Commission Directive 2012/46/EU of 6 December 2012 amending Directive 97/68/EC of the European Parliament and of the Council
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 (Text with EEA relevance)
Commission Directive 2012/46/EU
Commission Directive 2012/46/EU of 6 December 2012 amending Directive 97/68/EC of the European Parliament and of the Council
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 (Text with EEA relevance)
amending Directive 97/68/EC of the European Parliament and of the Council 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
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Directive 97/68/EC of the European Parliament and of the Council of 16 December 1997 on the approximation
of the laws of the Member States relating to measures against the emission of gaseous and particulate pollutants from internal
combustion engines to be installed in non-road mobile machinery1, and in particular Article 14 thereof,
Whereas:
(1)
Directive 2004/26/EC of the European Parliament and of the Council of 21 April 2004 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 machinery2 introduced new emission Stages IIIA, IIIB and IV to Directive 97/68/EC, in order to increase environmental protection and
preserve human health. The test methods have been amended accordingly, first by Directive 2004/26/EC and later by Commission
Directive 2010/26/EU of 31 March 2010 amending Directive 97/68/EC of the European Parliament and of the Council 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 machinery3.
(2)
The Stage IV limit values will become mandatory for type approvals issued as of 1 January 2013 for engines of category Q and
as of 1 October 2013 for engines of category R. Based on the experience gained with heavy duty euro V and VI engines under
Regulation (EC) No 595/2009 of the European Parliament and of the Council of 18 June 2009 on type-approval of motor vehicles
and engines with respect to emissions from heavy duty vehicles (euro VI) and on access to vehicle repair and maintenance information
and amending Regulation (EC) No 715/2007 and Directive 2007/46/EC and repealing Directives 80/1269/EEC, 2005/55/EC and 2005/78/EC4, certain gaps have been identified in the test requirements for Stage IV engines. In order to enable type approval of Stage
IV engines of categories Q and R, taking into account technical progress, and in order to increase global harmonisation, it
is necessary to revise and complement certain provisions of Directive 97/68/EC. It is also necessary in order to reduce the
margin of interpretation of test results and to limit the errors in the appreciation of engine emissions.
(3)
Directive 2010/26/EU introduced provisions on NOx control which are necessary to ensure that the sophisticated after treatment systems, required in order to meet the new emission
limits for Stage IIIB and IV engines, function properly. In particular, to avoid that operators circumvent compliance with
emission limits, it is appropriate to complement the provisions on NOx control by introducing an operator warning system based on the corresponding provisions of Regulation (EC) No 595/2009 for
heavy duty vehicles (euro VI), combined with a two-stage inducement system which reduces significantly the equipment’s performance
thus enforcing compliance.
(4)
With the introduction of electronically controlled engines it is necessary to adapt the test procedure in order to ensure
that engine tests better reflect real use conditions, further preventing circumvention of emission requirements (cycle beating).
Therefore, during type approval, compliance should be demonstrated at a working area of the tested engine which has been selected
on the basis of the ISO 8178 standard. It is also necessary to specify the engine operating conditions under which those tests
are carried out and to modify the calculation methods for specific emissions in order to correspond to those required for
heavy duty vehicles (euro VI) and to align them with the provisions of the major trading partners of the Union.
(5)
Directive 97/68/EC requires the manufacturer to specify the engine emission performance under specific ambient control conditions
relating to altitude or pressure and temperature. In order to better reflect the real use of engines, it is appropriate to
extend the temperature/pressure and altitude criteria by aligning the provisions more closely with the requirements for heavy
duty euro VI engines.
(6)
The durability requirements should also be revised in order to guarantee the efficiency of the emission reduction once the
engine is in operation. Due to the technological changes associated with Stage IV engines and their respective after treatment
system, the durability provisions laid down in Directive 97/68/EC are not appropriate for those engines, and therefore provisions
based on those of Regulation (EC) No 595/2009 regarding heavy duty euro VI engines should be integrated in Directive 97/68/EC.
(7)
A globally harmonised test procedure for Stage IV engines has been adopted at the level of the United Nations Economic Commission
for Europe (UNECE Regulation No 96.03 series of amendments). It is appropriate to provide that that procedure also applies
to the testing of those engines in the Union.
(8)
Directive 97/68/EC provides that approvals issued under other specific Union or UNECE legislation are equivalent to type approvals
issued under that Directive. The references to the legal acts considered as equivalent should be adapted to current versions
in force. With regard to heavy duty euro VI engines it is necessary to specify that the equivalency can only be met if certain
additional inducement requirements are respected.
(9)
The reporting of carbon dioxide (CO2) emissions provides further indication about the performance of an engine. Reporting of CO2 emissions on the engine test cycles is part of the provisions of Regulation (EC) No 595/2009 for heavy duty vehicles (euro
VI and Environmental Protection Agency (EPA) 40CFR Greenhouse Gas Emissions Standards). It is therefore appropriate to introduce
such provisions also in Directive 97/68/EC.
(10)
Directive 97/68/EC does not contain specific requirements for crankcase emissions, which are secondary engine emissions. In
order to avoid interpretation problems, it is necessary to clarify how crankcase emissions are taken into account in judging
whether the emission test is passed or not. Those provisions should be aligned with Heavy Duty euro VI and US Tier 4 provisions
(EPA 40CFR part 1039).
(11)
Directive 97/68/EC specifies that engines are categorised in different engine power ranges due to the net engine power and
thus emission limit requirements. With new electronically controlled engines, the maximal engine power could be different
from the rated engine power. In order to ensure that the emission requirements are met, the engine power to be considered
should be the maximum engine power.
(12)
The information documents laid down in Directive 97/68/EC should be updated to reflect technical progress and the changes
introduced. The new documents should allow a complete reporting.
(13)
Directive 97/68/EC should therefore be amended accordingly.
(14)
In accordance with the Joint Political Declaration of Member States and the Commission on explanatory documents of 28 September
2011, Member States have undertaken to accompany, in justified cases, the notification of their transposition measures with
one or more documents explaining the relationship between the components of a directive and the corresponding parts of national
transposition instruments.
(15)
The measures provided for in this Directive are in accordance with the opinion of the Technical Committee of Motor Vehicles
competent under Article 15 of Directive 97/68/EC,
HAS ADOPTED THIS DIRECTIVE:
Article 1Amendments to Directive 97/68/EC
Directive 97/68/EC is amended as follows:
(1)
Annex I is amended in accordance with Annex I to this Directive;
(2)
Annex II is amended in accordance with Annex II to this Directive;
(3)
Annex III is amended in accordance with Annex III to this Directive;
(4)
Annex VI is amended in accordance with Annex IV to this Directive;
(5)
Annex VII is amended in accordance with Annex V to this Directive;
(6)
Annex XI is replaced by the text set out in Annex VI to this Directive;
(7)
Annex XII is replaced by the text set out in Annex VII to this Directive.
Article 2Transposition
1
Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with the Directive
by 21 December 2013 at the latest. They shall forthwith communicate to the Commission the text of those provisions.
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 text of the main provisions of national law which they adopt in the
field covered by this Directive.
Article 3Entry into force
This Directive shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
Article 4Addressees
This Directive is addressed to the Member States.
Done at Brussels, 6 December 2012.
For the Commission
The President
José Manuel Barroso
ANNEX I
Annex I to Directive 97/68/EC is amended as follows:
(1)
the following Sections 3.2.3 and 3.2.4 are added:
3.2.3.
The parenthesised number of the emissions stage, in roman numerals, which shall be prominently visible and located near to
the type approval number.
3.2.4.
The parenthesised letters SV which are referring to small volume engine manufacturer and which shall be prominently visible
and located near to the type approval number on each engine placed on the market under the small volume derogation set out
in Article 10(4).
(2)
Section 8.3.2.2 is replaced by the following:
8.3.2.2.The control conditions applicable for Stage IIIB and Stage IV are the following:
(a)
Control conditions for Stage III B engines:
(i)
an altitude not exceeding 1 000 metres (or equivalent atmospheric pressure of 90 kPa);
(ii)
an ambient temperature within the range 275 K to 303 K (2 °C to 30 °C);
(iii)
the engine coolant temperature above 343 K (70 °C).
Where the auxiliary emission control strategy is activated when the engine is operating within the control conditions set
out in points (i), (ii) and (iii), the strategy shall only be activated exceptionally.
(b)
Control conditions for Stage IV engines:
(i)
the atmospheric pressure greater than or equal to 82,5 kPa;
(ii)
the ambient temperature within the following range:
equal to or above 266 K (– 7 °C),
less than or equal to the temperature determined by the following equation at the specified atmospheric pressure:
, where: Tc is the calculated ambient air temperature, K and Pb is the atmospheric pressure, kPa;
(iii)
the engine coolant temperature above 343 K (70 °C).
Where the auxiliary emission control strategy is activated when the engine is operating within the control conditions set
out in points (i), (ii) and (iii), the strategy shall only be activated when demonstrated to be necessary for the purposes
identified in Section 8.3.2.3. and approved by the Type Approval authority.
(c)
Cold temperature operation
By derogation from the requirements of point (b), an auxiliary emission control strategy may be used on a Stage IV engine
equipped with exhaust gas recirculation (EGR) when the ambient temperature is below 275 K (2 °C) and if one of the two following
criteria is met:
(i)
intake manifold temperature is less than or equal to the temperature defined by the following equation:
, where: IMTc is the calculated intake manifold temperature, K and PIM is the absolute intake manifold pressure in kPa;
(ii)
engine coolant temperature is less than or equal to the temperature defined by the following equation:
, where: ECTc is the calculated engine coolant temperature, K and PIM is the absolute intake manifold pressure, kPa.
(3)
in Section 8.3.2.3, point (b) is replaced by the following:
(b)
for operational safety reasons;
(4)
the title of Section 8.4 is replaced by the following:
Requirements on NOx control measures for Stage IIIB engines
(5)
the following Sections 8.5, 8.6 and 8.7 are added:
8.5.Requirements on NOx control measures for Stage IV engines
8.5.1.
The manufacturer shall provide information that fully describes the functional operational characteristics of the NOx control measures using the documents set out in Section 2 of Appendix 1 to Annex II and in Section 2 of Appendix 3 to Annex
II.
8.5.2.
The engine emission control strategy shall be operational under all environmental conditions regularly pertaining in the territory
of the Union, especially at low ambient temperatures. This requirement is not restricted to the conditions under which a base
emission control strategy must be used as specified in Section 8.3.2.2.
8.5.3.
When a reagent is used, the manufacturer shall demonstrate that the emission of ammonia over the hot NRTC or NRSC at the type
approval procedure does not exceed a mean value of 10 ppm.
8.5.4.
If reagent containers are installed on or connected to a non-road mobile machine, means for taking a sample of the reagent
inside the containers must be included. The sampling point must be easily accessible without requiring the use of any specialised
tool or device.
8.5.5.
The type approval shall be made conditional, in accordance with Article 4(3), upon the following:
(a)
providing to each operator of non-road mobile machinery written maintenance instructions;
(b)
providing to the OEM installation documents for the engine, inclusive of the emission control system that is part of the approved
engine type;
(c)
providing to the OEM instructions for an operator warning system, an inducement system and (where applicable) reagent freeze
protection;
(d)
the application of provisions on operator instruction, installation documents, operator warning system, inducement system
and reagent freeze protection that are set out in Appendix 1 to this Annex.
8.6.Control area for stage IV
In accordance with paragraph 4.1.2.7 of this Annex, for stage IV engines the emissions sampled within the control area defined
in Annex I Appendix 2 shall not exceed by more than 100 % the limit values of the emissions in table 4.1.2.6 of this Annex.
8.6.1.Demonstration requirements
The technical service shall select up to three random load and speed points within the control area for testing. The technical
service shall also determine a random running order of the test points. The test shall be run in accordance with the principal
requirements of the NRSC, but each test point shall be evaluated separately. Each test point shall meet the limit values defined
in Section 8.6.
8.6.2.Test requirements
The test shall be carried out immediately after the discrete mode test cycles as described in Annex III.
However, where the manufacturer, pursuant to point 1.2.1 of Annex III, chooses to use the procedure of Annex 4B to UNECE Regulation
No 96.03 series of amendments the test shall be carried out as follows:
(a)
the test shall be carried out immediately after the discrete mode test cycles as described in points (a) to (e) of paragraph
7.8.1.2 of Annex 4B to UNECE Regulation No 96.03 series of amendments but before the post test procedures (f) or after the
Ramped Modal Cycle (RMC) test in points (a) to (d) of paragraph 7.8.2.2 of Annex 4B to UNECE Regulation No 96.03 series of
amendments but before the post test procedures (e) as relevant;
(b)
the tests shall be carried out as required in points (b) to (e) of paragraph 7.8.1.2 of Annex 4B to UNECE Regulation No 96.03
series of amendments using the multiple filter method (one filter for each test point) for each of the three chosen test points;
(c)
a specific emission value shall be calculated (in g/kWh) for each test point;
(d)
emissions values may be calculated on a molar basis using Appendix A.7 or on a mass basis using Appendix A.8, but should be
consistent with the method used for the discrete mode or RMC test;
(e)
for gaseous summation calculations the Nmode shall be set to 1 and a weighting factor of 1 shall be used;
(f)
for particulate calculations use the multiple filter method and for summation calculations Nmode shall be set to 1 and a weighting factor of 1 shall be used.
