HTML PUBLIC "-//W3C//DTD HTML 4.01 Transitional//EN"L 353/80
EN
Official Journal of the European Union
21.12.2012
DIRECTIVES
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)
THE EUROPEAN COMMISSION,
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
Having regard to the Treaty on the Functioning of the European
maintenance information and amending Regulation (EC)
Union,
No 715/2007 and Directive 2007/46/EC and repealing
Directives 80/1269/EEC, 2005/55/EC and
2005/78/EC ( 4 ), certain gaps have been identified in the
test requirements for Stage IV engines. In order to enable
Having regard to Directive 97/68/EC of the European
type approval of Stage IV engines of categories Q and R,
Parliament and of the Council of 16 December 1997 on the
taking into account technical progress, and in order to
approximation of the laws of the Member States relating to
increase global harmonisation, it is necessary to revise
measures against the emission of gaseous and particulate
and complement certain provisions of Directive
pollutants from internal combustion engines to be installed in
97/68/EC. It is also necessary in order to reduce the
non-road mobile machinery ( 1 ), and in particular Article 14
margin of interpretation of test results and to limit the
thereof,
errors in the appreciation of engine emissions.
Whereas:
(3) Directive
2010/26/EU
introduced
provisions
on
NO x
control which are necessary to ensure that the sophis
(1) Directive
2004/26/EC
of
the
European
Parliament
and
of
ticated after treatment systems, required in order to meet
the Council of 21 April 2004 amending Directive
the new emission limits for Stage IIIB and IV engines,
97/68/EC on the approximation of the laws of the
function properly. In particular, to avoid that operators
Member States relating to measures against the
circumvent compliance with emission limits, it is appro
emission of gaseous and particulate pollutants from
priate to complement the provisions on NO x control by
internal combustion engines to be installed in non-road
introducing an operator warning system based on the
mobile machinery (
corresponding provisions of Regulation (EC) No

2 ) introduced new emission Stages
IIIA, IIIB and IV to Directive 97/68/EC, in order to
595/2009 for heavy duty vehicles (euro VI), combined
increase environmental protection and preserve human
with a two-stage inducement system which reduces
health. The test methods have been amended accordingly,
significantly the equipment’s performance thus
first by Directive 2004/26/EC and later by Commission
enforcing compliance.
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
(4) With
the
introduction
of
electronically
controlled
engines
emission of gaseous and particulate pollutants from
it is necessary to adapt the test procedure in order to
internal combustion engines to be installed in non-road
ensure that engine tests better reflect real use conditions,
mobile machinery ( 3 ).
further preventing circumvention of emission
requirements (cycle beating). Therefore, during type
approval, compliance should be demonstrated at a
(2)
The Stage IV limit values will become mandatory for type
working area of the tested engine which has been
approvals issued as of 1 January 2013 for engines of
selected on the basis of the ISO 8178 standard. It is
category Q and as of 1 October 2013 for engines of
also necessary to specify the engine operating conditions
category R. Based on the experience gained with heavy
under which those tests are carried out and to modify the
duty euro V and VI engines under Regulation (EC) No
calculation methods for specific emissions in order to
595/2009 of the European Parliament and of the Council
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.
( 1 ) OJ L 59, 27.2.1998, p. 1.
( 2 ) OJ L 146, 30.4.2004, p. 1.
( 3 ) OJ L 86, 1.4.2010, p. 29.
( 4 ) OJ L 188, 18.7.2009, p. 1.

