EN    EN  
 EUROPEAN COMMISSION 
Brussels, XXX   
G4 58090 PE NRMM […](2012) XXX  draft 
  
COMMISSION DIRECTIVE ../…/EU 
of XXX  
amending Directive 97/68/EC of the Europe an 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) 
  
EN 2   EN COMMISSION DIRECTIVE ../…/EU 
of XXX 
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 pollutant s from internal combustion engines to be 
installed in non-road mobile machinery 
(Text with EEA relevance) 
THE EUROPEAN COMMISSION, 
Having regard to the Treaty on the Functioning of the European Union,  Having regard to Directive 97/68/EC of the Eur opean Parliament and of the Council of 16 
December 1997 on the approximation of the laws of  the Member States relating to measures 
against the emission of gaseous and particulate polluta nts from internal co mbustion engines to 
be installed in non-road mobile machinery
1, and in particular Article 14 thereof,  
Whereas: (1) Directive 2004/26/EC of the European Par liament and of the Council of 21 April 2004 
amending Directive 97/68/EC on the approximati on of the laws of the Member States 
relating to measures against the emission of  gaseous and particulate pollutants from 
internal combustion engines to be in stalled in non-road mobile machinery
2 introduced 
new emission Stages IIIA, IIIB and IV to Di rective 97/68/EC, in order to increase 
environmental protection and preserve hum an health. The test methods have been 
amended accordingly, first by Directiv e 2004/26/EC and later by Commission 
Directive 2010/26/EU of 31 March 2010 am ending 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 agains t the emission of gaseous and particulate 
pollutants from internal combustion engine s to be installed in non-road mobile 
machinery3.  
(2) The Stage IV limit values will become mandatory for type approvals issued as of 1 
January 2013 for engines of category Q a nd as of 1 October 2013 for engines of 
category R. Based on the experience gained with heavy duty Euro V and VI engines 
under Regulation (EC) No 595/2009 of the Eur opean Parliament a nd of the Council of 
18 June 2009 on type-approval of motor vehi cles and engines with respect to 
emissions from heavy duty vehicles (Euro VI) and on access to vehicle repair and 
                                                 
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.  
EN 3   EN maintenance information and amending Re gulation (EC) No 715/2007 and Directive 
2007/46/EC and repealing Directiv es 80/1269/EEC, 2005/55/EC and 2005/78/EC4, 
certain gaps have been identified in the test requirements for St age IV engines. In 
order to enable type approval of Stage IV engines of categories Q and R, taking into 
account technical progress, and in order to increase global harmonisation, it is 
necessary to revise and complement certain provisions of Direct ive 97/68/EC. It is 
also necessary in order to reduce the margin of interpretation of te st results and to limit 
the errors in the apprecia tion of engine emissions. 
(3) Directive 2010/26/EU introduced provisions on NOx control whic h are necessary to 
ensure that the sophisticated after treatment systems, require d in order to meet the new 
emission limits for Stage IIIB and IV engines, function properly. In particular, to avoid 
that operators circumvent compliance with emission limits, it is appropriate to complement the provisions on NOx control by introducing an operator warning system 
based on the corresponding provisions of Regulation (EC) No 595/2009 for heavy duty vehicles (Euro VI), combined with a 2-stage inducement system which reduces 
significantly the equipment's performa nce thus enforcing compliance.  
(4) With the introduction of electronically contro lled engines it is necessary to adapt the 
test procedure in order to en sure that engine te sts better reflect real use conditions, 
further preventing circumventi on of emission requirements [c ycle beating]. Therefore, 
during type approval, compliance should be demonstrated at a working area of the 
tested engine which has been selected on th e basis of the ISO 8178 standard. It is also 
necessary to specify the engine operati ng conditions under which those tests are 
carried out and to modify the calculation me thods for specific emissions in order to 
correspond to those required for heavy duty ve hicles (Euro VI) and to align them with 
the provisions of the major tr ading partners of the Union.  
(5) Directive 97/68/EC requires the manufacturer to spec ify the engine emission 
performance under specific ambient control cond itions relating to altitude or pressure 
and temperature. In order to be tter reflect the real use of en gines, it is appropriate to 
extend the temperature/pressure and altitu de criteria by aligning the provisions more 
closely with the requirements fo r heavy duty Euro VI engines.  
(6) The durability requirements should also be revi sed in order to guara ntee the efficiency 
of the emission reduction once the engine is in operation. Due to the technological changes associated with Stage IV engines and their respective after treatment system, 
the durability provisions laid down in Direct ive 97/68/EC are not appropriate for those 
engines, and therefore pr ovisions based on those of Regulation (EC) No 595/2009 
regarding heavy duty Euro VI engines should be integrated in Directive 97/68/EC.  
(7) A globally harmonised test procedure for St age IV engines has been adopted at the 
level of the United Nations Economic Co mmission for Europe (UNECE Regulation 
No 96.03). It is appropriate to provide that th at procedure also app lies to the testing of 
those engines in the Union.  
(8) Directive 97/68/EC provides that approvals  issued under other specific Union or 
UNECE legislation are equivale nt to type approvals issued  under that Directive. The 
                                                 
4 OJ L 188, 18.7.2009, p. 1.  
EN 4   EN references to the legal acts considered as equivalent should be adapted to current 
versions in force. With regard to heavy dut y Euro VI engines it is  necessary to specify 
that the equivalency can only be met if certain additional inducement requirements are respected. 