8.7.Verifying Emissions of Crankcase Gases for stage IV engines
8.7.1.
No crankcase emissions shall be discharged directly into the ambient atmosphere, with the exception given in paragraph 8.7.3.
8.7.2.
Engines may discharge crankcase emissions into the exhaust upstream of any after treatment device during all operation.
8.7.3.
Engines equipped with turbochargers, pumps, blowers, or superchargers for air induction may discharge crankcase emissions
to the ambient atmosphere. In this case the crankcase emissions shall be added to the exhaust emissions (either physically
or mathematically) during all emission testing in accordance with paragraph 8.7.3.1 of this section.
8.7.3.1.Crankcase emissions
No crankcase emissions shall be discharged directly into the ambient atmosphere, with the following exception: engines equipped
with turbochargers, pumps, blowers, or superchargers for air induction may discharge crankcase emissions to the ambient atmosphere
if the emissions are added to the exhaust emissions (either physically or mathematically) during all emission testing. Manufacturers
taking advantage of this exception shall install the engines so that all crankcase emission can be routed into the emissions
sampling system. For the purpose of this paragraph, crankcase emissions that are routed into the exhaust upstream of exhaust
after treatment during all operation are not considered to be discharged directly into the ambient atmosphere.
Open crankcase emissions shall be routed into the exhaust system for emission measurement, as follows:
(a)
the tubing materials shall be smooth-walled, electrically conductive, and not reactive with crankcase emissions. Tube lengths
shall be minimised as far as possible;
(b)
the number of bends in the laboratory crankcase tubing shall be minimised, and the radius of any unavoidable bend shall be
maximised;
(c)
the laboratory crankcase exhaust tubing shall meet the engine manufacturer’s specifications for crankcase back pressure;
(d)
the crankcase exhaust tubing shall connect into the raw exhaust downstream of any after treatment system, downstream of any
installed exhaust restriction, and sufficiently upstream of any sample probes to ensure complete mixing with the engine’s
exhaust before sampling. The crankcase exhaust tube shall extend into the free stream of exhaust to avoid boundary-layer effects
and to promote mixing. The crankcase exhaust tube’s outlet may orient in any direction relative to the raw exhaust flow.
(6)
the following Section 9 is added:
9.SELECTION OF ENGINE POWER CATEGORY
9.1.
For the purposes of establishing the conformity of variable speed engines defined by Section 1.A.(i) and 1.A.(iv) of this
Annex with the emission limits given in Section 4 of this Annex they shall be allocated to power bands on the basis of the
highest value of the net power measured in accordance with paragraph 2.4 of Annex I.
9.2.
For other engine types rated net power shall be used.
(7)
the following Appendices 1 and 2 are added:
Appendix 1Requirements to ensure the correct operation of NOx control measures
1.Introduction
This Annex sets out the requirements to ensure the correct operation of NOx control measures. It includes requirements for engines that rely on the use of a reagent in order to reduce emissions.
1.1.Definitions and abbreviations
“NOx Control Diagnostic system (NCD)” means a system on-board the engine which has the capability of:
(a)
detecting a NOx Control Malfunction;
(b)
identifying the likely cause of NOx control malfunctions by means of information stored in computer memory and/or communicating that information off-board.
“NOx Control Malfunction (NCM)” means an attempt to tamper with the NOx control system of an engine or a malfunction affecting that system that might be due to tampering, that is considered by
this Directive as requiring the activation of a warning or an inducement system once detected.
“Diagnostic trouble code (DTC)” means a numeric or alphanumeric identifier which identifies or labels a NOx Control Malfunction.
“Confirmed and active DTC” means a DTC that is stored during the time the NCD system concludes that a malfunction exists.
“Scan-tool” means an external test equipment used for off-board communication with the NCD system.
“NCD engine family” means a manufacturer’s grouping of engine systems having common methods of monitoring/diagnosing NCMs.
2.General requirements
The engine system shall be equipped with a NOx Control Diagnostic system (NCD) able to identify the NOx control malfunctions (NCMs) considered by this Annex. Any engine system covered by this section shall be designed, constructed
and installed so as to be capable of meeting these requirements throughout the normal life of the engine under normal conditions
of use. In achieving this objective it is acceptable that engines which have been used in excess of the useful life period
as specified in Section 3.1 of Appendix 5 to Annex III to this Directive show some deterioration in the performance and the
sensitivity of the NOx Control Diagnostic system (NCD), such that the thresholds specified in this Annex may be exceeded before the warning and/or
inducement systems are activated.
2.1.Required information
2.1.1.
If the emission control system requires a reagent, the characteristics of that reagent, including the type of reagent, information
on concentration when the reagent is in solution, operational temperature conditions and reference to international standards
for composition and quality must be specified by the manufacturer, in Section 2.2.1.13 of Appendix 1 and in Section 2.2.1.13
of Appendix 3 to Annex II.
2.1.2.
Detailed written information fully describing the functional operation characteristics of the operator warning system in paragraph
4 and of the operator inducement system in paragraph 5 shall be provided to the approval authority at the time of type-approval.
2.1.3.
The manufacturer shall provide installation documents that, when used by the OEM, will ensure that the engine, inclusive of
the emission control system that is part of the approved engine type, when installed in the machine, will operate, in conjunction
with the necessary machinery parts, in a manner that will comply with the requirements of this Annex. This documentation shall
include the detailed technical requirements and the provisions of the engine system (software, hardware, and communication)
needed for the correct installation of the engine system in the machine.
2.2.Operating conditions
2.2.1.
The NOx control diagnostic system shall be operational at the following conditions:
(a)
ambient temperatures between 266 K and 308 K (– 7 °C and 35 °C);
(b)
all altitudes below 1 600 m;
(c)
engine coolant temperatures above 343 K (70 °C).
This section shall not apply in the case of monitoring for reagent level in the storage tank where monitoring shall be conducted
under all conditions where measurement is technically feasible (for instance, under all conditions when a liquid reagent is
not frozen).
2.3.Reagent freeze protection
2.3.1.
It is permitted to use a heated or a non-heated reagent tank and dosing system. A heated system shall meet the requirements
of paragraph 2.3.2. A non-heated system shall meet the requirements of paragraph 2.3.3.
2.3.1.1.
The use of a non-heated reagent tank and dosing system shall be indicated in the written instructions to the owner of the
machine.
2.3.2.
Reagent tank and dosing system
2.3.2.1.
If the reagent has frozen, the reagent shall be available for use within a maximum of 70 minutes after the start of the engine
at 266 K (– 7 °C) ambient temperature.
2.3.2.2.Design criteria for a heated system
A heated system shall be so designed that it meets the performance requirements set out in this section when tested using
the procedure defined.
2.3.2.2.1.
The reagent tank and dosing system shall be soaked at 255 K (– 18 °C) for 72 hours or until the reagent becomes solid, whichever
occurs first.
2.3.2.2.2.After the soak period in paragraph 2.3.2.2.1, the machine/engine shall be started and operated at 266 K (– 7 °C) ambient temperature
or lower as follows:
(a)
10 to 20 minutes idling,
(b)
followed by up to 50 minutes at no more than 40 per cent of rated load.
2.3.2.2.3.
At the conclusion of the test procedure in paragraph 2.3.2.2.2, the reagent dosing system shall be fully functional.
2.3.2.3.
Evaluation of the design criteria may be performed in a cold chamber test cell using an entire machine or parts representative
of those to be installed on a machine or based on field tests.
2.3.3.
Activation of the operator warning and inducement system for a non-heated system
2.3.3.1.
The operator warning system described in paragraph 4 shall be activated if no reagent dosing occurs at an ambient temperature
≤ 266 K (– 7 °C).
2.3.3.2.
The severe inducement system described in paragraph 5.4 shall be activated if no reagent dosing occurs within a maximum of
70 minutes after engine start at an ambient temperature ≤ 266 K (– 7 °C).
2.4.Diagnostic requirements
2.4.1.
The NOx Control Diagnostic system (NCD) shall be able to identify the NOx control malfunctions (NCMs) considered by this Annex by means of Diagnostic Trouble Codes (DTCs) stored in the computer memory
and to communicate that information off-board upon request.
2.4.2.Requirements for recording Diagnostic Trouble Codes (DTCs)
2.4.2.1.
The NCD system shall record a DTC for each distinct NOx Control Malfunction (NCM).
2.4.2.2.
The NCD system shall conclude within 60 minutes of engine operation whether a detectable malfunction is present. At this time,
a “confirmed and active” DTC shall be stored and the warning system be activated according to paragraph 4.
2.4.2.3.
In cases where more than 60 minutes running time is required for the monitors to accurately detect and confirm a NCM (e.g.
monitors using statistical models or with respect to fluid consumption on the machine), the Approval Authority may permit
a longer period for monitoring provided the manufacturer justifies the need for the longer period (for example by technical
rationale, experimental results, in-house experience, etc.).
2.4.3.Requirements for erasing Diagnostic trouble codes (DTCs):
(a)
DTCs shall not be erased by the NCD system itself from the computer memory until the failure related to that DTC has been
remedied;
(b)
the NCD system may erase all the DTCs upon request of a proprietary scan or maintenance tool that is provided by the engine
manufacturer upon request, or using a pass code provided by the engine manufacturer.
2.4.4.
An NCD system shall not be programmed or otherwise designed to partially or totally deactivate based on age of the machine
during the actual life of the engine, nor shall the system contain any algorithm or strategy designed to reduce the effectiveness
of the NCD system over time.
2.4.5.
Any reprogrammable computer codes or operating parameters of the NCD system shall be resistant to tampering.
2.4.6.NCD engine family
The manufacturer is responsible for determining the composition of an NCD engine family. Grouping engine systems within an
NCD engine family shall be based on good engineering judgement and be subject to approval by the Approval Authority.
Engines that do not belong to the same engine family may still belong to the same NCD engine family.
2.4.6.1.Parameters defining an NCD engine family
An NCD engine family is characterised by basic design parameters that shall be common to engine systems within the family.
In order that engine systems are considered to belong to the same NCD engine family, the following list of basic parameters
shall be similar:
(a)
emission control systems;
(b)
methods of NCD monitoring;
(c)
criteria for NCD monitoring;
(d)
monitoring parameters (e.g. frequency).
These similarities shall be demonstrated by the manufacturer by means of relevant engineering demonstration or other appropriate
procedures and subject to the approval of the Approval Authority.
The manufacturer may request approval by the Approval Authority of minor differences in the methods of monitoring/diagnosing
the NCD system due to engine system configuration variation, when these methods are considered similar by the manufacturer
and they differ only in order to match specific characteristics of the components under consideration (for example size, exhaust
flow, etc.); or their similarities are based on good engineering judgement.
3.Maintenance requirements
3.1.The manufacturer shall furnish or cause to be furnished to all owners of new engines or machines written instructions about
the emission control system and its correct operation.
These instructions shall state that if the emission control system is not functioning correctly, the operator will be informed
of a problem by the operator warning system and that activation of the operator inducement system as a consequence of ignoring
this warning will result in the machine being unable to conduct its mission.
3.2.
The instructions shall indicate requirements for the proper use and maintenance of engines in order to maintain their emissions
performance, including where relevant the proper use of consumable reagents.
3.3.
The instructions shall be written in a clear and non-technical manner using the same language as is used in the operator’s
manual on the non-road mobile machinery or engine.
3.4.
The instructions shall specify whether consumable reagents have to be refilled by the operator between normal maintenance
intervals. The instructions shall also specify the required reagent quality. They shall indicate how the operator should refill
the reagent tank. The information shall also indicate a likely rate of reagent consumption for the engine type and how often
it should be replenished.
3.5.
The instructions shall state that use of, and refilling of, a required reagent of the correct specifications is essential
in order for the engine to comply with the requirements for the issuing of the type approval for that engine type.
3.6.
The instructions shall explain how the operator warning and inducement systems work. In addition, the consequences, in terms
of performance and fault logging, of ignoring the warning system and not replenishing the reagent or rectifying the problem
shall be explained.
4.Operator warning system
4.1.