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EN
21.12.2012 Official
Journal
of
the
European
Union L
353/81
(5) Directive
97/68/EC
requires
the
manufacturer
to
specify
progress and the changes introduced. The new
the engine emission performance under specific ambient
documents should allow a complete reporting.
control conditions relating to altitude or pressure and
temperature. In order to better reflect the real use of
(13) Directive
97/68/EC
should
therefore
be
amended
accord
engines, it is appropriate to extend the temperature/
ingly.
pressure and altitude criteria by aligning the provisions
more closely with the requirements for heavy duty euro
(14) In
accordance
with
the
Joint
Political
Declaration
of
VI engines.
Member States and the Commission on explanatory
documents of 28 September 2011, Member States have
(6) The
durability
requirements
should
also
be
revised
in
undertaken to accompany, in justified cases, the notifi
order to guarantee the efficiency of the emission
cation of their transposition measures with one or more
reduction once the engine is in operation. Due to the
documents explaining the relationship between the
technological changes associated with Stage IV engines
components of a directive and the corresponding parts
and their respective after treatment system, the durability
of national transposition instruments.
provisions laid down in Directive 97/68/EC are not
appropriate for those engines, and therefore provisions
(15) The
measures provided for in this Directive are in
based on those of Regulation (EC) No 595/2009
accordance with the opinion of the Technical
regarding heavy duty euro VI engines should be inte
Committee of Motor Vehicles competent under Article 15
grated in Directive 97/68/EC.
of Directive 97/68/EC,
(7) A
globally
harmonised
test
procedure
for
Stage
IV HAS ADOPTED THIS DIRECTIVE:
engines has been adopted at the level of the United
Nations Economic Commission for Europe (UNECE
Article 1
Regulation No 96.03 series of amendments). It is appro
priate to provide that that procedure also applies to the
Amendments to Directive 97/68/EC
testing of those engines in the Union.
Directive 97/68/EC is amended as follows:
(8) Directive
97/68/EC
provides
that
approvals
issued
under (1) Annex I is amended in accordance with Annex I to this
other specific Union or UNECE legislation are equivalent
Directive;
to type approvals issued under that Directive. The
references to the legal acts considered as equivalent
(2) Annex II is amended in accordance with Annex II to this
should be adapted to current versions in force. With
Directive;
regard to heavy duty euro VI engines it is necessary to
specify that the equivalency can only be met if certain
(3) Annex III is amended in accordance with Annex III to this
additional inducement requirements are respected.
Directive;
(9) The
reporting
of
carbon
dioxide
(CO 2 ) emissions
(4) Annex VI is amended in accordance with Annex IV to this
provides further indication about the performance of
Directive;
an engine. Reporting of CO 2 emissions on the engine
test cycles is part of the provisions of Regulation (EC)
(5) Annex VII is amended in accordance with Annex V to this
No 595/2009 for heavy duty vehicles (euro VI and Envi
Directive;
ronmental Protection Agency (EPA) 40CFR Greenhouse
Gas Emissions Standards). It is therefore appropriate to
(6) Annex XI is replaced by the text set out in Annex VI to this
introduce such provisions also in Directive 97/68/EC.
Directive;
(10) Directive 97/68/EC does not contain specific
(7) Annex XII is replaced by the text set out in Annex VII to
requirements for crankcase emissions, which are
this Directive.
secondary engine emissions. In order to avoid interpre
tation problems, it is necessary to clarify how crankcase
Article 2
emissions are taken into account in judging whether the
emission test is passed or not. Those provisions should
Transposition
be aligned with Heavy Duty euro VI and US Tier 4
1. Member
States
shall
bring
into
force
the
laws,
regulations
provisions (EPA 40CFR part 1039).
and administrative provisions necessary to comply with the
Directive by 21 December 2013 at the latest. They shall
(11) Directive
97/68/EC
specifies
that
engines
are
categorised
forthwith communicate to the Commission the text of those
in different engine power ranges due to the net engine
provisions.
power and thus emission limit requirements. With new
electronically controlled engines, the maximal engine
When Member States adopt those provisions, they shall contain
power could be different from the rated engine power.
a reference to this Directive or be accompanied by such a
In order to ensure that the emission requirements are
reference on the occasion of their official publication. Member
met, the engine power to be considered should be the
States shall determine how such reference is to be made.
maximum engine power.
2. Member
States
shall
communicate
to
the
Commission
the
(12) The information documents laid down in Directive
text of the main provisions of national law which they adopt in
97/68/EC should be updated to reflect technical
the field covered by this Directive.

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L 353/82
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Official Journal of the European Union
21.12.2012
Article 3
Entry 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 4
Addressees
This Directive is addressed to the Member States.
Done at Brussels, 6 December 2012.
For the Commission
The President
José Manuel BARROSO

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EN
21.12.2012 Official
Journal
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European
Union L
353/83
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: T c = – 0,4514 (101,3 – p b ) + 311, where: T c is the calculated ambient air
temperature, K and P b is the atmospheric pressure, kPa;
(iii) the engine coolant temperature above 343 K (70 °C).
Where the auxiliary emission control strategy is activated when the engine is operating within the
control conditions set out in points (i), (ii) and (iii), the strategy shall only be activated when demon
strated 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: IMT c = P IM /15,75 + 304,4, where: IMT c is the calculated intake manifold temperature,
K and P IM is the absolute intake manifold pressure in kPa;
(ii) engine coolant temperature is less than or equal to the temperature defined by the following
equation: ECT c = P IM /14,004 + 325,8, where: ECT c is the calculated engine coolant temperature,
K and P IM 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 NO x control measures for Stage IIIB engines’;
(5) the following Sections 8.5, 8.6 and 8.7 are added:
‘8.5. Requirements
on
NO x control measures for Stage IV engines
8.5.1. The
manufacturer
shall
provide
information
that
fully
describes
the
functional
operational
characteristics
of
the NO x 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.

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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 N mode 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 N mode 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.