(9) The reporting of carbon dioxide (CO
2) emissions provides furt her indication about the 
performance of an engine. Reporting of CO 2 emissions on the engine test cycles is part 
of the provisions of Regulation (EC) No  595/2009 for heavy duty vehicles (Euro VI 
and Environmental Protection Agency (EPA) 40CFR Greenhouse Gas Emissions 
Standards). It is therefore appropriate to introduce such provisions also in Directive 
97/68/EC.  
(10) Directive 97/68/EC does not contain speci fic requirements for crankcase emissions, 
which are secondary engine emissions. In order to avoid interpretation problems, it is necessary to clarify how crankcase emi ssions are taken into account in judging 
whether the emission test is passed or not . Those provisions should be aligned with 
Heavy Duty Euro VI and US Tier 4 provisions (EPA 40CFR part 1039) 
(11) Directive 97/68/EC specifies that engines are categorised in di fferent engine power 
ranges due to the net engine  power and thus emission limit requirements. With new 
electronically controlled engi nes, the maximal engine power could be different from 
the rated engine power. In or der to ensure that the emission requirements are met, the 
engine power to be considered s hould be the maximum engine power. 
(12) The information documents laid down in Directive 97/68/EC should be updated to 
reflect technical progress and the cha nges introduced. The new documents should 
allow a complete reporting.  
(13) Directive 97/68/EC should ther efore be amended accordingly. 
(14) In accordance with the Joint Political De claration of Member States and the 
Commission on explanatory documents of 28 September 2011, Member States have 
undertaken to accompany, in justified cases, the notification of their transposition 
measures with one or more documents explaining the relationship between the components of a directive and the corresponding parts of national transposition 
instruments. . 
(15) The measures provided for in this Directiv e are in accordance with the opinion of the 
Committee on Adaptation to Technical Progress  of the Directives on the Removal of 
Technical Barriers to Trade in  the Motor Vehicle Sector, 
HAS ADOPTED THIS DIRECTIVE: 
Article 1 
Amendments to Directive 97/68/EC  
Directive 97/68/EC is amended as follows:  
(1) Annex I is amended in accordance w ith Annex I to this Directive;  
(2) Annex II is amended in accordance with  Annex II to this Directive;   
EN 5   EN (3) Annex III is amended in accordance w ith Annex III to this Directive; 
(4) Annex VI is amended in accordance w ith Annex IV to this Directive; 
(5) Annex VII is amended in accordance with Annex V to this Directive; 
(6) Annex XI is replaced by the text set out in Annex VI to this Directive; 
(7) Annex XII is replaced by the text set out in Annex VII to  this Directive. 
Article 2 
Transposition  
1. Member States shall bring into force the laws, regulations and administrative 
provisions necessary to comply  with the Directive by […] [ insert date 12 months 
after the publication of the Directive ] at the latest. They shall forthwith communicate 
to the Commission the text  of those provisions.  
When Member States adopt those provisions,  they shall contain a reference to this 
Directive or be accompanied by such a reference on the occasion of their official publication. Member States shall determine how such reference is to be made.  
2. Member States shall communicate to the Commission the text of the main provisions 
of national law which they adopt in the field covered by this Directive. 
Article 3 
Entry into force  
This Directive shall enter into force on the tw entieth 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,  
 For the Commission 
 The President    
EN 6   EN 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 refe rring 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 St age IIIB and Stage IV are the following: 
 (a) control conditions for Stage III B engines:  (i) an altitude not exceed ing 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 temp erature above 343 K (70 °C).  
Where the auxiliary emission control stra tegy is activated when the engine is 
operating within the control cond itions 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 gr eater 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 specifie d atmospheric pressure: T
c = -0.4514 · (101.3 – 
pb) + 311, where: Tc is the calculated ambient air temperature, K and Pb 
is the atmospheric pressure, kPa. 
 (iii) the engine coolant te mperature above 343 K (70 °C). 
Where the auxiliary emission control stra tegy is activated when the engine is 
operating within the control cond itions set out in points (i),  (ii) and (iii), the strategy 
shall only be activated when demonstrated to be necessary for the purposes identified 
in section 8.3.2.3. and approved by the Type Approval Authority. 
 (c) cold temperature operation  
EN 7   EN By derogation from the requirements of poi nt (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 be low 275 K (2 °C) and if one of the two 
following criteria is met: 
(i) intake manifold temperature is less th an or equal to the temperature defined by 
the following equation: IMT c = PIM / 15.75 + 304.4, where: IMT c is the 
calculated intake manifold temperature, K and PIM is the absolute intake 
manifold pressure in kPa; 
(ii) engine coolant temperature is less th an or equal to the temperature defined by 
the following equation: ECT c = PIM / 14.004 + 325.8, where: ECT c is the 
calculated engine coolant temperature, K and PIM is the absolute intake 
manifold pressure, kPa."  
(3) in section 8.3.2.3, point (b) is replaced by the following: 
"(b) for operational safety reasons;" (4) the title of section 8.4 is replaced by the following: "Requirements on 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 informa tion that fully describes the functional 
operational characteristics of the NOx cont rol measures using the documents set out 
in section 2 of Appendix 1 to Annex II and in section 2 of Appendix 3 to Annex II.  