The machine shall include an operator warning system using visual alarms that informs the operator when a low reagent level,
incorrect reagent quality, interruption of dosing or a malfunction of the type specified in paragraph 9 has been detected
that will lead to activation of the operator inducement system if not rectified in a timely manner. The warning system shall
remain active when the operator inducement system described in paragraph 5 has been activated.
4.2.
The warning shall not be the same as the warning used for the purposes of signalling a malfunction or other engine maintenance,
though it may use the same warning system.
4.3.The operator warning system may consist of one or more lamps, or display short messages, which may include, for example, messages
indicating clearly:
the remaining time before activation of the low-level and/or severe inducements,
the amount of low-level and/or severe inducement, for example the amount of torque reduction,
the conditions under which machine disablement can be cleared.
Where messages are displayed, the system used for displaying these messages may be the same as the one used for other maintenance
purposes.
4.4.
At the choice of the manufacturer, the warning system may include an audible component to alert the operator. The cancelling
of audible warnings by the operator is permitted.
4.5.
The operator warning system shall be activated as specified in paragraphs 2.3.3.1, 6.2, 7.2, 8.4, and 9.3 respectively.
4.6.
The operator warning system shall be deactivated when the conditions for its activation have ceased to exist. The operator
warning system shall not be automatically deactivated without the reason for its activation having been remedied.
4.7.
The warning system may be temporarily interrupted by other warning signals providing important safety related messages.
4.8.
Details of the operator warning system activation and deactivation procedures are described in Section 11.
4.9.
As part of the application for type-approval under this Directive, the manufacturer shall demonstrate the operation of the
operator warning system, as specified in Section 11.
5.Operator inducement system
5.1.
The machine shall incorporate an operator inducement system based on one of the following principles:
5.1.1.
a two-stage inducement system starting with a low-level inducement (performance restriction) followed by a severe inducement
(effective disablement of machine operation);
5.1.2.
a one-stage severe inducement system (effective disablement of machine operation) activated under the conditions of a low-level
inducement system as specified in paragraphs 6.3.1, 7.3.1, 8.4.1, and 9.4.1.
5.2.
Upon prior approval of the type approval authority, the engine may be fitted with a means to disable the operator inducement
during an emergency declared by a national or regional government, their emergency services or their armed services.
5.3.Low-level inducement system
5.3.1.
The low-level inducement system shall be activated after any of the conditions specified in paragraphs 6.3.1, 7.3.1, 8.4.1,
and 9.4.1 has occurred.
5.3.2.
The low-level inducement system shall gradually reduce the maximum available engine torque across the engine speed range by
at least 25 per cent between the peak torque speed and the governor breakpoint as shown in Figure 1. The rate of torque reduction
shall be a minimum of 1 % per minute.
5.3.3.
Other inducement measures that are demonstrated to the type approval authority as having the same or greater level of severity
may be used.
The severe inducement system shall be activated after any of the conditions specified in paragraphs 2.3.3.2, 6.3.2, 7.3.2,
8.4.2, and 9.4.2 has occurred.
5.4.2.The severe inducement system shall reduce the machine’s utility to a level that is sufficiently onerous as to cause the operator
to remedy any problems related to Sections 6 to 9. The following strategies are acceptable:
5.4.2.1.
Engine torque between the peak torque speed and the governor breakpoint shall be gradually reduced from the low-level inducement
torque in Figure 1 by a minimum of 1 per cent per minute to 50 per cent of maximum torque or lower and engine speed shall
be gradually reduced to 60 per cent of rated speed or lower within the same time period as the torque reduction, as shown
in Figure 2.
Figure 2Severe inducement torque reduction scheme
5.4.2.2.
Other inducement measures that are demonstrated to the type approval authority as having the same or greater level of severity
may be used.
5.5.
In order to account for safety concerns and to allow for self-healing diagnostics, use of an inducement override function
for releasing full engine power is permitted provided it
is active for no longer than 30 minutes, and
is limited to three activations during each period that the operator inducement system is active.
5.6.
The operator inducement system shall be deactivated when the conditions for its activation have ceased to exist. The operator
inducement system shall not be automatically deactivated without the reason for its activation having been remedied.
5.7.
Details of the operator inducement system activation and deactivation procedures are described in Section 11.
5.8.
As part of the application for type-approval under this Directive, the manufacturer shall demonstrate the operation of the
operator inducement system, as specified in Section 11.
6.Reagent availability
6.1.Reagent level indicator
The machine shall include an indicator that clearly informs the operator of the level of reagent in the reagent storage tank.
The minimum acceptable performance level for the reagent indicator is that it shall continuously indicate the reagent level
whilst the operator warning system referred to in paragraph 4 is activated. The reagent indicator may be in the form of an
analogue or digital display, and may show the level as a proportion of the full tank capacity, the amount of remaining reagent,
or the estimated operating hours remaining.
6.2.Activation of the operator warning system
6.2.1.
The operator warning system specified in paragraph 4 shall be activated when the level of reagent goes below 10 % of the capacity
of the reagent tank or a higher percentage at the choice of the manufacturer.
6.2.2.
The warning provided shall be sufficiently clear, in conjunction with the reagent indicator, for the operator to understand
that the reagent level is low. When the warning system includes a message display system, the visual warning shall display
a message indicating a low level of reagent (for example “urea level low”, “AdBlue level low”, or “reagent low”).
6.2.3.
The operator warning system does not initially need to be continuously activated (for example a message does not need to be
continuously displayed), however activation shall escalate in intensity so that it becomes continuous as the level of the
reagent approaches empty and the point where the operator inducement system will come into effect is approached (for example
frequency at which a lamp flashes). It shall culminate in an operator notification at a level that is at the choice of the
manufacturer, but sufficiently more noticeable at the point where the operator inducement system in paragraph 6.3 comes into
effect than when it was first activated.
6.2.4.
The continuous warning shall not be easily disabled or ignored. When the warning system includes a message display system,
an explicit message shall be displayed (for example “fill up urea”, “fill up AdBlue”, or “fill up reagent”). The continuous
warning may be temporarily interrupted by other warning signals providing important safety related messages.
6.2.5.
It shall not be possible to turn off the operating warning system until the reagent has been replenished to a level not requiring
its activation.
6.3.Activation of the operator inducement system
6.3.1.
The low-level inducement system described in paragraph 5.3 shall be activated if the reagent tank level goes below 2,5 % of
its nominally full capacity or a higher percentage at the choice of the manufacturer.
6.3.2.
The severe inducement system described in paragraph 5.4 shall be activated if the reagent tank is empty (that is, when the
dosing system is unable to draw further reagent from the tank) or at any level below 2,5 % of its nominally full capacity
at the discretion of the manufacturer.
6.3.3.
Except to the extent permitted by paragraph 5.5, it shall not be possible to turn off the low-level or severe inducement system
until the reagent has been replenished to a level not requiring their respective activation.
7.Reagent quality monitoring
7.1.
The engine or machine shall include a means of determining the presence of an incorrect reagent on board a machine.
7.1.1.
The manufacturer shall specify a minimum acceptable reagent concentration CDmin, which results in tailpipe NOx emissions not exceeding a threshold of 0,9 g/kWh.
7.1.1.1.
The correct value of CDmin shall be demonstrated during type approval by the procedure defined in Section 12 and recorded
in the extended documentation package as specified in Section 8 of Annex I.
7.1.2.
Any reagent concentration lower than CDmin shall be detected and be regarded, for the purpose of Section 7.1, as being incorrect
reagent.
7.1.3.
A specific counter (“the reagent quality counter”) shall be attributed to the reagent quality. The reagent quality counter
shall count the number of engine operating hours with an incorrect reagent.
7.1.3.1.
Optionally, the manufacturer may group the reagent quality failure together with one or more of the failures listed in Sections
8 and 9 into a single counter.
7.1.4.
Details of the reagent quality counter activation and deactivation criteria and mechanisms are described in Section 11.
7.2.Activation of the operator warning system
When the monitoring system confirms that the reagent quality is incorrect, the operator warning system described in paragraph
4 shall be activated. When the warning system includes a message display system, it shall display a message indicating the
reason of the warning (for example “incorrect urea detected”, “incorrect AdBlue detected”, or “incorrect reagent detected”).
7.3.Activation of the operator inducement system
7.3.1.
The low-level inducement system described in paragraph 5.3 shall be activated if the reagent quality is not rectified within
a maximum of 10 engine operating hours after the activation of the operator warning system described in paragraph 7.2.
7.3.2.
The severe inducement system described in paragraph 5.4 shall be activated if the reagent quality is not rectified within
a maximum of 20 engine operating hours after the activation of the operator warning system in described paragraph 7.2.
7.3.3.
The number of hours prior to activation of the inducement systems shall be reduced in case of a repetitive occurrence of the
malfunction according to the mechanism described in Section 11.
8.Reagent dosing activity
8.1.
The engine shall include a means of determining interruption of dosing.
8.2.Reagent dosing activity counter
8.2.1.
A specific counter shall be attributed to the dosing activity (the “dosing activity counter”). The counter shall count the
number of engine operating hours which occur with an interruption of the reagent dosing activity. This is not required where
such interruption is demanded by the engine ECU because the machine operating conditions are such that the machine’s emission
performance does not require reagent dosing.
8.2.1.1.
Optionally, the manufacturer may group the reagent dosing failure together with one or more of the failures listed in Sections
7 and 9 into a single counter.
8.2.2.
Details of the reagent dosing activity counter activation and deactivation criteria and mechanisms are described in Section
11.
8.3.Activation of the operator warning system
The operator warning system described in paragraph 4 shall be activated in the case of interruption of dosing which sets the
dosing activity counter in accordance with paragraph 8.2.1. When the warning system includes a message display system, it
shall display a message indicating the reason of the warning (e.g. “urea dosing malfunction”, “AdBlue dosing malfunction”,
or “reagent dosing malfunction”).
8.4.Activation of the operator inducement system
8.4.1.
The low-level inducement system described in paragraph 5.3 shall be activated if an interruption in reagent dosing is not
rectified within a maximum of 10 engine operating hours after the activation of the operator warning system in paragraph 8.3.
8.4.2.
The severe inducement system described in paragraph 5.4 shall be activated if an interruption in reagent dosing is not rectified
within a maximum of 20 engine operating hours after the activation of the operator warning system in paragraph 8.3.
8.4.3.
The number of hours prior to activation of the inducement systems shall be reduced in case of a repetitive occurrence of the
malfunction according to the mechanism described in Section 11.
9.Monitoring failures that may be attributed to tampering
9.1.
In addition to the level of reagent in the reagent tank, the reagent quality, and the interruption of dosing, the following
failures shall be monitored because they may be attributed to tampering:
(i)
impeded EGR valve;
(ii)
failures of the NOx Control Diagnostic (NCD) system, as described in paragraph 9.2.1.
9.2.Monitoring requirements
9.2.1.
The NOx Control Diagnostic (NCD) system shall be monitored for electrical failures and for removal or deactivation of any sensor
that prevents it from diagnosing any other failures mentioned in paragraphs 6 to 8 (component monitoring).
A non-exhaustive list of sensors that affect the diagnostic capability are those directly measuring NOx concentration, urea quality sensors, ambient sensors and sensors used for monitoring reagent dosing activity, reagent level,
or reagent consumption.
9.2.2.EGR valve counter
9.2.2.1.
A specific counter shall be attributed to an impeded EGR valve. The EGR valve counter shall count the number of engine operating
hours when the DTC associated to an impeded EGR valve is confirmed to be active.
9.2.2.1.1.
Optionally, the manufacturer may group the impeded EGR valve failure together with one or more of the failures listed in Sections
7, 8 and 9.2.3 into a single counter.
9.2.2.2.
Details of the EGR valve counter activation and deactivation criteria and mechanisms are described in Section 11.
9.2.3.NCD system counter(s)
9.2.3.1.
A specific counter shall be attributed to each of the monitoring failures considered in paragraph 9.1 (ii). The NCD system
counters shall count the number of engine operating hours when the DTC associated to a malfunction of the NCD system is confirmed
to be active. Grouping of several faults into a single counter is permitted.
9.2.3.1.1.
Optionally, the manufacturer may group the NCD system failure together with one or more of the failures listed in Sections
7, 8 and 9.2.2 into a single counter.
9.2.3.2.
Details of the NCD system counter(s) activation and deactivation criteria and mechanisms are described in Section 11.
9.3.Activation of the operator warning system
The operator warning system described in paragraph 4 shall be activated in case any of the failures specified in paragraph
9.1 occur, and shall indicate that an urgent repair is required. When the warning system includes a message display system,
it shall display a message indicating the reason of the warning (for example “reagent dosing valve disconnected”, or “critical
emission failure”).