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21.12.2012 Official
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European
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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 1
Requirements to ensure the correct operation of NO x control measures
1. Introduction
This Annex sets out the requirements to ensure the correct operation of NO x 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
“NO x Control Diagnostic system (NCD)” means a system on-board the engine which has the capability of:
(a) detecting a NO x Control Malfunction;
(b) identifying the likely cause of NO x control malfunctions by means of information stored in computer
memory and/or communicating that information off-board.

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“NO x Control Malfunction (NCM)” means an attempt to tamper with the NO x 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
NO x 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 NO x Control Diagnostic system (NCD) able to identify the
NO x 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 NO x 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 manu
facturer, 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
NO x 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.

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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
NO x Control Diagnostic system (NCD) shall be able to identify the NO x 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
NO x 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.

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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 demon
stration 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:

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— the remaining time before activation of the low-level and/or severe inducements,
— the amount of low-level and/or severe inducement, for example the amount of torque reduction,
— the conditions under which machine disablement can be cleared.
Where messages are displayed, the system used for displaying these messages may be the same as the one
used for other maintenance purposes.
4.4.
At the choice of the manufacturer, the warning system may include an audible component to alert the
operator. The cancelling of audible warnings by the operator is permitted.
4.5.
The operator warning system shall be activated as specified in paragraphs 2.3.3.1, 6.2, 7.2, 8.4, and 9.3
respectively.
4.6. The
operator
warning
system
shall
be
deactivated
when
the
conditions
for
its
activation
have
ceased
to
exist. The operator warning system shall not be automatically deactivated without the reason for its
activation having been remedied.
4.7.
The warning system may be temporarily interrupted by other warning signals providing important safety
related messages.
4.8.
Details of the operator warning system activation and deactivation procedures are described in Section 11.
4.9.
As part of the application for type-approval under this Directive, the manufacturer shall demonstrate the
operation of the operator warning system, as specified in Section 11.
5. Operator
inducement
system
5.1.
The machine shall incorporate an operator inducement system based on one of the following principles:
5.1.1.
a two-stage inducement system starting with a low-level inducement (performance restriction) followed by
a severe inducement (effective disablement of machine operation);
5.1.2. a
one-stage
severe
inducement
system
(effective
disablement
of
machine
operation)
activated
under
the
conditions of a low-level inducement system as specified in paragraphs 6.3.1, 7.3.1, 8.4.1, and 9.4.1.
5.2.
Upon prior approval of the type approval authority, the engine may be fitted with a means to disable the
operator inducement during an emergency declared by a national or regional government, their
emergency services or their armed services.
5.3. Low-level
inducement
system
5.3.1. The
low-level
inducement
system
shall
be
activated
after
any
of
the
conditions
specified
in
paragraphs
6.3.1, 7.3.1, 8.4.1, and 9.4.1 has occurred.
5.3.2.
The low-level inducement system shall gradually reduce the maximum available engine torque across the
engine speed range by at least 25 per cent between the peak torque speed and the governor breakpoint as
shown in Figure 1. The rate of torque reduction shall be a minimum of 1 % per minute.
5.3.3. Other
inducement
measures
that
are
demonstrated
to
the
type
approval
authority
as
having
the
same
or
greater level of severity may be used.
Figure 1
Low-level inducement torque reduction scheme

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5.4. Severe
inducement
system
5.4.1. The
severe
inducement
system
shall
be
activated
after
any
of
the
conditions
specified
in
paragraphs
2.3.3.2, 6.3.2, 7.3.2, 8.4.2, and 9.4.2 has occurred.
5.4.2.
The severe inducement system shall reduce the machine’s utility to a level that is sufficiently onerous as to
cause the operator to remedy any problems related to Sections 6 to 9. The following strategies are
acceptable:
5.4.2.1.
Engine torque between the peak torque speed and the governor breakpoint shall be gradually reduced
from the low-level inducement torque in Figure 1 by a minimum of 1 per cent per minute to 50 per cent
of maximum torque or lower and engine speed shall be gradually reduced to 60 per cent of rated speed
or lower within the same time period as the torque reduction, as shown in Figure 2.
Figure 2
Severe inducement torque reduction scheme
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.

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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 NO x 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”).

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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 NO x Control Diagnostic (NCD) system, as described in paragraph 9.2.1.
9.2. Monitoring
requirements
9.2.1. The
NO x 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 NO x
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.