8.5.2. The engine emission control strategy sha ll be operational under all environmental 
conditions regularly pertaining in the territ ory of the Community, especially at low 
ambient temperatures. This requirement is  not restricted to the conditions under 
which a base emission control strategy mu st be used as spec ified in paragraph 
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 in side the containers must be included. The 
sampling point must be easily accessible wit hout requiring the use of any specialised 
tool or device. 
8.5.5. The type approval shall be made conditiona l, in accordance with Article 4(3), upon 
the following: 
(a) providing to each operato r of non-road mobile machinery written maintenance 
instructions;  
EN 8   EN (b) providing to the OEM installation docum ents for the engine, inclusive of the 
emission control system that is pa rt 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 of 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 thre e random load and speed points within the 
control area for testing. The t echnical service sha ll 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 poi nt 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 Anne x III, chooses to 
use the procedure of Annex 4B of UNECE Regulation No 96.03 series of amendments the test shall be carried out as follows: 
(a) the test shall be carried out immediatel y after the discrete mode test cycles as 
described in paragraph 7.8.1.2. of Annex 4B of UNECE Regulation No 96.03 series of amendments (a) to (e) but befo re the post test procedures (f) or after 
the RMC test in paragraph 7.8.2.2. of Annex 4B of UNECE Regulation No 
96.03 series of amendments (a) to (d) but before the post test procedures (e) as 
relevant;  
(b) the tests shall be carried out as requi red in parts (b) to (e) of paragraph 7.8.1.2. 
of Annex 4B of UNECE Regulation No 96.03 series of amendments using the 
multiple filter method (one filter for ea ch test point) for each of the three 
chosen test points; 
(c) a specific emission value shall be calc ulated (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 shoul d be consistent with the method 
used for the discrete mode or RMC test;  
EN 9   EN (e) for gaseous summation calculations the N mode shall be set to 1 and a weighting 
factor to 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 weigh ting factor of 1 shall be used. 
8.7 Verifying Emissions of Crankcase Gases for stage IV engines 8.7.1. No crankcase emissions shall be discharged directly into the ambient atmosphere, 
with the exception given in paragraph 8.7.3. 
8.7.2. Engines may discharge cra nkcase emissions into the e xhaust upstream of any after 
treatment device dur ing all operation. 
8.7.3. Engines equipped with tur bochargers, pumps, blowers, or superchargers for air 
induction may discharge crankc ase emissions to the ambient atmosphere. In this case 
the crankcase emissions shall be added to th e exhaust emissions (e ither physically or 
mathematically) during all emission testi ng in accordance with paragraph 8.7.3.1. of 
this section. 
8.7.3.1. Crankcase emissions  No crankcase emissions shall be discharg ed directly into the ambient atmosphere, 
with the following exception: engines equippe d with turbochargers, pumps, blowers, 
or superchargers for air induction may disc harge crankcase emissions to the ambient 
atmosphere if the emissions are added to th e 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 in to the exhaust upstream of exhaust aftertreatment 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-walle d, electrically conductiv e, and not  reactive 
with crankcase emissions. Tube lengths shall be minimized as far as possible; 
(b) the number of bends in the laboratory cr ankcase tubing shall be minimized, and the 
radius of any unavoidable bend shall be maximized; 
(c) the laboratory crankcase exhaust tubi ng shall meet the engine manufacturer's 
specifications for crankcase back pressure; 
(d) the crankcase exhaust tubi ng shall connect into the ra w exhaust downstream of any 
aftertreatment system, dow nstream of any installed exhaust restriction, and 
sufficiently upstream of any sample probe s to ensure complete mixing with the 
engine's exhaust before sampling. The cra nkcase exhaust tube shall extend into the 
free stream of exhaust to avoid boundary-l ayer effects and to promote mixing. The 
crankcase exhaust tube's outlet may orient in  any direction relative  to the raw exhaust 
flow.  
EN 10   EN (6) the following section 9 is added:  
"9. SELECTION OF E NGINE POWER CATEGORY 
9.1 For the purposes of establishing the conform ity of variable speed engines defined by 
section 1.A.(i) and 1.A.(iv) of  this Annex with the emissi on limits given in section 4 
of this Annex they shall be allocated to power bands on th e 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 rate d net power shall be used." 
(7) the following Appendices 1 and 2 are added:  
"Appendix 1 
REQUIREMENTS TO ENSURE THE CORRE CT OPERATION OF NOx CONTROL 
MEASURES 
1. Introduction 
This Annex sets out the requirements to ensure the correct operation of NO x control 
measures. It includes requirements for engine s 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. 
"NO x Control Malfunction (NCM)"  means an attempt to tamper with the NO x control 
system of an engine or a malfunction aff ecting that system that might be due to 
tampering, that is considered by this Di rective 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  
EN 11   EN The engine system shall be equipped with a NO x Control Diagnostic system (NCD) 
able to identify the NOx control malfunctions (NCMs) considered by this Annex. Any engine system covered by this sect ion shall be designed, constructed and 
installed so as to be capab le 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 2.1 of Appendix 5 to Annex III of this Directive show some 
deterioration in the performance and the sensitivity of the NOx  Control Diagnostic 
system (NCD), such that the thresholds specified in this A nnex 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 reag ent, the charac teristics 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 sp ecified by the manufacturer, in section 
2.2.1.13. of Appendix 1 and in section 2.2.1.13. of Appendix 3 to Annex II.  