9.4.Activation of the operator inducement system
9.4.1.
The low-level inducement system described in paragraph 5.3 shall be activated if a failure specified in paragraph 9.1 is not
rectified within a maximum of 36 engine operating hours after the activation of the operator warning system in paragraph 9.3.
9.4.2.
The severe inducement system described in paragraph 5.4 shall be activated if a failure specified in paragraph 9.1 is not
rectified within a maximum of 100 engine operating hours after the activation of the operator warning system in paragraph
9.3.
9.4.3.
The number of hours prior to activation of the inducement systems shall be reduced in case of a repetitive occurrence of the
malfunction according to the mechanism described in Section 11.
9.5.
As an alternative to the requirements in paragraph 9.2, the manufacturer may use a NOx sensor located in the exhaust gas. In this case,
the NOx value shall not exceed a threshold of 0,9 g/kWh,
use of a single failure “high NOx — root cause unknown” may be used,
The compliance to the requirements of this Annex shall be demonstrated during type-approval by performing, as illustrated
in Table 1 and specified in this section:
(a)
a demonstration of the warning system activation;
(b)
a demonstration of the low level inducement system activation, if applicable;
(c)
a demonstration of the severe inducement system activation.
Table 1Illustration of the content of the demonstration process according to the provisions in Sections 10.3 and 10.4 of this Appendix
Mechanism
Demonstration elements
Warning system activation specified in Section 10.3 of this Appendix
Two activation tests (incl. lack of reagent)
Supplementary demonstration elements, as appropriate
Low-level inducement activation specified in Section 10.4 of this Appendix
Two activation tests (incl. lack of reagent)
Supplementary demonstration elements, as appropriate
One torque reduction test
Severe inducement activation specified in Section 10.4.6 of this Appendix
Two activation tests (incl. lack of reagent)
Supplementary demonstration elements, as appropriate
10.2.Engine families And NCD engine families
The compliance of an engine family or an NCD engine family with the requirements of this Section 10 may be demonstrated by
testing one of the members of the considered family, provided the manufacturer demonstrates to the approval authority that
the monitoring systems necessary for complying with the requirements of this Annex are similar within the family.
10.2.1.
The demonstration that the monitoring systems for other members of the NCD family are similar may be performed by presenting
to the approval authorities such elements as algorithms, functional analyses, etc.
10.2.2.
The test engine is selected by the manufacturer in agreement with the approval authority. It may or may not be the parent
engine of the considered family.
10.2.3.
In the case where engines of an engine family belong to an NCD engine family that has already been type-approved according
to paragraph 10.2.1 (Figure 3), the compliance of that engine family is deemed to be demonstrated without further testing,
provided the manufacturer demonstrates to the authority that the monitoring systems necessary for complying with the requirements
of this Annex are similar within the considered engine and NCD engine families.
Figure 3Previously demonstrated conformity of an NCD engine family
10.3.Demonstration of the warning system activation
10.3.1.
The compliance of the warning system activation shall be demonstrated by performing two tests: lack of reagent, and one failure
category considered in Section 7 to 9 of this Annex.
10.3.2.Selection of the failures to be tested
10.3.2.1.
For the purpose of demonstrating the activation of the warning system in case of a wrong reagent quality, a reagent shall
be selected with a dilution of the active ingredient at least as dilute as that communicated by the manufacturer according
to the requirements of Section 7 of this Annex
10.3.2.2.
For the purpose of demonstrating the activation of the warning system in case of failures that may be attributed to tampering,
and are defined in Section 9 of this Annex the selection shall be performed according to the following requirements:
10.3.2.2.1.
The manufacturer shall provide the approval authority with a list of such potential failures.
10.3.2.2.2.
The failure to be considered in the test shall be selected by the approval authority from this list referred to in Section
10.3.2.2.1.
10.3.3.Demonstration
10.3.3.1.
For the purpose of this demonstration, a separate test shall be performed for each of the failures considered in Section 10.3.1.
10.3.3.2.
During a test, no failure shall be present other than the one addressed by the test.
10.3.3.3.
Prior to starting a test, all DTC shall have been erased.
10.3.3.4.
At the request of the manufacturer, and with the agreement of the approval authority, the failures subject to testing may
be simulated.
10.3.3.5.Detection of failures other than lack of reagent
For failures other than lack of reagent, once the failure installed or simulated, the detection of that failure shall be performed
as follows:
10.3.3.5.1.
The NCD system shall respond to the introduction of a failure selected as appropriate by the type approval authority in accordance
to the provisions of this Appendix. This is considered to be demonstrated if activation occurs within two consecutive NCD
test-cycles according to paragraph 10.3.3.7 of this Appendix.
When it has been specified in the monitoring description and agreed by the Approval Authority that a specific monitor needs
more than two NCD test-cycles to complete its monitoring, the number of NCD test-cycles may be increased to three NCD test-cycles.
Each individual NCD test-cycle in the demonstration test may be separated by an engine shut-off. The time until the next start-up
shall take into consideration any monitoring that may occur after engine shut-off and any necessary condition that must exist
for monitoring to occur at the next start-up.
10.3.3.5.2.
The demonstration of the warning system activation is deemed to be accomplished if, at the end of each demonstration test
performed according to Section 10.3.2.1, the warning system has been properly activated and the DTC for the selected failure
has got the “confirmed and active” status.
10.3.3.6.Detection in case of lack of reagent
For the purpose of demonstrating the activation of the warning system in case of lack of reagent, the engine system shall
be operated over one or more NCD test cycles at the discretion of the manufacturer.
10.3.3.6.1.
The demonstration shall start with a level of reagent in the tank to be agreed between the manufacturer and the approval authority
but representing not less than 10 per cent of the nominal capacity of the tank.
10.3.3.6.2.The warning system is deemed to have performed in the correct manner if the following conditions are met simultaneously:
(a)
the warning system has been activated with a reagent availability greater or equal to 10 per cent of the capacity of the reagent
tank, and
(b)
the “continuous” warning system has been activated with a reagent availability greater or equal to the value declared by the
manufacturer according to the provisions of Section 6 of this Annex.
10.3.3.7.NCD test cycle
10.3.3.7.1.
The NCD test cycle considered in this Section 10 for demonstrating the correct performance of the NCD system is the hot NRTC
cycle.
10.3.3.7.2.On request of the manufacturer and with approval of the Approval Authority, an alternative NCD test-cycle can be used (e.g.
the NRSC) for a specific monitor. The request shall contain elements (technical considerations, simulation, test results,
etc.) demonstrating:
(a)
the requested test-cycle results in a monitor that will run in real world driving, and
(b)
the applicable NCD test-cycle specified in paragraph 10.3.3.7.1 is shown to be less appropriate for the considered monitoring.
10.3.4.
The demonstration of the warning system activation is deemed to be accomplished if, at the end of each demonstration test
performed according to Section 10.3.3, the warning system has been properly activated.
10.4.Demonstration of the inducement system activation
10.4.1.
The demonstration of the inducement system activation shall be done by tests performed on an engine test bench.
10.4.1.1.
Any components or subsystems not physically mounted on the engine system, such as, but not limited to, ambient temperature
sensors, level sensors, and operator warning and information systems, that are required in order to perform the demonstrations
shall be connected to the engine system for that purpose, or shall be simulated, to the satisfaction of the approval authority.
10.4.1.2.
If the manufacturer chooses, and subject to the agreement of the approval authority, the demonstration tests may be performed
on a complete machine or machinery either by mounting the machine on a suitable test bed or by running it on a test track
under controlled conditions.
10.4.2.
The test sequence shall demonstrate the activation of the inducement system in case of lack of reagent and in case of one
of the failures defined in Sections 7, 8, or 9 of this Annex.
10.4.3.
For the purpose of this demonstration:
(a)
the approval authority shall select, in addition to the lack of reagent, one of the failures defined in Sections 7, 8 or 9
of this Annex that has been previously used in the demonstration of the warning system activation;
(b)
the manufacturer shall, in agreement with the approval authority, be permitted to accelerate the test by simulating the achievement
of a certain number of operating hours;
(c)
the achievement of the torque reduction required for low-level inducement may be demonstrated at the same time as the general
engine performance approval process performed in accordance with this Directive. Separate torque measurement during the inducement
system demonstration is not required in this case;
(d)
the severe inducement shall be demonstrated according to the requirements of Section 10.4.6 of this Appendix.
10.4.4.
The manufacturer shall, in addition, demonstrate the operation of the inducement system under those failure conditions defined
in Sections 7, 8 or 9 of this Annex which have not been chosen for use in demonstration tests described in Sections 10.4.1
to 10.4.3.
These additional demonstrations may be performed by presentation to the approval authority of a technical case using evidence
such as algorithms, functional analyses, and the result of previous tests.
10.4.4.1.
These additional demonstrations shall in particular demonstrate to the satisfaction of the approval authority the inclusion
of the correct torque reduction mechanism in the engine ECU.
10.4.5.Demonstration test of the low level inducement system
10.4.5.1.
This demonstration starts when the warning system or when appropriate “continuous” warning system has been activated as a
result of the detection of a failure selected by the approval authority.
10.4.5.2.
When the system is being checked for its reaction to the case of lack of reagent in the tank, the engine system shall be run
until the reagent availability has reached a value of 2,5 per cent of the nominal full capacity of the tank or the value declared
by the manufacturer in accordance with Section 6.3.1 of this Annex at which the low-level inducement system is intended to
operate.
10.4.5.2.1.
The manufacturer may, with the agreement of the approval authority, simulate continuous running by extracting reagent from
the tank, either whilst the engine is running or is stopped.
10.4.5.3.
When the system is checked for its reaction in the case of a failure other than a lack of reagent in the tank, the engine
system shall be run for the relevant number of operating hours indicated in Table 3 of this Appendix or, at the choice of
the manufacturer, until the relevant counter has reached the value at which the low-level inducement system is activated.
10.4.5.4.
The demonstration of the low level inducement system shall be deemed to be accomplished if, at the end of each demonstration
test performed according to Sections 10.4.5.2 and 10.4.5.3, the manufacturer has demonstrated to the approval authority that
the engine ECU has activated the torque reduction mechanism.
10.4.6.Demonstration test of the severe inducement system
10.4.6.1.
This demonstration shall start from a condition where the low-level inducement system has been previously activated and may
be performed as a continuation of the tests undertaken to demonstrate the low-level inducement system.
10.4.6.2.
When the system is checked for its reaction in the case of lack of reagent in the tank, the engine system shall be run until
the reagent tank is empty, or has reached the level below 2,5 per cent of the nominal full capacity of the tank at which the
manufacturer has declared to activate the severe inducement system.
10.4.6.2.1.
The manufacturer may, with the agreement of the approval authority, simulate continuous running by extracting reagent from
the tank, either whilst the engine is running or is stopped.
10.4.6.3.
When the system is checked for its reaction in the case of a failure that is not a lack of reagent in the tank, the engine
system shall then be run for the relevant number of operating hours indicated in Table 3 of this Appendix or, at the choice
of the manufacturer, until the relevant counter has reached the value at which the severe inducement system is activated.
10.4.6.4.
The demonstration of the severe inducement system shall be deemed to be accomplished if, at the end of each demonstration
test performed according to paragraphs 10.4.6.2 and 10.4.6.3, the manufacturer has demonstrated to the type-approval authority
that the severe inducement mechanism considered in this Annex has been activated.
10.4.7.
Alternatively, if the manufacturer chooses, and subject to the agreement of the approval authority, the demonstration of the
inducement mechanisms may be performed on a complete machine in accordance with the requirements of Section 5.4, either by
mounting the machine on a suitable test bed or by running it on a test track under controlled conditions.
10.4.7.1.
The machine shall be operated until the counter associated with the selected failure has reached the relevant number of operating
hours indicated in Table 3 of this Appendix or, as appropriate, until either the reagent tank is empty or, has reached the
level below 2,5 per cent of the nominal full capacity of the tank at which the manufacturer has chosen to activate the severe
inducement system.
11.Description of the operator warning and inducement activation and deactivation mechanisms
11.1.
To complement the requirements specified in this Annex concerning the warning and inducement activation and deactivation mechanisms,
this Section 11 specifies the technical requirements for an implementation of those activation and deactivation mechanisms.
11.2.Activation and deactivation mechanisms of the warning system
11.2.1.
The operator warning system shall be activated when the diagnostic trouble code (DTC) associated with a NCM justifying its
activation has the status defined in Table 2 of this Appendix.
Table 2Activation of the operator warning system
Failure type
DTC status for activation of the warning system
Poor reagent quality
confirmed and active
Interruption of dosing
confirmed and active
Impeded EGR valve
confirmed and active
Malfunction of the monitoring system
confirmed and active
NOx threshold, if applicable
confirmed and active
11.2.2.