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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 NO x sensor located in
the exhaust gas. In this case,
— the NO x value shall not exceed a threshold of 0,9 g/kWh,
— use of a single failure “high NO x — root cause unknown” may be used,
— Section 9.4.1 shall read “within 10 engine hours”,
— Section 9.4.2 shall read “within 20 engine hours”.
10. Demonstration
requirements
10.1. General
The compliance to the requirements of this Annex shall be demonstrated during type-approval by
performing, as illustrated in Table 1 and specified in this section:
(a) a demonstration of the warning system activation;
(b) a demonstration of the low level inducement system activation, if applicable;
(c) a demonstration of the severe inducement system activation.
Table 1
Illustration of the content of the demonstration process according to the provisions in Sections
10.3 and 10.4 of this Appendix
Mechanism Demonstration
elements
Warning system activation — Two activation tests (incl. lack of reagent)
specified in Section 10.3 of — Supplementary demonstration elements, as appropriate
this Appendix
Low-level inducement
— Two activation tests (incl. lack of reagent)
activation specified in Section — Supplementary demonstration elements, as appropriate
10.4 of this Appendix
— One torque reduction test

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Mechanism Demonstration
elements
Severe inducement activation — Two activation tests (incl. lack of reagent)
specified in Section 10.4.6 of — Supplementary demonstration elements, as appropriate
this Appendix
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 3
Previously demonstrated conformity of an NCD engine family
Conformity of Engine
Conformity of NCD engine family 1
family 1 is considered
has been demonstrated
as demonstrated
for Engine family 2
Engine
Engine
family 1
family 2
NCD engine family 1
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

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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 demon
strated 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:

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(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.

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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 mech
anism.
10.4.6. Demonstration
test
of
the
severe
inducement
system
10.4.6.1. This
demonstration
shall
start
from
a
condition
where
the
low-level
inducement
system
has
been
previously activated and may be performed as a continuation of the tests undertaken to demonstrate
the low-level inducement system.
10.4.6.2. When the system is checked for its reaction in the case of lack of reagent in the tank, the engine system
shall be run until the reagent tank is empty, or has reached the level below 2,5 per cent of the nominal
full capacity of the tank at which the manufacturer has declared to activate the severe inducement system.
10.4.6.2.1. The manufacturer may, with the agreement of the approval authority, simulate continuous running by
extracting reagent from the tank, either whilst the engine is running or is stopped.
10.4.6.3. When the system is checked for its reaction in the case of a failure that is not a lack of reagent in the
tank, the engine system shall then be run for the relevant number of operating hours indicated in Table 3
of this Appendix or, at the choice of the manufacturer, until the relevant counter has reached the value at
which the severe inducement system is activated.
10.4.6.4. The demonstration of the severe inducement system shall be deemed to be accomplished if, at the end of
each demonstration test performed according to paragraphs 10.4.6.2 and 10.4.6.3, the manufacturer has
demonstrated to the type-approval authority that the severe inducement mechanism considered in this
Annex has been activated.
10.4.7.
Alternatively, if the manufacturer chooses, and subject to the agreement of the approval authority, the
demonstration of the inducement mechanisms may be performed on a complete machine in accordance
with the requirements of Section 5.4, either by mounting the machine on a suitable test bed or by
running it on a test track under controlled conditions.
10.4.7.1. The machine shall be operated until the counter associated with the selected failure has reached the
relevant number of operating hours indicated in Table 3 of this Appendix or, as appropriate, until either
the reagent tank is empty or, has reached the level below 2,5 per cent of the nominal full capacity of the
tank at which the manufacturer has chosen to activate the severe inducement system.
11. Description
of
the
operator
warning
and
inducement
activation
and
deactivation
mechanisms
11.1.
To complement the requirements specified in this Annex concerning the warning and inducement
activation and deactivation mechanisms, this Section 11 specifies the technical requirements for an
implementation of those activation and deactivation mechanisms.
11.2. Activation
and
deactivation
mechanisms
of
the
warning
system
11.2.1.
The operator warning system shall be activated when the diagnostic trouble code (DTC) associated with a
NCM justifying its activation has the status defined in Table 2 of this Appendix.
Table 2
Activation of the operator warning system
Failure type DTC
status
for
activation
of
the
warning
system
Poor reagent quality confirmed
and
active
Interruption of dosing confirmed
and
active
Impeded EGR valve confirmed
and
active
Malfunction of the monitoring system confirmed
and
active
NO x threshold, if applicable confirmed
and
active

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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
“NO x control information”
11.2.2.1.1. Erasing/resetting “NO x control information” by a scan-tool
On request of the scan tool, the following data shall be erased or reset to the value specified in this
Appendix from the computer memory (see Table 3).
Table 3
Erasing/resetting “NO x control information” by a scan-tool
NO x control information Erasable Resetable
All DTCs
X
The value of the counter with the highest number of engine operating
X
hours
The number of engine operating hours from the NCD counter(s)
X
11.2.2.1.2. NO x control information shall not be erased by disconnection of the machine’s battery(s).
11.2.2.1.3. The erasing of “NO x control information” shall only be possible under “engine-off” conditions.
11.2.2.1.4. When “NO x 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
appro
priate 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.

