated such that the measured concentration falls between 15% and 100% of full scale.

If the full scale value is 155 ppm (or ppmC) 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 - Appendix 2, section 1.5.5.2 of this annex.

The electromagnetic compatibility (EMC) of the equipment shall be on a level as to minimise additional errors.

1.4.1.1. Accuracy

The analyser shall not deviate from the nominal calibration point by more than ± 2% of the reading over the whole measurement range except zero, and ± 0.3% of full scale at zero. The accuracy shall be determined according to the calibration requirements laid down in section 1.3.

1.4.1.2. Repeatability

The repeatability, shall be such that 2.5 times the standard deviation of 10 repetitive responses to a given calibration or span gas is not greater than ± 1% of full scale concentration for each range used above 100 ppm (or ppmC) or ± 2% of each range used below 100 ppm (or ppmC).

1.4.1.3. Noise

The analyser peak-to-peak response to zero and calibration or span gases over any 10 s period shall not exceed 2% of full scale on all ranges used.

1.4.1.4. Zero drift

Zero response is defined as the mean response, including noise, to a zero gas during a 30-s time interval. The drift of the zero response during a one-hour period shall be less than 2% of full scale on the lowest range used.

1.4.1.5. Span drift

Span response is defined as the mean response, including noise, to a span gas during a 30-s time interval. The drift of the span response during a one-hour period shall be less than 2% of full scale on the lowest range used.

1.4.2. Gas drying

Exhaust gases may be measured wet or dry. Any gas-drying device, if used, 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 infrared (NDIR) absorption type.

1.4.3.2. Carbon dioxide (CO2) analysis

The carbon dioxide analyser shall be of the non-dispersive infrared (NDIR) absorption type.

1.4.3.3. Oxygen (O2) analysis

Oxygen analysers shall be of the paramagnetic detector (PMD), zirconium dioxide (ZRDO) or electrochemical sensor (ECS) types.

Note - Zirconium dioxide sensors are not recommended when HC and CO concentrations are high such as for lean burn spark ignited engines. Electrochemical sensors shall be compensated for CO2 and NOX interference.

1.4.3.4. Hydrocarbon (HC) analysis

For direct gas sampling the hydrocarbon analyser shall be of the heated flame ionisation detector (HFID) type with detector, valves, pipework, etc., heated so as to maintain a gas temperature of 463 ± 10 K (190 ± 10 °C).

For diluted gas sampling the hydrocarbon analyser shall be either the heated flame ionisation detector (HFID) type or the flame ionisation detector (FID) type.

1.4.3.5. 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 °C to 200 °C) up to the converter for dry measurement, and up to the analyser for wet measurement.

1.4.4. Sampling for gaseous emissions

If the composition of the exhaust gas is influenced by any exhaust aftertreatment system, the exhaust sample shall be taken downstream of this device.

The exhaust sampling probe should be in a high pressure side of the muffler, but as far from the exhaust port as possible. To ensure complete mixing of the engine exhaust before sample extraction, a mixing chamber may be optionally inserted between the muffler outlet and the sample probe. The internal volume of the mixing chamber must be not less than 10 times the cylinder displacement of the engine under test and should be roughly equal dimensions in height, width and depth, being similar to a cube. The mixing chamber size should be kept as small as practicable and should be coupled as close as possible to the engine. The exhaust line leaving the mixing chamber of muffler should extend at least 610 mm beyond the sample probe location and be of sufficient size to minimize back pressure. The temperature of the inner surface of the mixing chamber must be maintained above the dew point of the exhaust gases and a minimum temperature of 338°K (65°C) is recommended.

All components may optionally be measured directly in the dilution tunnel, or by sampling into a bag and subsequent measurement of the concentration in the sampling bag.

Appendix 2

1. CALIBRATION OF THE ANALYTICAL INSTRUMENTS

1.1. Introduction

Each analyser 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 CO2

-purified synthetic air (contamination ( 1 ppmC, ( 1 ppm CO, ( 400 ppmCO2, ( 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;

-NOx and purified nitrogen (the amount of NO2 contained in this calibration gas must not exceed 5 % of the NO content);

-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 shall 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 precision blending devices (gas dividers), 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 is accurate to within ± 1.5 %. This accuracy implies that primary gases used for blending must be known to 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.

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 ± 0.5% of the nominal value.

1.2.3. Oxygen interference check

Oxygen interference check gases shall contain propane with 350 ppmC ± 75 ppmC hydrocarbon. The concentration value shall be determined to calibration gas tolerances by chromatographic analysis of total hydrocarbons plus impurities or by dynamic blending. Nitrogen shall be the predominant diluent with the balance oxygen. Blend required for gasoline-fuelled engine testing is as follows:

O2interference concentration // Balance

10 (9 to 11) // Nitrogen

5 (4 to 6) // Nitrogen

0 (0 to 1) // Nitrogen

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. For laboratory instruments such as GC and High Performance Liquid Chromatography (HPLC) only section 1.5.4 shall apply.

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 stabilisation 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.

Alternatively, the system may be evacuated to a pressure of at least 20 kPa vacuum (80 kPa absolute). After an initial stabilisation period the pressure increase (p (kPa/min) in the system shall not exceed:

>REFERENCE TO A GRAPHIC>

Where:

Vsyst = system volume [l]

fr = system flow rate [l/min]

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 gas.

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 optimised (section 1.9.1).

1.5.4. GC and HPCL

Both instruments shall be calibrated according to good laboratory practice and the recommendations of the manufacturer.