The operator warning system shall be deactivated when the diagnostic system concludes that the malfunction relevant to that
warning is no longer present or when the information including DTCs relative to the failures justifying its activation is
erased by a scan tool.
11.2.2.1.Requirements for erasing “NOx control information”
11.2.2.1.1.Erasing/resetting “NOx control information” by a scan-tool
On request of the scan tool, the following data shall be erased or reset to the value specified in this Appendix from the
computer memory (see Table 3).
Table 3Erasing/resetting “NOx control information” by a scan-tool
NOx control information
Erasable
Resetable
All DTCs
X
The value of the counter with the highest number of engine operating hours
X
The number of engine operating hours from the NCD counter(s)
X
11.2.2.1.2.
NOx control information shall not be erased by disconnection of the machine’s battery(s).
11.2.2.1.3.
The erasing of “NOx control information” shall only be possible under “engine-off” conditions.
11.2.2.1.4.
When “NOx control information” including DTCs are erased, any counter reading associated with these failures and which is specified
in this Annex shall not be erased, but reset to the value specified in the appropriate section of this Annex.
11.3.Activation and deactivation mechanism of the operator inducement system
11.3.1.
The operator inducement system shall be activated when the warning system is active and the counter relevant to the type of
NCM justifying its activation has reached the value specified in Table 4 of this Appendix.
11.3.2.
The operator inducement system shall be deactivated when the system no longer detects a malfunction justifying its activation,
or if the information including the DTCs relative to the NCMs justifying its activation has been erased by a scan tool or
maintenance tool.
11.3.3.
The operator warning and inducement systems shall be immediately activated or deactivated as appropriate according to the
provisions of Section 6 of this Annex after assessment of the reagent quantity in the reagent tank. In that case, the activation
or deactivation mechanisms shall not depend upon the status of any associated DTC.
11.4.Counter mechanism
11.4.1.General
11.4.1.1.
To comply with the requirements of this Annex, the system shall contain at least four counters to record the number of hours
during which the engine has been operated while the system has detected any of the following:
(a)
an incorrect reagent quality;
(b)
an interruption of reagent dosing activity;
(c)
an impeded EGR valve;
(d)
a failure of the NCD system according to Section 9.1(ii) of this Annex.
11.4.1.1.1.
Optionally, the manufacturer may use one or more counters for grouping the failures indicated in Section 11.4.1.1.
11.4.1.2.
Each of the counters shall count up to the maximum value provided in a 2 byte counter with 1 hour resolution and hold that
value unless the conditions allowing the counter to be reset to zero are met.
11.4.1.3.
A manufacturer may use a single or multiple NCD system counters. A single counter may accumulate the number of hours of two
or more different malfunctions relevant to that type of counter, none of them having reached the time the single counter indicates.
11.4.1.3.1.
When the manufacturer decides to use multiple NCD system counters, the system shall be capable of assigning a specific monitoring
system counter to each malfunction relevant according to this Annex to that type of counters.
11.4.2.Principle of counters mechanism
11.4.2.1.
Each of the counters shall operate as follows:
11.4.2.1.1.
If starting from zero, the counter shall begin counting as soon as a malfunction relevant to that counter is detected and
the corresponding diagnostic trouble code (DTC) has the status defined in Table 2.
11.4.2.1.2.
In case of repeated failures, one of the following provisions shall apply at the choice of the manufacturer.
(i)
If a single monitoring event occurs and the malfunction that originally activated the counter is no longer detected or if
the failure has been erased by a scan tool or a maintenance tool, the counter shall halt and hold its current value. If the
counter stops counting when the severe inducement system is active, the counter shall be kept frozen at the value defined
in Table 4 of this Appendix or a value of greater than or equal to the counter value for severe inducement minus 30 minutes.
(ii)
The counter shall be kept frozen at the value defined in Table 4 of this Appendix or a value greater than or equal to the
counter value for severe inducement minus 30 minutes.
11.4.2.1.3.
In the case of a single monitoring system counter, that counter shall continue counting if a NCM relevant to that counter
has been detected and its corresponding Diagnostic trouble code (DTC) has the status “confirmed and active”. It shall halt
and hold one of the values specified in Section 11.4.2.1.2, if no NCM that would justify the counter activation is detected
or if all the failures relevant to that counter have been erased by a scan tool or a maintenance tool.
Table 4Counters and inducement
DTC status for first activation of the counter
Counter value for low-level inducement
Counter value for severe inducement
Frozen value held by the counter
Reagent quality counter
confirmed and active
≤ 10 hours
≤ 20 hours
≥ 90 % of counter value for severe inducement
Dosing counter
confirmed and active
≤ 10 hours
≤ 20 hours
≥ 90 % of counter value for severe inducement
EGR valve counter
confirmed and active
≤ 36 hours
≤ 100 hours
≥ 95 % of counter value for severe inducement
Monitoring system counter
confirmed and active
≤ 36 hours
≤ 100 hours
≥ 95 % of counter value for severe inducement
NOx threshold, if applicable
confirmed and active
≤ 10 hours
≤ 20 hours
≥ 90 % of counter value for severe inducement
11.4.2.1.4.
Once frozen, the counter shall be reset to zero when the monitors relevant to that counter have run at least once to completion
of their monitoring cycle without having detected a malfunction and no malfunction relevant to that counter has been detected
during 40 engine operating hours since the counter was last held (see Figure 4).
11.4.2.1.5.
The counter shall continue counting from the point at which it had been held if a malfunction relevant to that counter is
detected during a period when the counter is frozen (see Figure 4).
11.5.Illustration of the activation and deactivation and counter mechanisms
11.5.1.
This paragraph illustrates the activation and deactivation and counter mechanisms for some typical cases. The figures and
descriptions given in paragraphs 11.5.2, 11.5.3 and 11.5.4 are provided solely for the purposes of illustration in this Annex
and should not be referenced as examples of either the requirements of this Directive or as definitive statements of the processes
involved. The counter hours in Figures 6 and 7 refer to the maximum severe inducement values in Table 4. For simplification
purposes, for example, the fact that the warning system will also be active when the inducement system is active has not been
mentioned in the illustrations given.
Figure 4Reactivation and resetting to zero of a counter after a period when its value has been frozen
11.5.2.
Figure 5 illustrates the operation of the activation and deactivation mechanisms when monitoring the reagent availability
for five cases:
use case 1: the operator continues operating the machine in spite of the warning until machine operation is disabled;
refilling case 1 (“adequate” refilling): the operator refills the reagent tank so that a level above the 10 % threshold is
reached. Warning and inducement are de-activated;
refilling cases 2 and 3 (“inadequate” refilling): the warning system is activated. The level of warning depends on the amount
of available reagent;
refilling case 4 (“very inadequate” refilling): the low level inducement is activated immediately.
Figure 5Reagent availability
11.5.3.
Figure 6 illustrates three cases of wrong reagent quality:
use case 1: the operator continues operating the machine in spite of the warning until machine operation is disabled;
repair case 1 (“bad” or “dishonest” repair): after disablement of the machine, the operator changes the quality of the reagent,
but soon after, changes it again for a poor quality one. The inducement system is immediately reactivated and machine operation
is disabled after 2 engine operating hours;
repair case 2 (“good” repair): after disablement of the machine, the operator rectifies the quality of the reagent. However
some time afterwards, he refills again with a poor quality reagent. The warning, inducement and counting processes restart
from zero.
Figure 6Filling with poor reagent quality
11.5.4.
Figure 7 illustrates three cases of failure of the urea dosing system. This figure also illustrates the process that applies
in the case of the monitoring failures described in Section 9 of this Annex:
use case 1: the operator continues operating the machine in spite of the warning until machine operation is disabled;
repair case 1 (“good” repair): after disablement of the machine, the operator repairs the dosing system. However some time
afterwards, the dosing system fails again. The warning, inducement and counting processes restart from zero;
repair case 2 (“bad” repair): during the low-level inducement time (torque reduction), the operator repairs the dosing system.
Soon after, however, the dosing system fails again. The low-level inducement system is immediately reactivated and the counter
restarts from the value it had at the time of repair.
Figure 7Failure of the reagent dosing system
12.Demonstration of the minimum acceptable reagent concentration CDmin
12.1.
The manufacturer shall demonstrate the correct value of CDmin during type approval by performing the hot part of the NRTC cycle using a reagent with the concentration CDmin.
12.2.
The test shall follow the appropriate NCD cycle(s) or manufacturer defined pre-conditioning cycle, permitting a closed loop
NOx control system to perform adaptation to the quality of the reagent with the concentration CDmin.
12.3.
The pollutant emissions resulting from this test shall be lower than the NOx threshold specified in Section 7.1.1 of this Annex.
Appendix 2Control Area requirements for stage IV engines
1.Engine control area
The control area (see Figure 1) is defined as follows:
High speed and low speed as defined in Annex III or, if the manufacturer, based on the option indicated in Section 1.2.1 of
Annex III, chooses to use the procedure of Annex 4B to UNECE Regulation No 96.03 series of amendments, the definition of paragraphs
2.1.33 and 2.1.37 to UNECE Regulation No 96.03 series of amendments shall be used.
If the measured engine speed A is within ± 3 % of the engine speed declared by the manufacturer, the declared engine speeds
shall be used. If the tolerance is exceeded for any of the test speeds, the measured engine speeds shall be used.
2.
The following engine operating conditions shall be excluded from testing:
(a)
points below 30 % of maximum torque;
(b)
points below 30 % of maximum power.
The manufacturer may request that the Technical Service excludes operating points from the control area defined in Section
1 and 2 of this Appendix during the certification/type approval. Subject to the positive opinion of the Approval Authority,
the Technical Service may accept this exclusion if the manufacturer can demonstrate that the engine is never capable of operating
at such points when used in any machine combination.
Figure 1Control area
ANNEX II
Annex II to Directive 97/68/EC is amended as follows:
(1)
Appendix 1 is amended as follows:
(a)
the heading of Section 3 is replaced by the following:
FUEL FEED FOR DIESEL ENGINES
(b)
Section 4 is replaced by the following:
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:
(c)
the following Sections 5, 6 and 7 are added:
5.VALVE TIMING
5.1.
Maximum lift and angles of opening and closing in relation to dead centres or equivalent data: …
Fuel delivery per stroke (mm3) for diesel engines, fuel flow (g/h) for petrol engines, at rated net power
Rated net power (kW)
Maximum power speed (min-1)
Maximum net power (kW)
Maximum torque speed (min-1)
Fuel delivery per stroke (mm3) for diesel engines, fuel flow (g/h) for petrol engines, at maximum torque
Maximum torque (Nm)
Low idle speed (min-1)
Cylinder displacement (in % of parent engine)
100
For full details see Appendix 1.
For full details see Appendix 3.’
ANNEX III
Annex III to Directive 97/68/EC is amended as follows:
(1)
Section 1.2 is replaced by the following:
1.2.Selection of test procedure
The test shall be carried out with the engine mounted on a test bench and connected to a dynamometer.
1.2.1.Test procedure for stages I, II, IIIA, IIIB and IV
The test shall be carried out in accordance with the procedure in this Annex or, at the choice of the manufacturer, the test
procedure as specified in Annex 4B to UNECE Regulation No 96.03 series of amendments shall be applied.
In addition, the following requirements apply:
(i)
durability requirements as set out in Appendix 5 to this Annex;
(ii)
engine control area provisions as set out in Section 8.6 of Annex I (stage IV engines only);
(iii)
CO2 reporting requirements as set out in Appendix 6 to this Annex for engines tested according to the procedure in this Annex.
In case of engines tested according to the procedure in Annex 4B to UNECE Regulation No 96.03 series of amendments, Appendix
7 to this Annex shall apply;
(iv)
the reference fuel in Annex V to this Directive shall be used for engines tested according to the requirements in this Annex.
The reference fuel in Annex V to this Directive shall be used in case of engines tested according to the requirements in Annex
4B to UNECE Regulation No 96.03 series of amendments.
1.2.1.1.
In case that the manufacturer chooses in accordance with Annex I, Section 8.6.2 to use the test procedure specified in Annex
4B to UNECE Regulation No 96.03 series of amendments for testing engines of stages I, II, IIIA or IIIB, the test cycles specified
in Section 3.7.1 shall be used.
(2)
Appendix 5 is replaced by the following:
Appendix 5Durability requirements
1.VERIFYING THE DURABILITY OF STAGE IIIA AND STAGE IIIB CI ENGINES
This Appendix shall apply to CI engines Stage IIIA and IIIB only.
1.1.
Manufacturers shall determine a Deterioration Factor (DF) value for each regulated pollutant for all Stage IIIA and IIIB engine
families. Such DFs shall be used for type approval and production line testing.