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11.4.1.2. Each of the counters shall count up to the maximum value provided in a 2 byte counter with 1 hour
resolution and hold that value unless the conditions allowing the counter to be reset to zero are met.
11.4.1.3. A manufacturer may use a single or multiple NCD system counters. A single counter may accumulate the
number of hours of two or more different malfunctions relevant to that type of counter, none of them
having reached the time the single counter indicates.
11.4.1.3.1. When the manufacturer decides to use multiple NCD system counters, the system shall be capable of
assigning a specific monitoring system counter to each malfunction relevant according to this Annex to
that type of counters.
11.4.2. Principle
of
counters
mechanism
11.4.2.1. Each of the counters shall operate as follows:
11.4.2.1.1. If starting from zero, the counter shall begin counting as soon as a malfunction relevant to that counter is
detected and the corresponding diagnostic trouble code (DTC) has the status defined in Table 2.
11.4.2.1.2. In case of repeated failures, one of the following provisions shall apply at the choice of the manufacturer.
(i) If a single monitoring event occurs and the malfunction that originally activated the counter is no
longer detected or if the failure has been erased by a scan tool or a maintenance tool, the counter
shall halt and hold its current value. If the counter stops counting when the severe inducement system
is active, the counter shall be kept frozen at the value defined in Table 4 of this Appendix or a value
of greater than or equal to the counter value for severe inducement minus 30 minutes.
(ii) The counter shall be kept frozen at the value defined in Table 4 of this Appendix or a value greater
than or equal to the counter value for severe inducement minus 30 minutes.
11.4.2.1.3. In the case of a single monitoring system counter, that counter shall continue counting if a NCM relevant
to that counter has been detected and its corresponding Diagnostic trouble code (DTC) has the status
“confirmed and active”. It shall halt and hold one of the values specified in Section 11.4.2.1.2, if no NCM
that would justify the counter activation is detected or if all the failures relevant to that counter have been
erased by a scan tool or a maintenance tool.
Table 4
Counters and inducement
DTC status for first
Counter value for low-
Counter value for
Frozen value held by the
activation of the counter
level inducement
severe inducement
counter
Reagent
confirmed and active ≤ 10 hours
≤ 20 hours
≥ 90
% of counter
quality
value for severe
counter
inducement
Dosing
confirmed and active ≤ 10 hours
≤ 20 hours
≥ 90
% of counter
counter
value for severe
inducement
EGR valve confirmed and active ≤ 36 hours
≤ 100 hours
≥ 95
% of counter
counter
value for severe
inducement
Monitoring confirmed and active ≤ 36 hours
≤ 100 hours
≥ 95
% of counter
system
value for severe
counter
inducement
NO x
confirmed and active ≤ 10 hours
≤ 20 hours
≥ 90
% of counter
threshold,
value for severe
if appli
inducement
cable

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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 4
Reactivation 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.

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Figure 5
Reagent 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.

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Figure 6
Filling 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.

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Figure 7
Failure of the reagent dosing system
12. Demonstration
of
the
minimum
acceptable
reagent
concentration
CD min
12.1. The
manufacturer
shall
demonstrate
the
correct
value
of
CD min during type approval by performing the
hot part of the NRTC cycle using a reagent with the concentration CD min .
12.2.
The test shall follow the appropriate NCD cycle(s) or manufacturer defined pre-conditioning cycle,
permitting a closed loop NO x control system to perform adaptation to the quality of the reagent with
the concentration CD min .
12.3. The
pollutant
emissions
resulting
from
this
test
shall
be
lower
than
the
NO x threshold specified in Section
7.1.1 of this Annex.

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Appendix 2
Control Area requirements for stage IV engines
1. Engine control area
The control area (see Figure 1) is defined as follows:
speed range: speed A to high speed;
where:
speed A = low speed + 15 % (high speed — low speed).
High speed and low speed as defined in Annex III or, if the manufacturer, based on the option indicated in Section
1.2.1 of Annex III, chooses to use the procedure of Annex 4B to UNECE Regulation No 96.03 series of
amendments, the definition of paragraphs 2.1.33 and 2.1.37 to UNECE Regulation No 96.03 series of
amendments shall be used.
If the measured engine speed A is within ± 3 % of the engine speed declared by the manufacturer, the declared
engine speeds shall be used. If the tolerance is exceeded for any of the test speeds, the measured engine speeds
shall be used.
2. The following engine operating conditions shall be excluded from testing:
(a) points below 30 % of maximum torque;
(b) points below 30 % of maximum power.
The manufacturer may request that the Technical Service excludes operating points from the control area defined
in Section 1 and 2 of this Appendix during the certification/type approval. Subject to the positive opinion of the
Approval Authority, the Technical Service may accept this exclusion if the manufacturer can demonstrate that the
engine is never capable of operating at such points when used in any machine combination.
Figure 1
Control area