1.5.5. Establishment of the calibration curves

1.5.5.1. General guidelines

a) Each normally used operating range shall be calibrated.

b) Using purified synthetic air (or nitrogen), the CO, CO2, NOx and HC analysers shall be set at zero.

c) The appropriate calibration gases shall be introduced to the analysers, the values recorded, and the calibration curves established.

d) For all instrument ranges except for the lowest range, the calibration curve shall be established by at least 10 calibration points (excluding zero) equally spaced. For the lowest range of the instrument, the calibration curve shall be established by at least 10 calibration points (excluding zero) spaced so that half of the calibration points are placed below 15% of the analyser's full scale and the rest are placed above 15 % of full scale. For all ranges the highest nominal concentration must be equal to or higher than 90% of full scale.

e) The calibration curve shall be calculated by the method of least squares. A best-fit linear or non-linear equation may be used.

f) The calibration points must not differ from the least-squares best-fit line by more than ± 2% of reading or ± 0.3% of full scale whichever is larger.

g) The zero setting shall be rechecked and the calibration procedure repeated, if necessary.

1.5.5.2. 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, the span gas shall be verified or a new calibration curve shall be established in accordance with section 1.5.5.1.

1.7. Calibration of tracer gas analyser for exhaust flow measurement

The analyser for measurement of the tracer gas concentration shall be calibrated using the standard gas.

The calibration curve shall be established by at least 10 calibration points (excluding zero) spaced so that half of the calibration points are placed between 4% to 20% of the analyser's full scale and the rest are in between 20% and 100% of the full scale. The calibration curve shall be calculated by the method of least squares.

The calibration curve must not differ by more than ± 1% of the full scale from the nominal value of each calibration point, in the range from 20% to 100% of the full scale. It also must not differ by more than ± 2% of reading from the nominal value in the range from 4% to 20% of the full scale. The analyser shall be set at zero and spanned prior to the test run using a zero gas and a span gas whose nominal value is more than 80% of the analyser full scale.

1.8. 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 1.8.1 to 1.8.8 (Figure 1 of Annex III, Appendix 2).

1.8.1. Test set-up

Using the test set-up as shown in Figure 1 of Annex III and the procedure below, the efficiency of converters can be tested by means of an ozonator.

1.8.2. 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.

1.8.3. Calculation

The efficiency of the NOx, converter is calculated as follows:

>REFERENCE TO A GRAPHIC>

Where:

a = NOx concentration according to section 1.8.6;

b = NOx concentration according to section 1.8.7;

c = NO concentration according to section 1.8.4;

d = NO concentration according to section 1.8.5.

1.8.4. 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 1.8.2. (The analyser is in the NO mode.)

The indicated concentration (c) shall be recorded. The ozonator is kept deactivated throughout the process.

1.8.5. 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 1.8.2. The indicated concentration (d) shall be recorded. (The analyser is in the NO mode.)

1.8.6. NOx mode

The NO analyser is then switched to the NOx mode so that the gas mixture (consisting of NO, NO2, 02 and N2) now passes through the converter. The indicated concentration (a) shall be recorded. (The analyser is in the NOx mode.)

1.8.7. Deactivation of the ozonator

The ozonator is now deactivated. The mixture of gases described in section 1.8.6 passes through the converter into the detector. The indicated concentration (b) shall be recorded. (The analyser is in the NOx mode.)

1.8.8. NO mode

Switched to NO mode with the ozonator deactivated, 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 1.8.2. (The analyser is in the NO mode.)

1.8.9. Test interval

The efficiency of the converter must be checked monthly.

1.8.10. 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 1.8.5, then the highest range which will give the reduction shall be used.

1.9. Adjustment of the FID

1.9.1. Optimisation 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 optimise the response on the most common operating range.

With the fuel and airflow rates set at the manufacturer's recommendations, a 350 ± 75 ppmC 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 span and zero response shall be plotted and the fuel flow adjusted to the rich side of the curve. This is the initial flow rate setting, which may need further optimisation depending on the results of the hydrocarbon response factor and the oxygen interference check according to sections 1.9.2 and 1.9.3.

If the oxygen interference or the hydrocarbon response factors do not meet the following specifications, the airflow shall be incrementally adjusted above and below the manufacturer's specifications, sections 1.9.2 and 1.9.3 should be repeated for each flow.

1.9.2. Hydrocarbon response factors

The analyser shall be calibrated using propane in air and purified synthetic air, according to section 1.5.

Response factors shall be determined when introducing an analyser into service and after major service intervals. The response factor (Rf) for a particular hydrocarbon species is the ratio of the FID C1 reading to the gas concentration in the cylinder expressed by ppm C1.

The concentration of the test gas must be at a level to give a response of approximately 80 % of full scale. The concentration must be known to an accuracy of ± 2 % in reference to a gravimetric standard expressed in volume. In addition, the gas cylinder must be preconditioned for 24 hours at a temperature of 298 K (25°C) ± 5 K.

The test gases to be used and the recommended relative response factor ranges are as follows:

-methane and purified synthetic air: 1.00 < Rf < 1,15

-propylene and purified synthetic air: 0.90 < Rf < 1,1

-toluene and purified synthetic air: 0.90 < Rf < 1,10

These values are relative to the response factor (Rf) of 1.00 for propane and purified synthetic air.

1.9.3. Oxygen interference check

The oxygen interference check shall be determined when introducing an analyser into service and after major service intervals. A range shall be chosen where the oxygen interference check gases will fall in the upper 50%. The test shall be conducted with the oven temperature set as required. The oxygen interference gases are specified in section 1.2.3.

(a) The analyser shall be zeroed.

(b) The analyser shall be spanned with the 0% oxygen blend for gasoline fuelled engines.

(c) The zero response shall be rechecked. If it has changed more than 0.5% of full scale subsections (a) and (b) of this section shall be repeated.

(d) The 5% and 10% oxygen interference check gases shall be introduced.

(e) The zero response shall be rechecked. If it has changed more than ± 1% of full scale, the test shall be repeated.