1.1.1.
Test to establish DFs shall be conducted as follows:
1.1.1.1.
The manufacturer shall conduct durability tests to accumulate engine operating hours according to a test schedule that is
selected on the basis of good engineering judgement to be representative of in-use engine operation in respect to characterising
emission performance deterioration. The durability test period should typically represent the equivalent of at least one quarter
of the emission durability period (EDP).
Service accumulation operating hours may be acquired through running engines on a dynamometer test bed or from actual infield
machine operation. Accelerated durability tests can be applied whereby the service accumulation schedule is performed at a
higher load factor than typically experienced in the field. The acceleration factor relating the number of engine durability
test hours to the equivalent number of EDP hours shall be determined by the engine manufacturer based on good engineering
judgement.
During the period of the durability test, no emission sensitive components can be serviced or replaced other than to the routine
service schedule recommended by the manufacturer.
The test engine, subsystems, or components to be used to determine exhaust emission DFs for an engine family, or for engine
families of equivalent emission control system technology, shall be selected by the engine manufacturer on the basis of good
engineering judgement. The criterion is that the test engine should represent the emission deterioration characteristics of
the engine families that will apply the resulting DF values for type approval. Engines of different bore and stroke, different
configuration, different air management systems, different fuel systems can be considered as equivalent in respect to emissions
deterioration characteristics if there is a reasonable technical basis for such determination.
DF values from another manufacturer can be applied if there is a reasonable basis for considering technology equivalence with
respect to emissions deterioration, and evidence that the tests have been carried according to the specified requirements.
Emissions testing shall be performed according to the procedures defined in this Directive for the test engine after initial
run-in but before any service accumulation test, and at the completion of the durability test. Emission tests can also be
performed at intervals during the service accumulation test period and applied in determining the deterioration trend.
1.1.1.2.
The service accumulation tests or the emissions tests performed to determine deterioration need not be witnessed by the approval
authority.
1.1.1.3.
Determination of DF values from durability tests
An additive DF is defined as the value obtained by subtraction of the emission value determine at the beginning of the EDP
from the emissions value determined to represent the emission performance at the end of the EDP.
A multiplicative DF is defined as the emission level determined for the end of the EDP divided by the emission value recorded
at the beginning of the EDP.
Separate DF values shall be established for each of the pollutants covered by the legislation. In the case of establishing
a DF value relative to the NOx + HC standard, for an additive DF, this is determined based on the sum of the pollutants notwithstanding that a negative
deterioration for one pollutant may not offset deterioration for the other. For a multiplicative NOx + HC DF, separate HC and NOx DFs shall be determined and applied separately when calculating the deteriorated emission levels from an emissions test result
before combining the resultant deteriorated NOx and HC values to establish compliance with the standard.
In cases where the testing is not conducted for the full EDP, the emission values at the end of the EDP is determined by extrapolation
of the emission deterioration trend established for the test period, to the full EDP.
When emissions test results have been recorded periodically during the service accumulation durability testing, standard statistical
processing techniques based on good practice shall be applied to determine the emission levels at the end of the EDP; statistical
significance testing can be applied in the determination of the final emissions values.
If the calculation results in a value of less than 1,00 for a multiplicative DF, or less than 0,00 for an additive DF, then
the DF shall be 1,0 or 0,00, respectively.
1.1.1.4.
A manufacturer may, with the approval of the type approval authority, use DF values established from results of durability
tests conducted to obtain DF values for certification of on-road HD CI engines. This will be allowed if there is technological
equivalency between the test on-road engine and the non-road engine families applying the DF values for certification. The
DF values, derived from on-road engine emission durability test results, must be calculated on the basis of EDP values defined
in Section 3.
1.1.1.5.
In the case where an engine family uses established technology, an analysis based on good engineering practices may be used
in lieu of testing to determine a deterioration factor for that engine family subject to approval of the type approval authority.
1.2.DF information in approval applications
1.2.1.
Additive DFs shall be specified for each pollutant in an engine family approval application for CI engines not using any after
treatment device.
1.2.2.
Multiplicative DFs shall be specified for each pollutant in an engine family certification application for CI engines using
an after treatment device.
1.2.3.
The manufacture shall furnish the type-approval authority on request with information to support the DF values. This would
typically include emission test results, service accumulation schedule, maintenance procedures together with information to
support engineering judgements of technological equivalency, if applicable.
2.VERIFYING THE DURABILITY OF STAGE IV CI ENGINES
2.1.General
2.1.1.
This section shall apply to CI engines Stage IV. At the request of the manufacturer it may also be applied to CI engines stage
IIIA and IIIB as an alternative to the requirements in Section 1 of this Appendix.
2.1.2.
This Section 2 details the procedures for selecting engines to be tested over a service accumulation schedule for the purpose
of determining deterioration factors for stage IV engine type approval and conformity of production assessments. The deterioration
factors shall be applied in accordance with paragraph 2.4.7 to the emissions measured according to Annex III to this Directive.
2.1.3.
The service accumulation tests or the emissions tests performed to determine deterioration need not be witnessed by the approval
authority.
2.1.4.
This Section 2 also details the emission-related and non-emission-related maintenance that should be or may be carried out
on engines undergoing a service accumulation schedule. Such maintenance shall conform to the maintenance performed on in-service
engines and communicated to owners of new engines.
2.1.5.
At the request of the manufacturer, the type-approval authority may allow the use of deterioration factors that have been
established using alternative procedures to those specified in Sections 2.4.1 to 2.4.5. In this case, the manufacturer must
demonstrate to the satisfaction of the approval authority that the alternative procedures that have been used are no less
rigorous than those contained in Sections 2.4.1 to 2.4.5.
2.2.Definitions
Applicable for Section 2 of Appendix 5.
2.2.1.
“Ageing cycle” means the machine or engine operation (speed, load, power) to be executed during the service accumulation period.
2.2.2.
“Critical emission-related components” means the components which are designed primarily for emission control, that is, any
exhaust after-treatment system, the electronic engine control unit and its associated sensors and actuators, and the EGR system
including all related filters, coolers, control valves and tubing.
2.2.3.
“Critical emission-related maintenance” means the maintenance to be performed on critical emission-related components.
2.2.4.
“Emission-related maintenance” means the maintenance which substantially affects emissions or which is likely to affect emissions
performance deterioration of the vehicle or the engine during normal in-use operation.
2.2.5.
“Engine-after-treatment system family” means a manufacturer’s grouping of engines that comply with the definition of engine
family, but which are further grouped into a family of engine families utilising a similar exhaust after-treatment system.
2.2.6.
“Non-emission-related maintenance” means maintenance which does not substantially affect emissions and which does not have
a lasting affect on the emissions performance deterioration of the machine or the engine during normal in-use operation once
the maintenance is performed.
2.2.7.
“Service accumulation schedule” means the ageing cycle and the service accumulation period for determining the deterioration
factors for the engine-after-treatment system family.
2.3.Selection of engines for establishing emission durability period deterioration factors
2.3.1.
Engines shall be selected from the engine family defined in Section 6 of Annex I to this Directive for emission testing to
establish emission durability period deterioration factors.
2.3.2.
Engines from different engine families may be further combined into families based on the type of exhaust after-treatment
system utilised. In order to place engines with different cylinder configuration but having similar technical specifications
and installation for the exhaust after-treatment systems into the same engine after-treatment system family, the manufacturer
shall provide data to the approval authority that demonstrates that the emissions reduction performance of such engine systems
is similar.
2.3.3.
One engine representing the engine-after-treatment system family, as determined in accordance with paragraph 2.3.2, shall
be selected by the engine manufacturer for testing over the service accumulation schedule defined in paragraph 2.4.2, and
shall be reported to the type-approval authority before any testing commences.
2.3.3.1.
If the type-approval authority decides that the worst case emissions of the engine-after-treatment system family can be characterised
better by another engine then the test engine shall be selected jointly by the type-approval authority and the engine manufacturer.
2.4.Establishing emission durability period deterioration factors
2.4.1.General
Deterioration factors applicable to an engine-after-treatment system family are developed from the selected engines based
on a service accumulation schedule that includes periodic testing for gaseous and particulate emissions over the NRSC and
NRTC tests.
2.4.2.Service accumulation schedule
Service accumulation schedules may be carried out at the choice of the manufacturer by running a machine equipped with the
selected engine over an “in-service” accumulation schedule or by running the selected engine over a “dynamometer service”
accumulation schedule.
2.4.2.1.In-service and dynamometer service accumulation
2.4.2.1.1.
The manufacturer shall determine the form and duration of the service accumulation and the ageing cycle for engines in a manner
consistent with good engineering practice.
2.4.2.1.2.
The manufacturer shall determine the test points where gaseous and particulate emissions will be measured over the hot NRTC
and NRSC cycles. The minimum number of test points shall be three, one at the beginning, one approximately in the middle and
one at the end of the service accumulation schedule.
2.4.2.1.3.
The emission values at the start point and at the emission durability period endpoint calculated in accordance with paragraph
2.4.5.2 shall be within the limit values applicable to the engine family, but individual emission results from the test points
may exceed those limit values.
2.4.2.1.4.
At the request of the manufacturer and with the agreement of the type-approval authority, only one test cycle (either the
hot NRTC or NRSC cycle) needs to be run at each test point, with the other test cycle run only at the beginning and at the
end of the service accumulation schedule.
2.4.2.1.5.
In the case of constant speed engines, engines below 19 kW, engines above 560 kW, engines intended to be used in inland waterway
vessels and engines for the propulsion of railcars and locomotives, only the NRSC cycle shall be run at each test point.
2.4.2.1.6.
Service accumulation schedules may be different for different engine-after-treatment system families.
2.4.2.1.7.
Service accumulation schedules may be shorter than the emission durability period, but shall not be shorter than the equivalent
of at least one quarter of the relevant emission durability period specified in Section 3 of this Appendix.
2.4.2.1.8.
Accelerated ageing by adjusting the service accumulation schedule on a fuel consumption basis is permitted. The adjustment
shall be based on the ratio between the typical in-use fuel consumption and the fuel consumption on the ageing cycle, but
fuel consumption on the ageing cycle must not exceed typical in-use fuel consumption by more than 30 %.
2.4.2.1.9.
At the request of the manufacturer and with the agreement of the type-approval authority, alternative methods of accelerated
ageing may be permitted.
2.4.2.1.10.
The service accumulation schedule shall be fully described in the application for type-approval and reported to the type-approval
authority before the start of any testing.
2.4.2.2.
If the type-approval authority decides that additional measurements need to be performed between the points selected by the
manufacturer it shall notify the manufacturer. The revised service accumulation schedule shall be prepared by the manufacturer
and agreed by the type-approval authority.
2.4.3.Engine testing
2.4.3.1.Engine system stabilisation
2.4.3.1.1.
For each engine-after-treatment system family, the manufacturer shall determine the number of hours of machine or engine running
after which the operation of the engine-after-treatment system has stabilised. If requested by the approval authority the
manufacturer shall make available the data and analysis used to make this determination. As an alternative, the manufacturer
may select to run the engine or machine between 60 and 125 hours or the equivalent time on the ageing cycle to stabilise the
engine-after-treatment system.
2.4.3.1.2.
The end of the stabilisation period determined in Section 2.4.3.1.1 shall be deemed to be the start of the service accumulation
schedule.
2.4.3.2.Service accumulation testing
2.4.3.2.1.After stabilisation, the engine shall be run over the service accumulation schedule selected by the manufacturer, as described
in Section 2.3.2. At the periodic intervals in the service accumulation schedule determined by the manufacturer, and, where
appropriate, also stipulated by the type-approval authority in accordance with Section 2.4.2.2, the engine shall be tested
for gaseous and particulate emissions over the hot NRTC and NRSC cycles.
The manufacturer may select to measure the pollutant emissions before any exhaust after-treatment system separately from the
pollutant emissions after any exhaust after-treatment system.
In accordance with Section 2.4.2.1.4, if it has been agreed that only one test cycle (hot NRTC or NRSC) be run at each test
point, the other test cycle (hot NRTC or NRSC) shall be run at the beginning and end of the service accumulation schedule.
In accordance with Section 2.4.2.1.5, in the case of constant speed engines, engines below 19 kW, engines above 560 kW, engines
intended to be used in inland waterway vessels and engines for the propulsion of railcars and locomotives, only the NRSC cycle
shall be run at each test point.
2.4.3.2.2.
During the service accumulation schedule, maintenance shall be carried out on the engine according to Section 2.5.
2.4.3.2.3.
During the service accumulation schedule, unscheduled maintenance on the engine or machine may be performed, for example if
the manufacturer’s normal diagnostic system has detected a problem that would have indicated to the machine operator that
a fault had arisen.