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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: ..............
5.2. Reference
and/or
setting
ranges
(*)
5.3. Variable
valve
timing
system
(if
applicable
and
where
intake
and/or
exhaust)
5.3.1. Type: continuous or on/off (*)
5.3.2. Cam phase shift angle: ........................................................................................................................................................
6. PORTING
CONFIGURATION
6.1. Position,
size
and
number:
7. IGNITION
SYSTEM
7.1. Ignition
coil
7.1.1. Make(s): ....................................................................................................................................................................................
7.1.2. Type(s): ....................................................................................................................................................................................
7.1.3. Number: ..................................................................................................................................................................................
7.2. Spark
plug(s):
.........................................................................................................................................................................
7.2.1. Make(s): ....................................................................................................................................................................................
7.2.2. Type(s): ....................................................................................................................................................................................
7.3. Magneto:
..................................................................................................................................................................................
7.3.1. Make(s): ....................................................................................................................................................................................
7.3.2. Type(s): ....................................................................................................................................................................................
7.4. Ignition
timing:
.....................................................................................................................................................................

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7.4.1. Static advance with respect to top dead centre [crank angle degrees] .................................................................
7.4.2. Advance curve, if applicable: .............................................................................................................................................
___________
(*) Strike out what does not apply.’;
(2) Appendix 2 is amended as follows:
(a) Section 1.8 is replaced by the following:
‘1.8. Exhaust after-treatment system (*): .......................................................................................................................................
___________
(*) If not applicable mark n.a.’;
(b) the table in Section 2.2 is replaced by the following:
‘Parent
Engine (*)
Engines within family (**)
Engine Type
No of cylinders
Rated speed (min -1 )
Fuel delivery per stroke (mm 3 ) 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 (mm 3 ) 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.’

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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) CO 2 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 5
Durability 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.

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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 accumu
lation 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 NO x + 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 NO x + HC DF, separate HC and NO x DFs shall be
determined and applied separately when calculating the deteriorated emission levels from an emissions
test result before combining the resultant deteriorated NO x 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.

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21.12.2012 Official
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European
Union L
353/109
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 deter
mining 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.

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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

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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 manu
facturer, 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 accumu
lation.
2.4.4.2.
The manufacturer shall retain records of all information concerning all the emission tests and main
tenance 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 extra
polation of the regression equation as determined in Section 2.4.5.1.

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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 NO x 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 1
Example 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 NO x
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.

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21.12.2012 Official
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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 dura
bility 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
NO x + HC DF, separate HC and NO x DFs shall be determined and applied separately
when calculating the deteriorated emission levels from an emissions test result before combining the
resultant deteriorated NO x 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

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— 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)
— NO x 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 1
Emission durability period for CI Stage IIIA, IIIB and IV Engines (hours)
Category (power band) Emission
durability
period
(hours)
≤ 37 kW
3 000
(constant speed engines)
≤ 37 kW
5 000
(variable speed engines)
> 37 kW 8
000
Engines for propulsion of inland waterway
10 000
vessels
Railcar and Locomotive engines 10
000’

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353/115
(3) The following Appendices 6 and 7 are added:
‘Appendix 6
Determination of CO 2 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
CO 2 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. CO 2 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 CO 2
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
CO 2 emissions
3.1. Raw
measurement
This section applies, if CO 2 is measured in the raw exhaust gas.
3.1.1. Measurement
CO 2 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 CO 2 (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 CO 2 (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 CO 2 is measured in the dilute exhaust gas.
3.2.1. Measurement
CO 2 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.

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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 CO 2 (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 CO 2 (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 e CO2 (g/kWh) shall be calculated as follows:
X
i

n CO2 mass;i W F;i
e
i

CO2 1 i n

X P i W F;i
i 1
where:
P i = P m,i + P AE,i
and
CO 2 mass,i is the mass of CO 2 of the individual mode (g/h)
P m,i
is the measured power of the individual mode (kW)
P AE,i
is the power of the auxiliaries of the individual mode (kW)
W F,i
is the weighting factor of the individual mode.
3.3.2. NRTC
The cycle work needed for the calculation of brake specific CO 2 emissions shall be determined in accordance
with Section 4.6.2 of Annex III.
The brake specific emissions e CO2 (g/kWh) shall be calculated as follows:
m
e

CO2;hot

CO2 W act;hot
where:
m CO2, hot is the CO 2 mass emissions of the hot start NRTC (g)
W act, hot is the actual cycle work of the hot start NRTC (kWh).