(f) The oxygen interference (%O2I) shall be calculated for each mixture in step (d) as follows:

>REFERENCE TO A GRAPHIC>

Where:

A = hydrocarbon concentration (ppmC) of the span gas used in subsection (b)

B = hydrocarbon concentration (ppmC) of the oxygen interference check gases used in subsection (d)

C = analyser response

D = percent of full scale analyser response due to A

(g) The % of oxygen interference (%O2I) shall be less than ± 3% for all required oxygen interference check gases prior to testing.

(h) If the oxygen interference is greater than ± 3%, the air flow above and below the manufacturer's specifications shall be incrementally adjusted, repeating section 1.9.1 for each flow.

(i) If the oxygen interference is greater than ± 3%, after adjusting the air flow, the fuel flow and thereafter the sample flow shall be varied, repeating section 1.9.1. for each new setting.

(j) If the oxygen interference is still greater than ± 3%, the analyser, FID fuel, or burner air shall be repaired or replaced prior to testing. This section shall then be repeated with the repaired or replaced equipment or gases.

1.10. Interference effects with CO, CO2, NOX and O2 analysers

Gases other than the one being analysed can interfere with the reading in several ways. Positive interference occurs in NDIR and PMD instruments where the interfering gas gives the same effect as the gas being measured, but to a lesser degree. Negative interference occurs in NDIR instruments by the interfering gas broadening the absorption band of the measured gas, and in CLD instruments by the interfering gas quenching the radiation. The interference checks in sections 1.10.1 and 1.10.2 shall be performed prior to an analyser's initial use and after major service intervals, but at least once per year.

1.10.1. CO analyser interference check

Water and CO2 can interfere with the CO analyser performance. Therefore a CO2 span gas having a concentration of 80 to 100% of full scale of the maximum operating range used during testing shall be bubbled through water at room temperature and the analyser response recorded. The analyser response must not be more than 1 % of full scale for ranges equal to or above 300 ppm or more than 3 ppm for ranges below 300 ppm.

1.10.2. NOx analyser quench checks

The two gases of concern for CLD (and HCLD) analysers are CO2 and water vapour. Quench responses of these gases are proportional to their concentrations, and therefore require test techniques to determine the quench at the highest expected concentrations experienced during testing.

1.10.2.1 CO2 quench check

A C02 span gas having a concentration of 80 to 100% of full scale of the maximum operating range shall be passed through the NDIR analyser and the CO2 value recorded as A. It shall then be diluted approximately 50% with NO span gas and passed through the NDIR and (H)CLD with the CO2 and NO values recorded as B and C, respectively. The CO2 shall be shut off and only the NO span gas is passed through the (H)CLD and the NO value recorded as D.

The quench, which shall not be greater than 3% full scale, shall be calculated as follows:

>REFERENCE TO A GRAPHIC>

Where:

A. undiluted CO2 concentration measured with NDIR %

B. diluted CO2 concentration measured with NDIR %

C. diluted NO concentration measured with CLD ppm

D. undiluted NO concentration measured with CLD ppm

Alternative methods of diluting and quantifying CO2 and NO span gas values, such as dynamic/mixing/blending, can be used.

1.10.2.2 Water quench check

This check applies to wet gas concentration measurements only. Calculation of water quench must consider dilution of the NO span gas with water vapour and scaling of water vapour concentration of the mixture to that expected during testing.

A NO span gas having a concentration of 80 to 100 % of full scale to the normal operating range shall be passed through the (H)CLD and the NO value recorded as D. The NO span gas shall then be bubbled through water at room temperature and passed through the (H)CLD and the NO value recorded as C. The water temperature shall be determined and recorded as F. The mixture's saturation vapour pressure that corresponds to the bubbler water temperature (F) shall be determined and recorded as G. The water vapour concentration (in %) of the mixture shall be calculated as follows:

>REFERENCE TO A GRAPHIC>

and recorded as H. The expected diluted NO span gas (in water vapour) concentration shall be calculated as follows:

>REFERENCE TO A GRAPHIC>

and recorded as De.

The water quench shall not be greater than 3% and shall be calculated as follows:

>REFERENCE TO A GRAPHIC>

Where:

De: expected diluted NO concentration (ppm)

C: diluted NO concentration (ppm)

Hm maximum water vapour concentration

H: actual water vapour concentration (%)

Note: It is important that the NO span gas contains minimal NO2 concentration for this check, since absorption of NO2 in water has not been accounted for in the quench calculations.

1.10.3 O2 analyser interference

Instrument response of a PMD analyser caused by gases other than oxygen is comparatively slight. The oxygen equivalents of the common exhaust gas constituents are shown in Table 1.

Table 1-- Oxygen equivalents

Gas // O2 equivalent %

Carbon dioxide (CO2) // - 0,623

Carbon monoxide (CO) // - 0,354

Nitrogen oxide (NO) // + 44,4

Nitrogen dioxide (NO2) // + 28,7

Water (H2O) // - 0,381

The observed oxygen concentration shall be corrected by the following formula if high precision measurements are to be done:

>REFERENCE TO A GRAPHIC>

1.11. Calibration intervals

The analysers shall be calibrated according to section 1.5 at least every three months or whenever a system repair or change is made that could influence calibration.

Appendix 3

1. DATA EVALUATION AND CALCULATIONS

1.1 Gaseous emissions evaluation

For the evaluation of the gaseous emissions, the chart reading for a minimum of the last 120 s of each mode shall be averaged, and the average concentrations (conc) of HC, CO, NOx and CO2 during each mode shall be determined from the average chart readings and the corresponding calibration data. A different type of recording can be used if it ensures an equivalent data acquisition.

The average background concentration (concd) may be determined from the bag readings of the dilution air or from the continuous (non-bag) background reading and the corresponding calibration data.

1.2 Calculation of the gaseous emissions

The finally reported test results shall be derived through the following steps.