2.4.4.Reporting
2.4.4.1.
The results of all emission tests (hot NRTC and NRSC) conducted during the service accumulation schedule shall be made available
to the type-approval authority. If any emission test is declared to be void, the manufacturer shall provide an explanation
of why the test has been declared void. In such a case, another series of emission tests shall be carried out within the following
100 hours of service accumulation.
2.4.4.2.
The manufacturer shall retain records of all information concerning all the emission tests and maintenance carried out on
the engine during the service accumulation schedule. This information shall be submitted to the approval authority along with
the results of the emission tests conducted over the service accumulation schedule.
2.4.5.Determination of deterioration factors
2.4.5.1.
For each pollutant measured over the hot NRTC and NRSC cycles at each test point during the service accumulation schedule,
a “best fit” linear regression analysis shall be made on the basis of all test results. The results of each test for each
pollutant shall be expressed to the same number of decimal places as the limit value for that pollutant, as applicable to
the engine family, plus one additional decimal place.
In accordance with Section 2.4.2.1.4 or Section 2.4.2.1.5, if only one test cycle (hot NRTC or NRSC) has been run at each
test point, the regression analysis shall be made only on the basis of the test results from the test cycle run at each test
point.
At the request of the manufacturer and with the prior approval of the type approval authority, non-linear regression is permitted.
2.4.5.2.
The emission values for each pollutant at the start of the service accumulation schedule and at the emission durability period
end point that is applicable for the engine under test shall be calculated from the regression equation. If the service accumulation
schedule is shorter than the emission durability period, the emission values at the emission durability period end point shall
be determined by extrapolation of the regression equation as determined in Section 2.4.5.1.
In the case that emission values are used for engine families in the same engine-after-treatment family but with different
emission durability periods, then the emission values at the emission durability period end point shall be recalculated for
each emission durability period by extrapolation or interpolation of the regression equation as determined in Section 2.4.5.1.
2.4.5.3.
The deterioration factor (DF) for each pollutant is defined as the ratio of the applied emission values at the emission durability
period end point and at the start of the service accumulation schedule (multiplicative deterioration factor).
At the request of the manufacturer and with the prior approval of the type-approval authority, an additive DF for each pollutant
may be applied. The additive DF is defined as the difference between the calculated emission values at the emission durability
period end point and at the start of the service accumulation schedule.
An example for determination of DFs by using linear regression is shown in Figure 1 for NOx emission.
Mixing of multiplicative and additive DFs within one set of pollutants is not permitted.
If the calculation results in a value of less than 1,00 for a multiplicative DF, or less than 0,00 for an additive DF, then
the deterioration factor shall be 1,0 or 0,00, respectively.
In accordance with Section 2.4.2.1.4, if it has been agreed that only one test cycle (hot NRTC or NRSC) be run at each test
point and the other test cycle (hot NRTC or NRSC) run only at the beginning and end of the service accumulation schedule,
the deterioration factor calculated for the test cycle that has been run at each test point shall be applicable also for the
other test cycle.
Figure 1Example of DF determination
2.4.6.Assigned deterioration factors
2.4.6.1.
As an alternative to using a service accumulation schedule to determine DFs, engine manufacturers may select to use the following
assigned multiplicative DFs:
Test cycle
CO
HC
NOx
PM
NRTC
1,3
1,3
1,15
1,05
NRSC
1,3
1,3
1,15
1,05
Assigned additive DFs are not given. It is not permitted to transform the assigned multiplicative DFs into additive DFs.
Where assigned DFs are used, the manufacturer shall present to the type approval authority robust evidence that the emission
control components can reasonably be expected to have the emission durability associated with those assigned factors. This
evidence may be based upon design analysis, or tests, or a combination of both.
2.4.7.Application of deterioration factors
2.4.7.1.
The engines shall meet the respective emission limits for each pollutant, as applicable to the engine family, after application
of the deterioration factors to the test result as measured in accordance with Annex III (cycle-weighted specific emission
for particulate and each individual gas). Depending on the type of DF, the following provisions apply:
Multiplicative: (cycle weighted specific emission) * DF ≤ emission limit
Additive: (cycle weighted specific emission) + DF ≤ emission limit
If the manufacturer, based on the option indicated in Section 1.2.1 of this Annex, chooses to use the procedure of Annex 4B
to UNECE Regulation No 96.03 series of amendments, cycle weighted specific emission may include the adjustment for infrequent
regeneration, where applicable.
2.4.7.2.
For a multiplicative NOx + HC DF, separate HC and NOx DFs shall be determined and applied separately when calculating the deteriorated emission levels from an emissions test result
before combining the resultant deteriorated NOx and HC values to establish compliance with the emission limit.
2.4.7.3.
The manufacturer may select to carry across the DFs determined for an engine-after-treatment system family to an engine system
that does not fall into the same engine-after-treatment system family. In such cases, the manufacturer shall demonstrate to
the approval authority that the engine system for which the engine-after-treatment system family was originally tested and
the engine system for which the DFs are being carried across have similar technical specifications and installation requirements
on the machine and that the emissions of such engine or engine system are similar.
In the case that DFs are carried across to an engine system with a different emission durability period, then the DFs shall
be recalculated for the applicable emission durability period by extrapolation or interpolation of the regression equation
as determined in Section 2.4.5.1.
2.4.7.4.
The DF for each pollutant for each applicable test cycle shall be recorded in the test result document set out in Appendix
1 to Annex VII.
2.4.8.Checking of conformity of production
2.4.8.1.
Conformity of production for emissions compliance is checked on the basis of Section 5 of Annex I.
2.4.8.2.
The manufacturer may select to measure the pollutant emissions before any exhaust after-treatment system at the same time
as the type-approval test is being performed. In so doing, the manufacturer may develop informal DFs separately for the engine
and for the after-treatment system that may be used by the manufacturer as an aid to end of production line auditing.
2.4.8.3.
For the purposes of type-approval, only the DFs determined in accordance with paragraph 2.4.5 or 2.4.6 shall be recorded in
the test result document set out in Appendix 1 to Annex VII.
2.5.Maintenance
For the purpose of the service accumulation schedule, maintenance shall be performed in accordance with the manufacturer’s
manual for service and maintenance.
2.5.1.Emission-related scheduled maintenance
2.5.1.1.
Emission-related scheduled maintenance during engine running, undertaken for the purpose of conducting a service accumulation
schedule, must occur at equivalent intervals to those that will be specified in the manufacturer’s maintenance instructions
to the owner of the machine or engine. This maintenance schedule may be updated as necessary throughout the service accumulation
schedule provided that no maintenance operation is deleted from the maintenance schedule after the operation has been performed
on the test engine.
2.5.1.2.
The engine manufacturer shall specify for the service accumulation schedules any adjustment, cleaning, maintenance (where
necessary) and scheduled exchange of the following items:
filters and coolers in the exhaust gas re-circulation system
positive crankcase ventilation valve, if applicable
fuel injector tips (only cleaning is permitted)
fuel injectors
turbocharger
electronic engine control unit and its associated sensors and actuators
particulate after-treatment system (including related components)
NOx after-treatment system (including related components)
exhaust gas re-circulation system, including all related control valves and tubing
any other exhaust after-treatment system.
2.5.1.3.
Critical emission-related scheduled maintenance shall only be performed if intended to be performed in-use and the requirement
to perform such maintenance is to be communicated to the owner of the machine.
2.5.2.Changes to scheduled maintenance
2.5.2.1.
The manufacturer shall submit a request to the type-approval authority for approval of any new scheduled maintenance that
it wishes to perform during the service accumulation schedule and subsequently to recommend to owners of machines and engines.
The request shall be accompanied by data supporting the need for the new scheduled maintenance and the maintenance interval.
2.5.3.Non-emission-related scheduled maintenance
2.5.3.1.
Non-emission-related scheduled maintenance which is reasonable and technically necessary (for example oil change, oil filter
change, fuel filter change, air filter change, cooling system maintenance, idle speed adjustment, governor, engine bolt torque,
valve lash, injector lash, adjustment of the tension of any drive-belt, etc.) may be performed on engines or machines selected
for the service accumulation schedule at the least frequent intervals recommended by the manufacturer to the owner (for example
not at the intervals recommended for severe service).
2.5.4.Repair
2.5.4.1.
Repairs to the components of an engine system selected for testing over a service accumulation schedule shall be performed
only as a result of component failure or engine system malfunction. Repair of the engine itself, the emission control system
or the fuel system is not permitted except to the extent defined in paragraph 2.5.4.2.
2.5.4.2.
If the engine itself, the emission control system or the fuel system fail during the service accumulation schedule, the service
accumulation shall be considered void, and a new service accumulation shall be started with a new engine system, unless the
failed components are replaced with equivalent components that have been subject to a similar number of hours of service accumulation.
3.EMISSION DURABILITY PERIOD FOR STAGE IIIA, IIIB AND IV ENGINES
3.1.
Manufacturers shall use the emission durability period in Table 1 of this section.
Table 1Emission durability period for CI Stage IIIA, IIIB and IV Engines (hours)
Category (power band)
Emission durability period (hours)
≤ 37 kW
(constant speed engines)
3 000
≤ 37 kW
(variable speed engines)
5 000
> 37 kW
8 000
Engines for propulsion of inland waterway vessels
10 000
Railcar and Locomotive engines
10 000
(3)
The following Appendices 6 and 7 are added:
Appendix 6Determination of CO2 Emissions for Stage I, II, IIIA, IIIB and IV Engines
1.Introduction
1.1.
This Appendix sets out the provisions and test procedures for reporting CO2 emissions for all stages I through IV. If the manufacturer, based on the option indicated in Section 1.2.1 of this Annex,
chooses to use the procedure of Annex 4B to UNECE Regulation No 96.03 series of amendments, Appendix 7 to this Annex shall
apply.
2.General requirements
2.1.
CO2 emissions shall be determined over the applicable test cycle specified in Section 1.1 of Annex III in accordance with Section
3 (NRSC) or Section 4 (hot start NRTC), respectively, of Annex III. For Stage IIIB CO2 emissions shall be determined over the hot start NRTC test cycle.
2.2.
The test results shall be reported as cycle averaged brake specific values and expressed in the unit of g/kWh.
2.3.
If, at the choice of the manufacturer, the NRSC is operated as a ramped modal cycle, either the references to the NRTC laid
down in this Appendix or the requirements of Appendix 7 to Annex III shall apply.
3.Determination of CO2 emissions
3.1.Raw measurement
This section applies, if CO2 is measured in the raw exhaust gas.
3.1.1.Measurement
CO2 in the raw exhaust gas emitted by the engine submitted for testing shall be measured with a non-dispersive infrared (NDIR)
analyser in accordance with Section 1.4.3.2 (NRSC) or Section 2.3.3.2 (NRTC), respectively, of Appendix 1 to Annex III.
The measurement system shall meet the linearity requirements of Section 1.5 of Appendix 2 to Annex III.
The measurement system shall meet the requirements of Section 1.4.1 (NRSC) or Section 2.3.1 (NRTC), respectively, of Appendix
1 to Annex III.
3.1.2.Data evaluation
The relevant data shall be recorded and stored in accordance with Section 3.7.4 (NRSC) or Section 4.5.7.2 (NRTC), respectively,
of Annex III.
3.1.3.Calculation of cycle averaged emission
If measured on a dry basis, the dry/wet correction in accordance with Section 1.3.2 (NRSC) or Section 2.1.2.2 (NRTC), respectively,
of Appendix 3 to Annex III shall be applied.
For the NRSC, the mass of CO2 (g/h) shall be calculated for each individual mode in accordance with Section 1.3.4 of Appendix 3 to Annex III. The exhaust
gas flows shall be determined in accordance with Sections 1.2.1 to 1.2.5 of Appendix 1 to Annex III.
For the NRTC, the mass of CO2 (g/test) shall be calculated in accordance with Section 2.1.2.1 of Appendix 3 to Annex III. The exhaust gas flow shall be
determined in accordance with Section 2.2.3 of Appendix 1 to Annex III.
3.2.Dilute measurement
This section applies, if CO2 is measured in the dilute exhaust gas.
3.2.1.Measurement
CO2 in the dilute exhaust gas emitted by the engine submitted for testing shall be measured with a non-dispersive infrared (NDIR)
analyser in accordance with Section 1.4.3.2 (NRSC) or Section 2.3.3.2 (NRTC), respectively, of Appendix 1 to Annex III. Dilution
of the exhaust shall be done with filtered ambient air, synthetic air or nitrogen. The flow capacity of the full flow system
shall be large enough to completely eliminate water condensation in the dilution and sampling systems.
The measurement system shall meet the linearity requirements of Section 1.5 of Appendix 2 to Annex III.