2.1.2. Detailed written information fully descri bing 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 provi de 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 document ation shall include the detailed technical 
requirements and the provisions of the e ngine system (software, hardware, and 
communication) needed for the correct installation of the engine system in the machine. 
2.2. Operating conditions 2.2.1. The NOx control diagnostic system shall be operational at the following 
[conditions?]: 
(a) ambient temperatures between 266 K and 308 K (-7°C and 35°C); (b) all altitudes below 1600 m; (c) engine coolant temperat ures above 343 K (70°C). 
This section does 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  
EN 12   EN 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 sha ll be available for use within a maximum of 
70 minutes after the start of the engine at 266 K (- 7 °C) ambient temperature. 
2.3.2.2. Design criteria for a heated system 
A heated system shall be so designed that  it meets the performance requirements set 
out in this section when tested using the procedure defined.  
2.3.2.2.1. The reagent tank and dosing system shall be soaked at 255 K (- 18°C) for 72 
hours or until the reagent becomes solid, whichever occurs first.  
2.3.2.2.2. After the soak period in paragrap h 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 mo re than 40 per cent of rated load. . 
2.3.2.2.3. At the conclusion of the test pr ocedure 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 i nducement system for a non-heated system 
2.3.3.1. The operator warning system described in  paragraph 4 shall be  activated if no 
reagent dosing occurs at an ambient temperature ≤ 266 K (- 7°C). 
2.3.3.2. The severe inducement system described in  paragraph 5.4. shall be activated if no 
reagent dosing occurs within a maximum of  70 minutes after engine start at an 
ambient temperature ≤ 266 K (- 7°C). 
2.4. Diagnostic requirements 2.4.1 The NOx Control Diagnostic system (NCD) shall be able to id entify the NOx control 
malfunctions (NCMs) consid ered by this Annex by m eans of Diagnostic Trouble 
Codes (DTCs) stored in the computer me mory and to communicate that information 
off-board upon request. 
2.4.2 Requirements for recording Di agnostic Trouble Codes (DTCs)  
EN 13   EN 2.4.2.1 The NCD system shall record a DTC for each distinct NOx Control Malfunction 
(NCM). 
2.4.2.2 The NCD system shall conclude whether a detectable malfunction is present within 
60 minutes of engine operation. At this tim e, 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 runni ng time is required for the monitors to 
accurately detect and confirm a NCM (e.g. mon itors using statistical models or with 
respect to fluid consumption on the mach ine), 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 mach ine during the actual life of the engine, 
nor shall the system contain any algor ithm 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 responsib le for determining the composition of an NCD engine 
family. Grouping engine systems within an NCD engine family shall be based on 
good engineering judgment and be subject to approval by the Approval Authority. 
Engines that do not belong to the same engine family may still belong to the same 
NCD engine family. 
2.4.6.1. Parameters defining an  NCD engine family 
An NCD engine family is characterized by basic design parameters that shall be 
common to engine systems within the family. 
In order that engine systems are consid ered 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;  
EN 14   EN (c) criteria for NCD monitoring; 
(d) monitoring parameters (e.g. frequency). These similarities shall be demonstrated by  the manufacturer by means of relevant 
engineering demonstration or other appr opriate 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 thes e methods are considered similar by the 
manufacturer and they differ only in order to match speci fic characteristics of the 
components under consideration (for example size, exhaust flow, etc.); or their 
similarities are based on good engineering judgment.  
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 th e emission control system and its correct 
operation. 
These instructions shall state that if the emission contro l 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 requirement s for the proper use and maintenance of 
engines in order to maintain their emissi ons 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 ma nual on the non-road mobile machinery or 
engine. 
3.4. The instructions shall specify whether consum able 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 i ndicate a likely rate of  reagent consumption 
for the engine type and how often it should be replenished 
3.5. The instructions shall stat e that use of, and refilling of, a required reagent of the 
correct specifications is essential in or der for the engine to comply with the 
requirements for the issuing of the ty pe approval for that engine type. 
3.6. The instructions shall explain how th e operator warning an d inducement systems 
work. In addition, the consequences, in te rms 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  
EN 15   EN 4.1. The machine shall include an operator wa rning system using visual alarms that 
informs the operator when a low reagent leve l, incorrect reagent quality, interruption 
of dosing or a malfunction of th e type specified in paragrap h 9 has been detected that 
will lead to activation of the operator indu cement system if not rectified in a timely 
manner. The warning system shall remain active when the operator inducement system described in paragr aph 5 has been activated. 
4.2. The warning shall not be the same as  the warning used for the purposes of 
malfunction or other engine maintenan ce, 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 exam ple, messages indicating clearly: 
- the remaining time before activation of the low-level and/or severe 
inducements, 
- the amount of low-level and/or severe inducement, for example the amount of 
torque reduction, 
- the conditions under which machine disablement can be cleared. Where messages are displayed, the system used for displaying these messages may 
be the same as the one used for other maintenance purposes. 
4.4. At the choice of the manufacturer, the warning system may include an audible 
component to alert the operator. The cancel ling of audible warnings by the operator 
is permitted.  
4.5. The operator warning system shall be ac tivated 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 reas on 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-approva l under this Directiv e, 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:  
EN 16   EN 5.1.1. a two-stage inducement system starting with a low-level inducement (performance 
restriction) followed by a severe inducem ent (effective disabl ement of machine 
operation); 
5.1.2. a one-stage severe inducem ent system (effective disablement of machine operation) 
activated under the conditions of a low-le vel 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 au thority, the engine ma y be fitted with a 
means to disable the operator inducemen t during an emergency declared by a 
national or regional government, their emer gency 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 figu re 1. The rate of torque 
reduction shall be a minimum of 1% per minute. 