1.2.1 Dry/wet correction

The measured concentration, if not already measured on a wet basis, shall be converted to a wet basis:

>REFERENCE TO A GRAPHIC>

For the raw exhaust gas:

>REFERENCE TO A GRAPHIC>

Where ( is the hydrogen to carbon ratio in the fuel.

The H2 concentration in the exhaust shall be calculated:

>REFERENCE TO A GRAPHIC>

The factor kw2 shall be calculated:

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

For the diluted exhaust gas:

For wet CO2 measurement:

>REFERENCE TO A GRAPHIC>

Or, for dry CO2 measurement:

>REFERENCE TO A GRAPHIC>

Where ( is the hydrogen to carbon ratio in the fuel.

The factor kw1 shall be calculated from the following equations:

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

Where:

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

For the dilution air:

>REFERENCE TO A GRAPHIC>

The factor kw1 shall be calculated from the following equations:

>REFERENCE TO A GRAPHIC>

Where:

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

For the intake air (if different from the dilution air):

>REFERENCE TO A GRAPHIC>

The factor kw2 shall be calculated from the following equations:

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

with Ha absolute humidity of the intake air, g of water per kg of dry air.

>REFERENCE TO A GRAPHIC>

1.2.2 Humidity correction for NOx

As the NOx emission depends on ambient air conditions, the NOx concentration shall be multiplied by the factor KH taking into account humidity:

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

1.2.3 Calculation of emission mass flow rate

The emission mass flow rates Gasmass [g/h] for each mode shall be calculated as follows.

(a) For the raw exhaust gas [11]:

[11] In the case of NOx the concentration has to be multiplied by the humidity correction factor KH (humidity correction factor for NOx).

>REFERENCE TO A GRAPHIC>

Where:

GFUEL [kg/h] is the fuel mass flow rate;

MWGas [kg/kmole] is the molecular weight of the individual gas shown in Table 1;

Table 1 - Molecular weights

Gas // MWGas [kg/kmole]

NOx // 46.01

CO // 28.01

HC //

>REFERENCE TO A GRAPHIC>

CO2 // 44.01

-MWFUEL = 12.011 + á x 1.00794 + ß x 15.9994 [kg/kmole] is the fuel molecular weight with ( hydrogen to carbon ratio and ß oxygen to carbon ratio of the fuel [12];

[12] In the ISO 8178-1 a more complete formula of the fuel molecular weight is quoted (formula 50 of Chapter 13.5.1 (b). The formula takes into account not only the hydrogen to carbon ratio and the oxygen to carbon ratio but also other possible fuel components such as sulphur and nitrogen. However, as the s.i. engines of the Directive are tested with a petrol (quoted as a reference fuel in Annex V) containing usually only carbon and hydrogen, the simplified formula is considered.

-CO2AIR is the CO2 concentration in the intake air (that is assumed equal to 0.04% if not measured).

(b) For the diluted exhaust gas [13]:

[13] In the case of NOx the concentration has to be multiplied by the humidity correction factor KH (humidity correction factor for NOx).

>REFERENCE TO A GRAPHIC>

Where

-GTOTW [kg/h] is the diluted exhaust gas mass flow rate on wet basis that, when using a full flow dilution system, shall be determined according to Annex III, Appendix 1, section 1.2.4;

-concc is the background corrected concentration:

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

The u coefficient is shown in Table 2.

Table 2 - Values of u coefficient

>TABLE POSITION>

Values of the u coefficient are based upon a molecular weight of the dilute exhaust gases equal to 29 [kg/kmole]; the value of u for HC is based upon an average carbon to hydrogen ratio of 1:1.85.

1.2.4 Calculation of specific emissions

The specific emission (g/kWh) shall be calculated for all individual components:

>REFERENCE TO A GRAPHIC>

Where Pi = PM,i + PAE,i

When auxiliaries, such as cooling fan or blower, are fitted for the test, the power absorbed shall be added to the results except for engines where such auxiliaries are an integral part of the engine. The fan or blower power shall be determined at the speeds used for the tests either by calculation from standard characteristics or by practical tests (Appendix 3 of Annex VII).

The weighting factors and the number of the n modes used in the above calculation are shown in Annex IV, section 3.5.1.1.

2. EXAMPLES

2.1 Raw exhaust gas data from a 4-stroke s.i. engine

With reference to the experimental data (Table 3), calculations are carried out first for mode

1 and then are extended to other test modes using the same procedure.

Table 3 - Experimental data of a 4-stroke s.i. engine

>TABLE POSITION>

2.1.1 Dry/wet correction factor kw

The dry/wet correction factor kw shall be calculated for converting dry CO and CO2 measurements on a wet basis:

>REFERENCE TO A GRAPHIC>

Where:

>REFERENCE TO A GRAPHIC>

and:

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

Table 4 - CO and CO2 wet values according to different test modes

>TABLE POSITION>

2.1.2 HC emissions

>REFERENCE TO A GRAPHIC>

where:

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

Table 5 - HC emissions [g/h] according to different test modes

>TABLE POSITION>

2.1.3 NOx emissions

At first the humidity correction factor KH of NOx emissions shall be calculated:

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

Table 6 - Humidity correction factor KH of NOx emissions according to different modes

>TABLE POSITION>

Then NOxmass [g/h] shall be calculated:

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

Table 7 - NOx emissions [g/h] according to the different test modes

>TABLE POSITION>

2.1.4 CO emissions

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

Table 8 - CO emissions [g/h] according to different test modes

>TABLE POSITION>

2.1.5 CO2 emissions

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

Table 9 - CO2 emissions [g/h] according to different test modes

>TABLE POSITION>

2.1.6 Specific emissions

The specific emission (g/kWh) shall be calculated for all individual components:

>REFERENCE TO A GRAPHIC>

Table 10 - Emissions [g/h] and weighting factors according to the test modes

>TABLE POSITION>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

2.2 Raw exhaust gas data from a 2-stroke s.i. engine

With reference to the experimental data (Table 11), calculations shall be carried out first for mode

1 and then extended to the other test mode using the same procedure.