The measurement system shall meet the requirements of Section 1.4.1 (NRSC) or Section 2.3.1 (NRTC), respectively, of Appendix
1 to Annex III.
3.2.2.Data evaluation
The relevant data shall be recorded and stored in accordance with Section 3.7.4 (NRSC) or Section 4.5.7.2 (NRTC), respectively,
of Annex III.
3.2.3.Calculation of cycle averaged emission
If measured on a dry basis, the dry/wet correction in accordance with Section 1.3.2 (NRSC) or Section 2.1.2.2 (NRTC), respectively,
of Appendix 3 to Annex III shall be applied.
For the NRSC, the mass of CO2 (g/h) shall be calculated for each individual mode in accordance with Section 1.3.4 of Appendix 3 to Annex III. The diluted
exhaust gas flows shall be determined in accordance with Section 1.2.6 of Appendix 1 to Annex III.
For the NRTC, the mass of CO2 (g/test) shall be calculated in accordance with Section 2.2.3 of Appendix 3 to Annex III. The diluted exhaust gas flow shall
be determined in accordance with Section 2.2.1 of Appendix 3 to Annex III.
Background correction shall be applied in accordance with Section 2.2.3.1.1 of Appendix 3 to Annex III.
3.3.Calculation of brake specific emissions
3.3.1.NRSC
The brake specific emissions eCO2 (g/kWh) shall be calculated as follows:
where:
and
CO2 mass,i
is the mass of CO2 of the individual mode (g/h)
Pm,i
is the measured power of the individual mode (kW)
PAE,i
is the power of the auxiliaries of the individual mode (kW)
WF,i
is the weighting factor of the individual mode.
3.3.2.NRTC
The cycle work needed for the calculation of brake specific CO2 emissions shall be determined in accordance with Section 4.6.2 of Annex III.
The brake specific emissions eCO2 (g/kWh) shall be calculated as follows:
where:
mCO2, hot
is the CO2 mass emissions of the hot start NRTC (g)
Wact, hot
is the actual cycle work of the hot start NRTC (kWh).
Appendix 7Alternative determination of CO2 emissions
1.Introduction
If the manufacturer, based on the option indicated in Section 1.2.1 of this Annex, chooses to use the procedure of Annex 4B
to UNECE Regulation No 96.03 series of amendments, the provisions and test procedures for reporting CO2 emissions set out in this Appendix shall apply.
2.General requirements
2.1.
CO2 emissions shall be determined over the hot start NRTC test cycle in accordance with Section 7.8.3 of Annex 4B to UNECE Regulation
No 96.03 series of amendments.
2.2.
The test results shall be reported as cycle averaged brake specific values and expressed in the unit of g/kWh.
3.Determination of CO2 emissions
3.1.Raw measurement
This section applies, if CO2 is measured in the raw exhaust gas.
3.1.1.Measurement
CO2 in the raw exhaust gas emitted by the engine submitted for testing shall be measured with a non-dispersive infrared (NDIR)
analyser in accordance with Section 9.4.6 of Annex 4B to UNECE Regulation No 96.03 series of amendments.
The measurement system shall meet the linearity requirements of Section 8.1.4 of Annex 4B to UNECE Regulation No 96.03 series
of amendments.
The measurement system shall meet the requirements of Section 8.1.9 of Annex 4B to UNECE Regulation No 96.03 series of amendments.
3.1.2.Data evaluation
The relevant data shall be recorded and stored in accordance with Section 7.8.3.2 of Annex 4B to UNECE Regulation No 96.03
series of amendments.
3.1.3.Calculation of cycle averaged emission
If measured on a dry basis, the dry/wet correction in accordance with Section A.8.2.2 of Appendix 8 or Section A.7.3.2 of
Appendix 7 to Annex 4B to UNECE Regulation No 96.03 series of amendments shall be applied to the instantaneous concentration
values before any further calculation is done.
The mass of CO2 (g/test) shall be calculated by multiplication of the time aligned instantaneous CO2 concentrations and exhaust gas flows and integration over the test cycle in accordance with either of the following:
(a)
Section A.8.2.1.2 and Section A.8.2.5 of Appendix 8 to Annex 4B to UNECE Regulation No 96.03 series of amendments, by using
the u values of CO2 from Table A.8.1 or calculating the u values in accordance with Section A.8.2.4.2 of Appendix 8 to Annex 4B to UNECE Regulation
No 96.03 series of amendments;
(b)
Section A.7.3.1 and Section A.7.3.3 of Appendix 7 to Annex 4B to UNECE Regulation No 96.03 series of amendments.
3.2.Dilute measurement
This section applies, if CO2 is measured in the dilute exhaust gas.
3.2.1.Measurement
CO2 in the dilute exhaust gas emitted by the engine submitted for testing shall be measured with a non-dispersive infrared (NDIR)
analyser in accordance with Section 9.4.6 of Annex 4B to UNECE Regulation No 96.03 series of amendments. Dilution of the exhaust
shall be done with filtered ambient air, synthetic air or nitrogen. The flow capacity of the full flow system shall be large
enough to completely eliminate water condensation in the dilution and sampling systems.
The measurement system shall meet the linearity requirements of Section 8.1.4 of Annex 4B to UNECE Regulation No 96.03 series
of amendments.
The measurement system shall meet the requirements of Section 8.1.9 of Annex 4B to UNECE Regulation No 96.03 series of amendments.
3.2.2.Data evaluation
The relevant data shall be recorded and stored in accordance with Section 7.8.3.2 of Annex 4B to UNECE Regulation No 96.03
series of amendments.
3.2.3.Calculation of cycle averaged emission
If measured on a dry basis, the dry/wet correction in accordance with Section A.8.3.2 of Appendix 8 or Section A.7.4.2 of
Appendix 7 to Annex 4B to UNECE Regulation No 96.03 series of amendments shall be applied to the instantaneous concentration
values before any further calculation is done.
The mass of CO2 (g/test) shall be calculated by multiplication of the CO2 concentrations and the diluted exhaust gas flows in accordance with either of the following:
(a)
Section A.8.3.1 and Section A.8.3.4 of Appendix 8 to Annex 4B to UNECE Regulation No 96.03 series of amendments, by using
the u values of CO2 from Table A.8.2 or calculating the u values in accordance with Section A.8.3.3 of Appendix 8 to Annex 4B to UNECE Regulation
No 96.03 series of amendments;
(b)
Section A.7.4.1 and Section A.7.4.3 of Appendix 7 to Annex 4B to UNECE Regulation No 96.03 series of amendments.
Background correction shall be applied in accordance with Section A.8.3.2.4 of Appendix 8 or Section A.7.4.1 of Appendix 8
to Annex 4B to UNECE Regulation No 96.03 series of amendments.
3.3.Calculation of brake specific emissions
The cycle work needed for the calculation of brake specific CO2 emissions shall be determined in accordance with Section 7.8.3.4 of Annex 4B to UNECE Regulation No 96.03 series of amendments.
The brake specific emissions eCO2 (g/kWh) shall be calculated as follows:
where:
mCO2, hot
is the CO2 mass emissions of the hot start NRTC (g)
Wact, hot
is the actual cycle work of the hot start NRTC (kWh)
ANNEX IV
In Annex VI to Directive 97/68/EC the following Section 1.a is added:
1.a.This Annex applies as follows:
(a)
for stages I, II, IIIA, IIIB and IV the requirements of Section 1 of this Annex shall apply;
(b)
if the manufacturer, based on the option indicated in Section 1.2.1 of this Annex, chooses to use the procedure of Annex 4B
to UNECE Regulation No 96.03 series of amendments, Section 9 of Annex 4B to UNECE Regulation No 96.03 series of amendments
shall apply.
ANNEX V
In Annex VII to Directive 97/68/EC Appendix 1 is replaced by the following:
‘Appendix 1Test report for compression ignition engines test results9
Information concerning the test engine
Engine type: …
Engine identification number: …
1.
Information concerning the conduct of the test: …
1.1.Reference fuel used for test
1.1.1.
Cetane number: …
1.1.2.
Sulphur content: …
1.1.3.
Density: …
1.2.Lubricant
1.2.1.
Make(s): …
1.2.2.
Type(s): …
(state percentage of oil in mixture if lubricant and fuel are mixed)
1.3.Engine driven equipment (if applicable)
1.3.1.
Enumeration and identifying details: …
1.3.2.
Power absorbed at indicated engine speeds (as specified by the manufacturer):
Power PAE (kW) absorbed at various engine speeds1011, taking into account Appendix 3 to this Annex
Abbreviate: DI = direct injection, PC = pre/swirl chamber, NA = naturally aspirated, TC = turbocharged, TCA = turbocharged
including after-cooling, EGR = Exhaust gas recirculation. Examples: PC NA, DI TCA EGR.
NRTC cold start test result exclusive of DF (g/kWh)
CO
HC
NOx
HC + NOx
PM
NRTC hot start test result exclusive of DF (g/kWh)
CO
HC
NOx
HC + NOx
PM
Delete as appropriate.
2.5.NRTC hot start emission test results
Regeneration related data may be reported for Stage IV engines.
Reported engine type approval
1
2
3
4
NRTC hot start w/o regeneration (g/kWh)
CO
HC
NOx
HC + NOx
PM
NRTC hot start with regeneration (g/kWh)
CO
HC
NOx
HC + NOx
PM
ANNEX VII
ANNEX XIIRECOGNITION OF ALTERNATIVE TYPE-APPROVALS
1.The following type-approvals and, where applicable, the pertaining approval marks are recognised as being equivalent to an
approval to this Directive for engines of categories A, B and C as defined in Article 9(2):
1.1.
Type approvals to Directive 2000/25/EC;
1.2.
Type-approvals to Directive 88/77/EEC, complying with the requirements of stages A or B regarding Article 2 and Annex I, Section
6.2.1 of Directive 88/77/EEC or UNECE Regulation No 49.02 series of amendments, corrigenda I/2;
1.3.
Type approvals according to UNECE Regulation No 96.
2.For engines categories D, E, F and G (stage II) as defined in Article 9(3), the following type-approvals and, where applicable,
the pertaining approval marks are recognised as being equivalent to an approval to this Directive:
2.1.
Directive 2000/25/EC, stage II approvals;
2.2.
Type-approvals to Directive 88/77/EEC as amended by Directive 99/96/EC which are in compliance with stages A, B1, B2 or C
provided for in Article 2 and Section 6.2.1 of Annex I to that Directive;
2.3.
Type-approvals to UNECE Regulation No 49.03 series of amendments;
2.4.
UNECE Regulation No 96 stages D, E, F and G approvals according to paragraph 5.2.1 of the 01 series of amendments of Regulation
No 96.
3.For engines categories H, I, J and K (stage IIIA) as defined in Article 9(3a) and Article 9(3b), the following type-approvals
and, where applicable, the pertaining approval marks are recognised as being equivalent to an approval to this Directive:
3.1.
Type-approvals to Directive 2005/55/EC, as amended by Directives 2005/78/EC and 2006/51/EC, which are in compliance with stages
B1, B2 or C provided for in Article 2 and Section 6.2.1 of Annex I to that Directive;
3.2.
Type-approvals to UNECE Regulation No 49.05 series of amendments, which are in compliance with stages B1, B2 and C provided
for in paragraph 5.2 of that Regulation;
3.3.
UNECE Regulation No 96 stages H, I, J and K approvals according to paragraph 5.2.1 of the 02 series of amendments of Regulation
No 96.
4.For engines categories L, M, N and P (stage IIIB) as defined in Article 9(3c), the following type-approvals and, where applicable,
the pertaining approval marks are recognised as being equivalent to an approval to this Directive:
4.1.
Type-approvals to Directive 2005/55/EC, as amended by Directives 2005/78/EC and 2006/51/EC, which are in compliance with stages
B2 or C provided for in Article 2 and Section 6.2.1 of Annex I to that Directive;
4.2.
Type-approvals to UNECE Regulation No 49.05 series of amendments, which are in compliance with stages B2 or C provided for
in paragraph 5.2 of that regulation;
4.3.
UNECE Regulation No 96 stages L, M, N and P approvals according to paragraph 5.2.1 of the 03 series of amendments of Regulation
No 96.
5.For engines categories Q and R (stage IV) as defined in Article 9(3d), the following type-approvals and, where applicable,
the pertaining approval marks are recognised as being equivalent to an approval to this Directive:
5.1.
Type-approvals to Regulation (EC) No 595/2009 and its implementing measures, if it is confirmed by a technical service that
the engine meets the requirements of Annex I Section 8.5 to this Directive;
5.2.
Type-approvals to UNECE Regulation No 49.06 series of amendments, if it is confirmed by a technical service that the engine
meets the requirements of Annex I Section 8.5 to this Directive.