5.3.3. Other inducement measures that are demons trated to the type a pproval authority as 
having the same or greater level of severity may be used. 
Figure 1: Low-level inducemen t torque reduction scheme 
5.4. Severe inducement system 5.4.1. The severe inducement system shall be activ ated after any of th e 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 ope rator 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 indu cement torque in figure 1 by a minimum of 
1 per cent per minute to 50 pe r cent of maximum torque or lower and engine speed  
EN 17   EN 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 demons trated to the type a pproval 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 re leasing full engine power is permitted 
provided it 
- is active for no longer than 30 minutes, and - is limited to 3 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 sy stem 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-approva l under this Directiv e, the manufacturer 
shall demonstrate the operation of the ope rator 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 th at 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 anal ogue or digital display, and may show the  
EN 18   EN level as a proportion of the fu ll 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 cap acity of the reagent tank or a higher 
percentage at the choice of the manufacturer. 
6.2.2. The warning provided shall be sufficiently  clear, in conjunction with the reagent 
indicator, for the operator to understand th at the reagent level is low. When the 
warning system includes a message display sy stem, 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 th e operator inducement system will come 
into effect is approached (for example fr equency 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 noti ceable 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 AdBlu e”, 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 leve l 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, 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 thei r respective activation. 
7. Reagent quality monitoring  
EN 19   EN 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 minimu m acceptable reagent concentration CDmin, 
which results in tailpipe NOx emissions not exceeding a threshold of 0.9 g/kWh. 
7.1.1.1. The correct value of CDmin shall be demonstrated during type approval by the 
procedure defined in section 12 and record ed in the extended documentation package 
as specified in section 8 of Annex I. 
7.1.2. Any reagent concentration lower than CDmi n 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 count er") shall be attri buted 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 re agent quality failure together with one 
or more of the failures listed in s ections 8 and 9 into a single counter. 
7.1.4. Details of the reagent quality counter activation and deactiv ation criteria and 
mechanisms are described in section 11. 
7.2. Activation of the operator warning system 
When the monitoring system confirms that th e 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 “incorre ct urea detected”, “incorrect AdBlue 
detected”, or “incorrect reagent detected”). 
7.3 Activation of the operator inducement system 7.3.1. The low-level inducement system described in  paragraph 5.3. shall be activated if the 
reagent quality is not rec tified within a maximum of 10 engine operating hours after 
the activation of the ope rator 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 rec tified within a maximum of 20 engine operating hours after 
the activation of the ope rator 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 th e 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  
EN 20   EN 8.2.1. A specific counter shall be attributed to  the dosing activity (the "dosing activity 
counter"). The counter shall count the numbe r 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 engi ne ECU because the machine operating 
conditions are such that the machine's em ission 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 s ections 7 and 9 into a single counter. 
8.2.2. Details of the reagent dosing activity count er activation and deactivation criteria and 
mechanisms are described in section 11. 
8.3. Activation of the operator warning system 
The operator warning system de scribed 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 r ectified within a maximum of 10 engine 
operating hours after the activ ation 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 r ectified within a maximum of 20 engine 
operating hours after the activ ation 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 th e 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 r eagent quality, and the 
interruption of dosing, the following failures shall be monitored because they may be 
attributed to tampering: 
(i) impeded EGR valve; (ii) failures of the NOx Control Diag nostic (NCD) system, as described in 
paragraph 9.2.1. 
9.2. Monitoring requirements 9.2.1. The NOx Control Diagnostic (NCD) system shall be monitored for electrical failures 
and for removal or deactivati on of any sensor th at prevents it from diagnosing any 
other failures mentioned in paragr aphs 6 to 8 (component monitoring).  
EN 21   EN A non-exhaustive list of sensor s that affect the diagnos tic capability are those 
directly measuring NOx concentration, urea  quality sensors, ambient sensors and 
sensors used for monitoring reagent dosi ng activity, reagent level, or reagent 
consumption. 
9.2.2. EGR valve counter 9.2.2.1. A specific counter shall be attributed to an impeded EGR valve. The EGR valve 
counter shall count the number of engine  operating hours when the DTC associated 
to an impeded EGR valve is confirmed to be active. 
9.2.2.1.1. Optionally, the manufacturer may group the impeded EGR valve failure 
together with one or more of the failures list ed in sections 7, 8 and 9.2.3. into a single 
counter. 
9.2.2.2. Details of the EGR valve counter ac tivation and deactiv ation criteria and 
mechanisms are described in section 11. 
9.2.3. NCD system counter(s) 9.2.3.1. A specific counter shall be at tributed to each of the mon itoring failures considered in 
paragraph 9.1 (ii). The NCD system count ers 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 s ections 7, 8 and 9.2.2. into a single counter. 
9.2.3.2. Details of the NCD system counter(s) activation and deacti vation criteria and 
mechanisms are described in section 11.  
9.3. Activation of the operator warning system 
The operator warning system described in pa ragraph 4. shall be activated in case any 
of the failures specified in paragraph 9.1. o ccur, and shall indicate that an urgent 
repair is required. When the warning syst em includes a message display system, it 
shall display a message indicating either  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. shal l be activated if a 
failure specified in paragraph 9.1. is not rectified within a ma ximum of 36 engine 
operating hours after the activ ation 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 activ ation 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 th e malfunction according to the mechanism 
described in section 11.  