Table 11 - Experimental data of a 2-stroke s.i. engine

>TABLE POSITION>

2.2.1 Dry/wet correction factor kw

The dry/wet correction factor kw shall be calculated for converting dry CO and CO2 measurements on a wet basis:

>REFERENCE TO A GRAPHIC>

Where:

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

Table 12 - CO and CO2 wet values according to different test modes

>TABLE POSITION>

2.2.2 HC emissions

>REFERENCE TO A GRAPHIC>

Where:

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

Table 13 - HC emissions [g/h] according to test modes

>TABLE POSITION>

2.2.3 NOx emissions

The factor KH for the correction of the NOx emissions is equal to 1 for two-stroke engines:

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

Table 14 - NOx emissions [g/h] according to test modes

>TABLE POSITION>

2.2.4 CO emissions

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

Table 15 - CO emissions [g/h] according to test modes

>TABLE POSITION>

2.2.5 CO2 emissions

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

Table 16 - CO2 emissions [g/h] according to test modes

>TABLE POSITION>

2.2.6 Specific emissions

The specific emission (g/kWh) shall be calculated for all individual components in the following way:

>REFERENCE TO A GRAPHIC>

Table 17 - Emissions [g/h] and weighting factors in two test modes

>TABLE POSITION>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

2.3 Diluted exhaust gas data from a 4-stroke s.i. engine

With reference to the experimental data (Table 18), calculations shall be carried out first for mode

1 and then extended to other test modes using the same procedure.

Table 18 - Experimental data of a 4-stroke s.i. engine

>TABLE POSITION>

2.3.1 Dry/wet correction factor kw

The dry/wet correction factor kw shall be calculated for converting dry CO and CO2 measurements on a wet basis.

For the diluted exhaust gas:

>REFERENCE TO A GRAPHIC>

Where:

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

Table 19 - CO and CO2 wet values for the diluted exhaust gas according to test modes

>TABLE POSITION>

For the dilution air:

>REFERENCE TO A GRAPHIC>

Where the factor kw1 is the same as that already calculated for the diluted exhaust gas.

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

Table 20 - CO and CO2 wet values for the dilution air according to test modes

>TABLE POSITION>

2.3.2 HC emissions

>REFERENCE TO A GRAPHIC>

Where:

u = 0.000478 from Table 2

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

Table 21 - HC emissions [g/h] according to test modes

>TABLE POSITION>

2.3.3 NOx emissions

The factor KH for the correction of the NOx emissions shall be calculated from:

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

Table 22 - Humidity correction factor KH of NOx emissions according to test modes

>TABLE POSITION>

>REFERENCE TO A GRAPHIC>

Where:

u = 0.001587 from Table 2

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

Table 23 - NOx emissions [g/h] according to test modes

>TABLE POSITION>

2.3.4 CO emissions

>REFERENCE TO A GRAPHIC>

where:

u = 0.000966 from Table 2

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

Table 24 - CO emissions [g/h] according to test modes

>TABLE POSITION>

2.3.5. CO2 emissions

>REFERENCE TO A GRAPHIC>

Where:

u = 15.19 from Table 2

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

Table 25 - CO2 emissions [g/h] according to different test modes

>TABLE POSITION>

2.3.6 Specific emissions

The specific emission (g/kWh) shall be calculated for all individual components:

>REFERENCE TO A GRAPHIC>

Table 26 - Emissions [g/h] and weighting factors according to different test modes

>TABLE POSITION>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

>REFERENCE TO A GRAPHIC>

APPENDIX 4

1. Compliance with emission standards.

This appendix shall apply to SI engines Stage II only.

* * * * *

1.1. The exhaust emission standards for Stage 2 engines in Annex I 4.2 apply to the emissions of the engines for their emission durability period EDP as determined in accordance with this Appendix.

1.2. For all Stage II engines, if, when properly tested according to the procedures in this Directive, all test engines representing an engine family have emissions which, when adjusted by multiplication by the deterioration factor (DF) laid down in this Appendix, are less than or equal to each Stage II emission standard (family emission limit (FEL), where applicable) for a given engine class, that family shall be considered to comply with the emission standards for that engine class. If any test engine representing an engine family has emissions which, when adjusted by multiplication by the deterioration factor laid down in this Appendix, are greater than any single emission standard (FEL, where applicable) for a given engine class, that family shall be considered not to comply with the emission standards for that engine class.

1.3. Small volume engine manufacturers may, optionally, take deterioration factors for HC+NOx and CO from Tables 1 or 2 in this section, or they may calculate deterioration factors for HC+NOx and CO according to the process described in section 1.3.1. For technologies not covered by Tables 1 and 2 in this section, the manufacturer must use the process described in section 1.4 in this Appendix.

Table 1: Handheld Engine HC+NOx and CO Assigned Deterioration Factors for Small Volume Manufacturer

>TABLE POSITION>

Table 2: Non-handheld Engine HC+NOx and CO Assigned Deterioration Factors for Small Volume Manufacturers

>TABLE POSITION>

1.3.1 Formula for calculating deterioration factors for engines with after treatment:

DF = [(NE * EDF) - (CC * F)]/ (NE - CC)

where:

DF = deterioration factor

NE = new engine emission levels prior to the catalyst (g/kWh)

EDF = deterioration factor for engines without catalyst as shown in Table 1

CC = amount converted at 0 hours in g/kWh

F = 0.8 for HC and 0.0 for NOx for Class SN3 and SN4 engines

F = 0.8 for CO for all classes of engines

1.4. Manufacturers shall obtain an assigned DF or calculate a DF, as appropriate, for each regulated pollutant for all Stage 2 engine families. Such DFs shall be used for type approval and production line testing.