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European
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Appendix 7
Alternative determination of CO 2 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 CO 2 emissions set out in this Appendix shall apply.
2. General
requirements
2.1. CO 2 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
CO 2 emissions
3.1. Raw
measurement
This section applies, if CO 2 is measured in the raw exhaust gas.
3.1.1. Measurement
CO 2 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 CO 2 (g/test) shall be calculated by multiplication of the time aligned instantaneous CO 2 concen
trations 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 CO 2 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 CO 2 is measured in the dilute exhaust gas.
3.2.1. Measurement
CO 2 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.

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Official Journal of the European Union
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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 CO 2 (g/test) shall be calculated by multiplication of the CO 2 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 CO 2 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 CO 2 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 e CO2 (g/kWh) shall be calculated as follows:
m
e

CO2;hot

CO2 W act;hot
where:
m CO2, hot is the CO 2 mass emissions of the hot start NRTC (g)
W act, hot is the actual cycle work of the hot start NRTC (kWh)’

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EN
21.12.2012 Official
Journal
of
the
European
Union L
353/119
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.’

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L 353/120
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Official Journal of the European Union
21.12.2012
ANNEX V
In Annex VII to Directive 97/68/EC Appendix 1 is replaced by the following:
‘Appendix 1
Test report for compression ignition engines test results ( 1 )
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 P AE (kW) absorbed at various engine speeds ( 1 ) ( 2 ), taking into account Appendix 3 to this Annex
Equipment
Intermediate speed
Maximum power speed
(if applicable)
(if different from rated)
Rated speed ( 3 )
Total:
( 1 ) Delete as appropriate.
( 2 ) Shall not be greater than 10 per cent of the power measured during the test.
( 3 ) Insert values at engine speed corresponding to 100 % normalised speed if NRSC test uses this speed.
1.4. Engine
performance
1.4.1. Engine
speeds:
Idle: ......................................................................................................................................................................................... min –1
Intermediate: ......................................................................................................................................................................... min –1
Maximum power: ............................................................................................................................................................... min –1
Rated ( 2 ): ................................................................................................................................................................................ min –1
( 1 ) For the case of several parent engines, the following is to be indicated for each of them.
( 2 ) Insert engine speed corresponding to 100 % normalised speed if NRSC test uses this speed.

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21.12.2012 Official
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of
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European
Union L
353/121
1.4.2. Engine
power
( 1 )
Power setting (kW) at various engine speeds
Condition
Intermediate speed
Maximum power speed
(if applicable)
(if different from rated)
Rated speed ( 1 )
Maximum power measured at
specified test speed (P M ) (kW) (a)
Total power absorbed by engine
driven equipment as per
paragraph 1.3.2 of this Appendix
taking into account Appendix 3
(kW) (b)
Net engine power as specified in
Section 2.4 of Annex I (kW) (c)
c = a + b
( 1 ) Replace with values at engine speed corresponding to 100 % normalised speed if NRSC test uses this speed.
2.
Information concerning the conduct of the NRSC test:
2.1. Dynamometer
setting
(kW)
Dynamometer setting (kW) at various engine speeds
Intermediate
Per cent load
speed
63 %
80 %
91 %
(if applicable)
(if applicable)
(if applicable)
(if applicable) Rated speed ( 1 )
10
(if applicable)
25
(if applicable)
50
75
(if applicable)
100
( 1 ) Replace with values at engine speed corresponding to 100 % normalised speed if NRSC test uses this speed.
2.2. Emission
results
of
the
engine/parent
engine
( 2 )
Deterioration Factor (DF): calculated/fixed ( 2 )
Specify the DF values and the emission results in the following table ( 2 ):
NRSC test
DF
CO HC NO x
HC + NO x
PM
mult/add 3
Emissions
CO
HC
NO x
HC + NO x
PM
CO 2
(g/kWh)
(g/kWh)
(g/kWh)
(g/kWh)
(g/kWh)
(g/kWh)
Test result
Final test result with DF
( 1 ) Uncorrected power measured in accordance with Section 2.4 of Annex I.
( 2 ) Delete as appropriate.