EN 22   EN 9.5. As an alternative to the requirements in  9.2., the manufacturer may use a NOx 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 A nnex shall be demonstrat ed 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 th e demonstration process according to the 
provisions in sections 10.3 and 10.4 of this Appendix 
Mechanism demonstration elements 
Warning system 
activation specified in 
section 10.3 of this 
Appendix • 2 activation tests (incl. lack of reagent) 
• Supplementary demonstration elements, as 
appropriate 
Low-level inducement 
activation specified in 
section 10.4 of this 
Appendix • 2 activation tests (incl. lack of reagent) 
• Supplementary demonstration elements, as 
appropriate 
• 1 torque reduction test  
Severe inducement 
activation specified in 
section 10.4.6 of this 
Appendix • 2 activation tests (incl. lack of reagent) 
• Supplementary demonstration elements, as 
appropriate 
 
 10. 2. ENGINE FAMILIES AND NCD ENGINE FAMILIES   
EN 23   EN 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 a pproval 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 pr esenting to the approval authorities such 
elements as algorithms, functional analyses, etc.  
10.2.2. The test engine is selected by the ma nufacturer in agreement with the approval 
authority. It may or may not be the pare nt 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 accord ing to paragraph 10.2.1 (Figure 3), the 
compliance of that engine family is deemed to be demonstrated without further testing, provided the manufactur er demonstrates to the au thority that the monitoring 
systems necessary for complying with the requirements of this Annex are similar 
within the considered engine and NCD engine families. 
 
Engine 
family 1  Engine 
family 2
NCD engine family 1Conformity of NCD engine family 1 
has been demonstrated 
for Engine family 2Conformity of Engine 
family 1 is considered
as demonstrated
 
Figure 3: Previously demonstrated c onformity of an NCD engine family 
10.3. DEMONSTRATION OF THE WA RNING 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 c onsidered 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 demonstr ating the activation of the warning system in case of a 
wrong reagent quality, a reagent shall be selected with a d ilution of the active  
EN 24   EN ingredient at least as dilute as that communicated by the manufacturer according to 
the requirements of section 7 of this Annex  
10.3.2.2. For the purpose of demonstrating the activat ion of the warning system in case of 
failures that may be attributed to tamper ing, and are defined in section 9 of this 
Annex the selection shall be performed acco rding to the following requirements:  
10.3.2.2.1. The manufacturer shall provide the a pproval 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 sepa rate 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 th e approval authority, 
the failures subject to te sting may be simulated.  
10.3.3.5. Detection of failures othe r 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 in troduction of a failu re selected as 
appropriate by the type approval authority in accordance to the provisions of this 
Appendix. This is considered to be demons trated if activation occurs within two 
consecutive NCD test-cycles accordi ng to paragraph 10.3.3.7 of this Appendix. 
 When it has been specified in the monito ring description and ag reed by the Approval 
Authority that a specific monitor needs more than two NCD test-cycles to complete its monitoring, the number of NCD test-cyc les may be increased to 3 NCD test-
cycles.  
 Each individual NCD test-cycle in the de monstration test may be separated by an 
engine shut-off. The time until the next st art-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 demonstr ation test performed according to section 
10.3.2.1, the warning system has been prop erly 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 availability  
EN 25   EN  For the purpose of demonstrating the activa tion of the warning system in case of lack 
of reagent availability, the engine system shall be operated over one or more NCD test cycles at the discre tion of the manufacturer.  
10.3.3.6.1. The demonstration shall start with a leve l of reagent in the tank to be agreed 
between the manufacturer and the approval authority but repres enting 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 capac ity of the reagent tank, and  
(b) the "continuous" wa rning 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 w ith 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, simu lation, test results, 
etc.) demonstrating: 
(a) the requested test-cycle results in a m onitor that will run in  real world driving, 
and; 
(b) the applicable NCD test-cycle specif ied 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 ac tivation 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  10.4.1. The demonstration of the inducement syst em shall be done by tests performed on an 
engine test bench.  
10.4.1.1. Any components or sub-systems not physic ally mounted on the engine system, such 
as, but not limited to, ambient temperatur e sensors, level se nsors, and operator 
warning and information systems, that are required in order to perform the 
demonstrations shall be connected to the engi ne 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 performe d on a complete machine or machinery  
EN 26   EN 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 ac tivation of the inducement system in case 
of lack of reagent and in cas e of one of the failures define d 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 a ddition 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,  
(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 reduc tion 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 demons trated 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 de monstration tests desc ribed 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 al gorithms, functional analyses, 
and the result of previous tests.  
10.4.4.1. These additional demonstrations  shall in particular demons trate to the sa tisfaction 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 activat ed as a result of the detection of a 
failure selected by the approval authority.  
10.4.5.2. When the system is being ch ecked for its reaction to the case of lack of reagent in the 
tank, the engine system shall be run until th e reagent availability has reached a value 
of 2.5 per cent of the tank nominal full capac ity of the tank or the value declared by 
the manufacturer in accordance with secti on 6.3.1 of this Anne x at which the low-
level inducement system is intended to operate.   