1.4.1 For engines not using assigned DF:s from Tables1 or 2 of this section, DFs shall be determined as follows:

1.4.1.1 On at least one test engine representing the configuration chosen to be the most likely to exceed HC+NOx emission standards, (FELs where applicable), and constructed to be representative of production engines, conduct (full) test procedure emission testing as described in this Directive after the number of hours representing stabilised emissions.

1.4.1.2. If more than one engine is tested, average the results and round to the same number of decimal places contained in the applicable standard, expressed to one additional significant figure;

1.4.1.3 Conduct such emission testing again following aging of the engine. The aging procedure should be designed to allow the manufacturer to appropriately predict the in-use emission deterioration expected over the durability period of the engine, taking into account the type of wear and other deterioration mechanisms expected under typical consumer use which could affect emissions performance. If more than one engine is tested, average the results and round to the same number of decimal places contained in the applicable standard, expressed to one additional significant figure.

1.4.1.4 Divide the emissions at the end of the durability period (average emissions, if applicable) for each regulated pollutant by the stabilised emissions (average emissions, if applicable) and round to two significant figures. The resulting number shall be the DF, unless it is less than 1.00, in which case the DF shall be 1.0.

1.4.1.5 At the manufacturer's option additional emission test points can be scheduled between the stabilised emission test point and the Emission Durability Period. If intermediate tests are scheduled, the test points must be evenly spaced over the EDP (plus or minus 2 hours) and one such test point shall be at one-half of full EDP (plus or minus 2 hours).

For each pollutant HC+NOx and CO, a straight line must be fitted to the data points treating the initial test as occurring at hour zero, and using the method of least-squares. The deterioration factor is the calculated emissions at the end of the durability period divided by the calculated emissions at zero hours.

1.4.1.6 Calculated deterioration factors may cover families and production years in addition to the one on which they were generated if the manufacturer submits a justification acceptable to the national type approval authority in advance of type approval that the affected engine families can be reasonably expected to have similar emission deterioration characteristic based on the design and technology used.

A non-exclusive list of design and technology groupings is given below:

*Conventional two-stroke engines without after treatment system

*Conventional two-stroke engines with a ceramic catalyst of the same active material and loading, and the same number of cells per cm

*Conventional two-stroke engines with a metallic catalyst of the same active material and loading, same substrate and the same number of cells per cm

*Two-stroke engines provided with a stratified scavenging system

*Four-stroke engines with catalyst (defined as above) with same valve technology and identical lubrication system

*Four-stroke engines without catalyst with the same valve technology and identical lubrication system )

2. Emission Durability Periods for Stage 2 engines.

2.1 Manufacturers shall declare the applicable EDP category for each engine family at the time of type approval. Such category shall be the category which most closely approximates the expected useful lives of the equipment into which the engines are expected to be installed as determined by the engine manufacturer. Manufacturers shall retain data appropriate to support their choice of EDP category for each engine family. Such data shall be supplied to the approval authority upon request.

2.1.1 For handheld engines: Manufacturers shall select a EDP category from Table 1 of this paragraph.

Table 1: EDP categories for Handheld Engines (hours)

>TABLE POSITION>

2.1.2. For non-handheld engines: Manufacturers shall select an EDP category from Table 2 of this paragraph.

Table 2: EDP categories for Non-handheld Engines (hours)

>TABLE POSITION>

2.1.3. The manufacturer must satisfy the approval authority that the declared useful life is appropriate. Data to support a manufacturer's choice of EDP category, for a given engine family, may include but are not limited to:

- Surveys of the life spans of the equipment in which the subject engines are installed;

- Engineering evaluations of field aged engines to ascertain when engine performance deteriorates to the point where usefulness and/or reliability is impacted to a degree sufficient to necessitate overhaul or replacement;

- Warranty statements and warranty periods;

- Marketing materials regarding engine life;

- Failure reports from engine customers; and

- Engineering evaluations of the durability, in hours, of specific engine technologies, engine materials or engine designs.

5. Annex IV becomes a new Annex V and is amended as follows:

The current headings shall be replaced by the following:

"TECHNICAL CHARACTERISTICS OF REFERENCE FUEL PRESCRIBED FOR APPROVAL TESTS AND TO VERIFY CONFORMITY OF PRODUCTION

NON-ROAD MOBILE MACHINERY REFERENCE FUEL FOR CI ENGINES (1)".

-In the table in the line on "Neutralization" the word "Minimum" in column 2 shall be replaced by the word "Maximum". The following new table and new footnotes shall be added:

"NON-ROAD MOBILE MACHINERY REFERENCE FUEL FOR

SI ENGINES

Note: The fuel for two-stroke engines is a blend of lubricant oil and the petrol specified below. The fuel/oil mixture ratio must be the ratio which is recommended by the manufacturer as specified in Annex IV, section 2.7.

>TABLE POSITION>

Note 1: The values quoted in the specification are "true values". In establishment of their limit values the terms of ISO 4259 "Petroleum products - Determination and application of precision data in relation to methods of test" have been applied and in fixing a minimum value, a minimum difference of 2R above zero has been taken into account; in fixing a maximum and minimum value, the minimum difference is 4R (R =reproducibility). Notwithstanding this measure, which is necessary for statistical reasons, the manufacturer of fuels should nevertheless aim at a zero value where the stipulated maximum value is 2R and at the mean value in the case of quotations of maximum and minimum limits. Should it be necessary to clarify the question as to whether a fuel meets the requirements of the specifications, the terms of ISO 4259 should be applied.

Note 2: The fuel may contain oxidation inhibitors and metal deactivators normally used to stabilise refinery gasoline streams, but detergent/dispersive additives and solvent oils must not be added."