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L 353/122
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Official Journal of the European Union
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Additional control area test points (if applicable)
Emissions at test point
Engine
Load
CO
HC
NO x
PM
speed
(%)
(g/kWh)
(g/kWh)
(g/kWh)
(g/kWh)
Test result 1
Test result 2
Test result 3
2.3. Sampling
system
used
for
the
NRSC
test:
2.3.1. Gaseous
emissions
( 1 ): .....................................................................................................................................................................
2.3.2. PM
( 1 ): .................................................................................................................................................................................................
2.3.2.1. Method ( 2 ): single/multiple filter
3.
Information concerning the conduct of the NRTC test (if applicable):
3.1. Emission
results
of
the
engine/parent
engine
( 2 )
Deterioration Factor (DF): calculated/fixed ( 3 )
Specify the DF values and the emission results in the following table ( 3 ):
Regeneration related data may be reported for Stage IV engines.
NRTC test
DF
CO HC NO x
HC + NO x
PM
mult/add ( 3 )
Emissions
CO
HC
NO x
HC + NO x
PM
(g/kWh)
(g/kWh)
(g/kWh)
(g/kWh)
(g/kWh)
Cold start
Emissions
CO
HC
NO x
HC + NO x
PM
CO 2
(g/kWh)
(g/kWh)
(g/kWh)
(g/kWh)
(g/kWh)
(g/kWh)
Hot start w/o regeneration
Hot start with regeneration ( 3 )
kr,u
(mult/add) ( 3 )
kr,d
(mult/add) ( 3 )
Weighted test result
Final test result with DF
Cycle work for hot start w/o regeneration kWh
3.2. Sampling
system
used
for
the
NRTC
test:
Gaseous emissions ( 4 ): .....................................................................................................................................................................
PM ( 4 ): .................................................................................................................................................................................................
Method ( 5 ): single/multiple filter
( 1 ) Indicate figure number of system used as defined in Annex VI Section 1 or Section 9 of Annex 4B of ECE R96 03 series of
amendments, as applicable.
( 2 ) Delete as appropriate.
( 3 ) Delete as appropriate.
( 4 ) Indicate figure number of system used as defined in Annex VI Section 1 or Section 9 of Annex 4B of ECE R96 03 series of
amendments, as applicable.
( 5 ) Delete as appropriate.’

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EN
21.12.2012 Official
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European
Union L
353/123
ANNEX VI
‘ANNEX XI
DATA SHEET OF TYPE-APPROVED ENGINES
1. SI
Engines
Reported engine type approval
1
2
3
4
Type approval number
Date of approval
Name of manufacturer
Engine type/family
Engine description General
information
( 1 )
Cooling medium ( 1 )
Number of cylinders
Swept volume (cm 3 )
Type of after-treatment ( 2 )
Rated speed (min –1 )
Rated net power (kW)
Emissions (g/kWh) CO
HC
NO x
PM
( 1 ) Liquid or air.
( 2 ) Abbreviate: CAT = catalyst, PT = particulate trap, SCR = selective catalytic reduction.

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Official Journal of the European Union
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2. CI
Engines ( 1 ) ( 2 )
2.1. General engine information
Reported engine type approval
1
2
3
4
Type approval number
Date of approval
Name of manufacturer
Engine type/family
Engine description General
information
( 1 )
Cooling medium ( 2 )
Number of cylinders
Swept volume (cm 3 )
Type of after-treatment ( 3 )
Rated speed (min –1 )
Maximum power speed
(min –1 )
Rated net power (kW)
Maximum net power (kW)
( 1 ) 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.
( 2 ) Liquid or air.
( 3 ) Abbreviate: DOC = diesel oxidation catalyst, PT = particulate trap, SCR = selective catalytic reduction.
2.2. Final emission result
Reported engine type approval
1
2
3
4
NRSC final test CO
result inclusive of
DF (g/kWh)
HC
NO x
HC + NO x
PM
( 1 ) Complete all items that are applicable to the engine type/family.
( 2 ) In case of a family of engines insert details of parent engine.

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EN
21.12.2012 Official
Journal
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the
European
Union L
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Reported engine type approval
1
2
3
4
NRSC CO 2 (g/kWh)
NRTC final test CO
result inclusive of
DF (g/kWh)
HC
NO x
HC + NO x
PM
NRTC hot cycle CO 2 (g/kWh)
NRTC hot cycle work (kWh)
2.3. NRSC deterioration factors and emission test results
Reported engine type approval
1
2
3
4
DF mult/add ( 1 ) CO
HC
NO x
HC + NO x
PM
NRSC test result CO
exclusive of DF
(g/kWh)
HC
NO x
HC + NO x
PM
( 1 ) Delete as appropriate.
2.4. NRTC deterioration factors and emission test results
Reported engine type approval
1
2
3
4
DF mult/add ( 1 ) CO
HC
NO x
HC + NO x
PM
NRTC cold start test CO
result exclusive of
DF (g/kWh)
HC
NO x
HC + NO x
PM

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L 353/126
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Official Journal of the European Union
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Reported engine type approval
1
2
3
4
NRTC hot start test CO
result exclusive of
DF (g/kWh)
HC
NO x
HC + NO x
PM
( 1 ) 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 CO
regeneration
(g/kWh)
HC
NO x
HC + NO x
PM
NRTC hot start with CO
regeneration
(g/kWh)
HC
NO x
HC + NO x
PM’

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EN
21.12.2012 Official
Journal
of
the
European
Union L
353/127
ANNEX VII
‘ANNEX XII
RECOGNITION 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.’

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