EN 27   EN 10.4.5.2.1. The manufacturer may, with the agreemen t 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 th is Appendix or, at the choice of the 
manufacturer, until the releva nt counter has reached the value at which the low-level 
inducement system is activated.  
10.4.5.4. The demonstration of the low level indu cement system shall be deemed to be 
accomplished if, at the end of each demons tration 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 activat ed the torque reduction mechanism.  
10.4.6. Demonstration test of the severe inducement system  10.4.6.1. This demonstration shall start from a condition where the low-level inducement 
system has been previously activated and may be performed as a continuation of the 
tests undertaken to demonstrate the low-level inducement system.  
10.4.6.2. When the system is checked for its reaction in the case of lack of reagent in the tank, 
the engine system shall be run until the reagent tank is empty, or has reached the 
level below 2.5 per cent of nominal full capacity of the tank at which the manufacturer has declared to activ ate the severe inducement system.  
10.4.6.2.1. The manufacturer may, with the agreemen t 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 engi ne system shall then be r un for the relevant number of 
operating hours indicated in Table 3 of th is 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 indu cement system shall be deemed to be 
accomplished if, at the end of each demons tration 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 inducem ent mechanism considered in this Annex 
has been activated. 
10.4.7. Alternatively, if the manuf acturer chooses, and subject to the agreement of the 
approval authority, the demonstration of  the inducement mechanisms may be 
performed on a complete machine in accord ance with the requirements of section 
5.4, either by mounting the machine on a suitab le test bed or by r unning it on a test 
track under controlled conditions. 
10.4.7.1. The machine shall be operated until the c ounter 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  
EN 28   EN level below 2.5 per cent of nominal full capacity of the tank at which the 
manufacturer has chosen to activate the severe inducement system. 
11. DESCRIPTION OF THE OPERAT OR WARNING AND INDUCEMENT 
ACTIVATION AND DEAC TIVATION MECHANISMS 
11.1 To complement the requirements specified  in this Annex concerning the warning and 
inducement activation and deactivation mech anisms, this section 11 specifies the 
technical requirements for an implementa tion of those activat ion and deactivation 
mechanisms.  
11.2. Activation and deactivation mechan isms of the warning system  
11.2.1. The operator warning system shall be ac tivated when the diagnostic trouble code 
(DTC) associated with a NCM justifying its activation has the status defined in Table 
2 of this Appendix.  
Table 2: Activation of the operator warning system  
Failure type DTC status for 
activation of the 
warning system  
poor reagent quality confirmed and 
active 
interruption of dosing  confirmed and 
active 
impeded EGR valve confirmed and 
active 
malfunction of the monitoring system  confirmed and 
active 
NOx threshold, if applicable confirmed and 
active 
11.2.2. The operator warning system shall be deactivated when the diagnosis system 
concludes that the malfunction relevant to that warning is no longer present or when 
the information including DTCs relative to the failures justifying its activation is erased by a scan tool. 
11.2.2.1 Requirements for erasing "NOx control information" 11.2.2.1.1. Erasing / resetting "NOx cont rol information" by a scan-tool 
On request of the scan tool, the following da ta shall be erased or reset to the value 
specified in this Appendix from the computer memory (see Table 3). 
Table 3: Erasing / resetting "NOx c ontrol information"  by a scan-tool  
EN 29   EN NO x control information Erasable Resetable  
all DTCs X  
the value of the counter with the highest number of engine 
operating hours  X 
the number of engine operating hours from the NCD counter(s)  X 
11.2.2.1.2. NO x control information shall not be er ased 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 "NOx control information" including DTCs are erased, any counter 
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 jus tifying their activation have 
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 activa tion, or if the information including the 
DTCs relative to the NCMs justifying its activ ation has been erased  by a scan tool or 
maintenance tool.  
11.3.3. The operator warning and inducement syst ems shall be immediately activated or 
deactivated as appropriate acco rding to the provisions of s ection 6 of this Annex after 
assessment of the reagent quantity in the r eagent tank. In that cas e, 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 sha ll contain at least 4 
counters to record the numb er 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.   
EN 30   EN 11.4.1.1.1. Optionally, the manufacturer may use one  or more counters for grouping the 
failures indicated in section 11.4.1.1. 
11.4.1.2. Each of the counters shall count up to  the maximum value provided in a 2 byte 
counter with 1 hour resolution and hold th at 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 multip le NCD system counters. A single counter 
may accumulate the number of hours of 2 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 sp ecific monitoring syst em 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 sh all 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 st ops counting when the severe inducement system is 
active, the counter sh all be kept frozen at the valu e 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 of 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 m onitoring system counter, that  counter shall continue 
counting if a NCM relevant to  that counter has been de tected and its corresponding 
Diagnostic trouble code (DTC) has the status "confirmed and active". It shall halt and 
hold one of the values speci fied in section 11.4.2.1.2, if no NCM that would justify 
the counter activation is detect ed or if all the failures rele vant to that counter have 
been erased by a scan tool or a maintenance tool.  