6. Annex V becomes Annex VI.

7. Annex VI becomes Annex VII and is amended as follows:

(a) Appendix 1 is amended as follows:

-The header shall be replaced by the following:

"Appendix 1

TEST RESULTS FOR COMPRESSION IGNITION ENGINES"

-Section 1.3.2 shall be replaced by the following:

1.3.2. Power absorbed at indicated engine speed (as specified by the manufacturer):

>TABLE POSITION>

-Section 1.4.2. shall be replaced by the following:

"1.4.2. Engine power [14]

[14] Uncorrected power measured in accordance with the provisions of section 2.4 of Annex I.

>TABLE POSITION>

- Section 1.5 shall be amended as follows:

"1.5. Emission levels

1.5.1. Dynamometer setting (kW)

>TABLE POSITION>

1.5.2. Emission results on the test cycle:"

(b) A new Appendix 2 shall be added as follows:

"Appendix 2

TEST RESULTS FOR SPARK IGNITION ENGINES

1. Information concerning the conduct of the test(s) [15]:

[15] In case of several parent engines, to be indicated for each of them.

1.1. Reference fuel used for test

1.1.1. Octane number

1.1.2. State percentage of oil in mixture when lubricant and petrol are mixed as in the case of 2-stroke engines

1.1.3. Density of petrol for 4-stroke engines and petrol/oil mixture for 2-stroke engines...

1.2. Lubricant

1.2.1. Make(s)

1.2.2. Type(s)

1.3. Engine driven equipment (if applicable)

1.3.1. Enumeration and identifying details

1.3.2. Power absorbed at indicated engine speed (as specified by the manufacturer)

>TABLE POSITION>

1.4. Engine performance

1.4.1. Engine speeds:

Idle: m-1

Intermediate: m-1

Rated: m-1

1.4.2. Engine power [16]

[16] Uncorrected power measured in accordance with the provisions of section 2.4 of Annex I.

>TABLE POSITION>

1.5 Emission levels

"1.5.1. Dynamometer setting (kW)

>TABLE POSITION>

1.5.2. Emission results on the test cycle:

CO: g/kWh

HC: g/kWh

NOx: g/kWh

(c) A new appendix 3 shall be added as follows:

Appendix 3

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

>TABLE POSITION>

8. Annexes VII to X become Annexes VIII to XI.

9. A new Annex XII is added as follows:

"Annex XII

Procedure for voluntary averaging and banking [17]

[17] The Commission will review the provisions of this annex before it enters into force, with regard to its administrative consequences and the competition between large and small manufacturers, and propose appropriate changes.

1. INTRODUCTION

1.1 Manufacturers may optionally use the averaging and banking procedures described in this Annex in lieu of type approving all engines to the limits in section 4.2.2.1 of Annex I.

1.2 The averaging and banking system described in this Annex may only be used to meet the requirements of stage II for spark ignition engines.

1.3 Engines complying with emission limits using the averaging and banking procedure are subject to all other requirements of this Directive including the CO emission limit values set out in section 4.2.2.1 of Annex I.

1.4 Manufacturers wishing to use the voluntary averaging and banking system must start using it from the following calendar years:

Class starting year (calendar year)

SH:1 2005 SH:2 2005 SH:3 2007 SN:1 2004 SN:2 2004 SN:3 2007 SN:4 2005

1.5 Manufacturers may use the voluntary system in this Annex for one or more classes of engines.

2. DEFINITIONS

For the purpose of this Annex the following definitions shall apply:

Averaging means the exchange of emission credits between engine families within a given manufacturer's product line.

Banking means the retention of emission credits by the manufacturer generating the emission credits for use in future calendar year averaging as permitted in this Annex.

Family Emission Limit or FEL means an emission level that is declared by the manufacturer to serve in lieu of an emission standard for the purpose of type approval or production in line testing.

Emission credits represent the amount of emission reduction or exceedence, by an engine family, below or above the applicable HC+NOX emission standard. FELs below the standard create "positive credits" while FELs above the standard create "negative credits". In addition "type-approval credits" refer to emission credits based on the projected applicable production volume of the engine family. "Banking credits" are emission credits generated within a calendar year to be reported by 30 April of the subsequent calendar year. "Actual credits" refer to emission credits based on the applicable production volume as accumulated until the end of the calendar year.

3. GENERAL PROVISIONS

3.1 A manufacturer may include in its calculation of credits only engines that are intended to be placed on the EU market and which are manufactured in the applicable calendar year.

3.2 A manufacturer may type approve engine families at Family Emission Limits (FELs) above or below the applicable emission standard subject to the limitation of this Annex, provided that the summation of the manufacturer's projected balance of credits from all credit transactions for all engine classes that have been type approved under the provisions of this Annex in a given calendar year is greater than or equal to zero as determined in accordance with section 7 of this Annex.

3.3 A manufacturer of an engine family with an FEL exceeding the applicable emission standard must obtain emission credits sufficient to address the associated shortfall via averaging or banking.

3.4 An engine family with an FEL below the applicable emission standard may generate positive emission credits for averaging or banking or a combination thereof.

3.5 The limit values of stage I must always be met by all engine families.

4. APPLICABLE EMISSION STANDARDS

Manufacturers using the averaging and banking system for HC + NOx must meet the following standards (FEL) in g/kWh:

Class SH:1

>TABLE POSITION>

Class SH:2

>TABLE POSITION>

Class SH:3

>TABLE POSITION>

Class SN:1

>TABLE POSITION>

Class SN:2

>TABLE POSITION>

Class SN:3

>TABLE POSITION>

Class SN:4

>TABLE POSITION>

5. AVERAGING

5.1 Negative credits from engine families with FELs above the applicable emission standard must be offset by positive credits from engine families having FELs below the applicable emission standard, as allowed under this Annex. Averaging of credits in this manner is used to determine compliance with the limit values of section 4 of this Annex.

5.2 Cross-class averaging of credits is allowed across all classes of non-road spark ignition engines.

5.3 Credits used in averaging for a given calendar year may be obtained from credits generated in the same calendar year by another engine family or credits banked in previous calendar years.

6. BANKING

6.1 Starting on 1 January of the first year that a manufacturer receives type approval, in accordance with this Annex, for an engine family with an FEL below the applicable emission standard, the manufacturer may bank credits in the calendar year for use in averaging.

6.2 A manufacturer may bank actual credits only after the end of the calendar year and after the type-approval authority has reviewed the end of the year report from the manufacturer and confirmed that it is satisfactory.

7 CREDIT CALCULATION AND COMPLIANCE WITH EMISSION STANDARDS

7.1 For each engine family, HC+NOx type-approval emission credits (positive or negative) shall be calculated according to the following equation and rounded to the nearest gram. Consistent units shall be used throughout the equation.

Credit = Production x (Standard - FEL) x Power x EDP x load factor

Where:

Production = eligible production. Annual production projections are used to project credit available for initial type approval. Eligible production volume is used in determining actual credits for end-of-year compliance determination.

Standard = the current and applicable standard in grams per kilowatt hour as determined in section 4.

FEL = the family emission limit for the engine family in grams per kilowatt hour.

Power = the maximum modal power of the parent engine, in kilowatts, as calculated from the applicable test procedure as described in this Directive.

EDP = the emission durability period in hours corresponding to the EDP category for which the engine family was type approved.

Load factor = 47 percent (i.e. 0.47) for Test Cycle (G1) and Test Cycle (G2). (85% (i.e. 0.85) for test cycle G3).

8. TYPE-APPROVAL PROCEDURE

8.1 When using the voluntary system of averaging and banking as described in this Annex a manufacturer must:

8.1.1 Be bound for his whole product range for any given calendar year to one single national approval authority. The manufacturer is responsible for ensuring that his representatives in the Community take no separate action for selected engines.

8.1.2 Submit a statement that the engines for which the system is used will not, to the best of the manufacturer's belief, cause the manufacturer to be in non-compliance under section 7 of this Annex when all credits are calculated for the manufacturer's engine families.

8.1.3 Declare a FEL for each engine family for HC+NOx. The FEL must have the same number of significant digits as the emission standard.

8.1.4 Submit copies of the type-approval certificates for each engine family in the averaging and banking scheme to the approval authority issuing the relevant averaging approval in order to demonstrate that the engines have been certified at an emission level below the declared FEL.

8.1.5 Indicate the projected number of credits generated/needed for this family, the projected applicable eligible annual sales volume, and the values required to calculate the emission credit as given in section 7 of this Annex.

8.1.6 Submit calculations in accordance with section 7 of this Annex of projected emission credits (positive or negative) based on annual production projections for each engine family to be included in the averaging and banking scheme.

8.1.7 If the engine family is projected to have negative emission credits, state specifically the source (from averaging and banking) of the credits necessary to offset the credit deficit according to projected annual production.

8.1.8 If the engine family is projected to generate credits, state specifically (from averaging and banking) where the projected credits will be applied.

8.2 All type approvals issued in accordance with this Annex shall be conditional upon manufacturer compliance with the provisions of this Annex both during and after the calendar year. They are valid until 30 April of the following calendar year. A new type approval can be issued only if the manufacturer has presented an end-of-year report showing that the provisions of this Annex are met.

8.3 The manufacturer bears the burden of establishing to the satisfaction of the National Approval Authority that the conditions upon which the type approval was issued were satisfied or waived.

9. MAINTENANCE OF RECORDS

9.1 A manufacturer using the option of averaging and banking in accordance with this Annex must establish, maintain and retain the following adequately organised and indexed records for each engine family:

-the engine family identification code,

-Family Emission Limit (FEL) or FELs where FEL changes have been implemented during the calendar year,

-maximum modal power for the parent engine,

-projected production volume for the calendar year,

-records appropriate to establish the quantities of engines that constitute eligible production as defined in section 2 of this Annex for each FEL.

9.2 A manufacturer using the option of averaging and banking in accordance with this Annex must retain all records required to be maintained under this section for a period of 8 years from the due date for the end of the year report. Records may be retained as hard copy or reduced to microfilm, ADP diskettes, and so forth, depending on the manufacturer's record retention procedure, providing that in every case all information used for the approval is retained.

9.3 Pursuant to a request made by the type-approval authority, the manufacturer must submit to it the information that the manufacturer is required to retain.

9.4 The type-approval authority may withdraw the type-approval certificate(s) for an engine family for which the manufacturer fails to retain the records required in this section or to provide such information to the type-approval authority.

10. END-OF-YEAR REPORTS

10.1 End-of-year reports must indicate the engine family, the engine class, the actual volume of engines placed on the market, the values required to calculate credits as indicated in section 7 of this Annex and the number of credits generated/required. Manufacturers must also submit how and where credit surpluses were dispersed (or are to be banked) and/or how and through what means credit deficits were met. The report must include a calculation of credit balances to show that the credit summation for all engines actually produced is equal to or greater than zero. The report must include a calculation of the production average HC+NOx FEL to show compliance with the provisions of section 4 of Annex XII.

10.2 The calculation of eligible production for end-of-year reports must be based on engines placed on the market in the EU.

10.3 End-of-year reports must be submitted to the type-approval authority before 1 April of the year after the issue of the type approval.

On the basis of the end-of-year report the type-approval authority shall issue a new type-approval certificate.

10.4 Failure by a manufacturer to submit an end-of-year report in the specified time for any engines subject to regulation under this Annex will automatically lead to the withdrawal of the type-approval certificates for all engine families subject to this Annex.

10.5 If the end-of-year report shows the total actual credit to be negative the negative credit will be banked and carried across to the next year. If a negative credit is achieved for two or more years running the approval authority may withdraw the manufacturer's averaging and banking approval. If a negative credit is achieved for four years running the approval authority must suspend the manufacturer's averaging and banking approval."