Table 4: Counters and inducement  
 DTC status for 
first activation 
of the counter  counter value 
for low-level 
inducement counter value 
for  
severe Frozen value held 
by the counter   
EN 31   EN  inducement 
reagent quality 
counter confirmed and 
active ≤ 10 hours ≤ 20 hours ≥ 90% of counter 
value for severe 
inducement 
dosing counter confirmed and 
active ≤ 10 hours ≤ 20 hours ≥ 90% of counter 
value for severe 
inducement 
EGR valve counter confirmed and 
active ≤ 36 hours ≤ 100 hours ≥ 95% of counter 
value for severe 
inducement 
monitoring system counter confirmed and 
active ≤ 36 hours ≤ 100 hours ≥ 95% of counter 
value for severe 
inducement 
NOx threshold, if applicable confirmed and 
active ≤ 10 hours ≤ 20 hours ≥ 90% of counter 
value for severe 
inducement 
11.4.2.1.4. Once frozen, the counter shall be reset to zero when the mon itors relevant to 
that counter have run at least once to co mpletion of their monitoring cycle without 
having detected a malfunction and no malfunc tion relevant to that counter has been 
detected during 40 engine ope rating 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 d eactivation and counter mechanisms  
11.5.1. This paragraph illustrates the activation a nd deactivation and counter mechanisms for 
some typical cases. The figures and desc riptions 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 e ither 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 wa rning system will also be active when the 
inducement system is active has not been  mentioned in the illustrations given.  
EN 32   EN 40 operating
hours< 40 op. hours
YES
NOCounterfreeze
value
repair40 operating
hours> 40 op. hours
repairFailure0
 
Figure 4: Reactivation and resetti ng 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 con tinues 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.  
EN 33   EN level of
reagent10%
EMPTYInducementLOW-LEVEL
NOWARNINGSEVERE
"continuous"
WARNING
X%
refilling
(case 1) refilling
(case 2)2.5%
refilling
(case 3)refilling
(case 4)
 
Figure 5 - Reagent availability 
11.5.3. Figure 6 illustrates three cases  of wrong reagent quality:  
– use case 1: the operator conti nues 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 disablem ent of the machine, the operator rectifies 
the quality of the reagent. However some time afterwards, he refills again with a 
poor quality reagent. The wa rning, inducement and countin g processes restart from 
zero.  
EN 34   EN 40 operating
hours< 40 op. hours > 40 op. hoursWrong ureaYES
NOCounter InducementLOW-LEVEL
NOWARNINGSEVERE10 hrs20 hrs
18 hrs
repair repair
repair
(case 1)repair
(case 2)
 
Figure 6 - Filling with poor reagent quality 
11.5.4. Figure 7 illustrates three cases  of failure of the urea dos ing 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 conti nues operating the machine in spite of the warning until 
machine operation is disabled.  
– repair case 1 ("good" repair): after disablem ent of the machine, the operator repairs 
the dosing system. However some time afte rwards, 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 ha d at the time of repair.  
EN 35   EN 40 operating
hours< 40 op. hours
YES
NOCounter InducementLOW-LEVEL
NOWARNINGSEVERE10 hrs20 hrs
18 hrs
repair
repair
(case 1)repair
(case 2)40 operating
hours> 40 op. hours
repairDosing system 
not working
 
Figure 7 - Failure of th e reagent dosing system 
12. DEMONSTRATION OF THE MINIMUM ACCEPTABLE 
REAGENTCONCENTRATION CD min 
12.1. The manufacturer shall demons trate the correct value of CD min during type approval 
by performing the hot part of the NRTC cycl e using a reagent with the concentration 
CD min.  
12.2. The test shall follow the appropriate NC D cycle(s) or manufa cturer 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 re sulting from this test sh all be lower than the NOx 
threshold specified in section 7.1.1 of this Annex.  
  
Appendix 2 
 Control Area requirements for stage IV engines 1. Engine control area  
The control area (see Figure 1) is defined as follows: 
speed range: speed A to high speed;  
EN 36   EN where: 
speed A = low speed + 15% (high speed - low speed); High speed and Low speed as defined in A nnex III or, if the manufacturer, based on 
the option indicated in section 1.2.1. of A nnex III, chooses to use the procedure of 
Annex 4B of UNECE Regulation No 96.03 seri es of amendments the definition of 
paragraph 2.1.33 and 2.1.37 of the definitions  of UNECE Regulation No 96.03 series 
of amendments shall be used.  
If the measured engine speeds A, is within  ±3 % of the engine speed declared by the 
manufacturer, the declared engine speeds sha ll 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 conditi ons 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 T echnical Service exclude s operating points 
from the control area defined in sec tion 1 and 2 of this Appendix during the 
certification/type approval. The Technical Service may grant this exclusion if the 
manufacturer can demonstrate that the engi ne is never capable of operating at such 
points when used in any machine combination. 
 
Figure 1. Control area" 
EN 37   EN ANNEX II 
Annex II to Directive 97/68/EC is amended as follows: 
(1) Appendix 1 is amended as follows:  
(a) the heading of s ection 3 is replaced by the following: 
"FUEL FEED FOR DIESEL ENGINES" 
(b) section 4 is replaced by the following 
"4. VALVE TIMING 4.1. Maximum lift and angles of opening and closing in relation to dead centres or 
equivalent data: 
…………………………………………………………………………………………. 4.2. Reference and/or setting ranges (*) 4.3. Variable valve timing system (if applicab le and where intake and/or exhaust)  
4.3.1. Type: continuous or on/off (*) 4.3.2. Cam phase shift angle: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  ______________________________ (*) Strike out what does not apply. " 
(c) the following sections 5, 6 and 7 are added: 
"5. FUEL FEED FOR PETROL ENGINES (*) 5.1. Carburettor: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  
5.1.1. Make(s): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  5.1.2. Type(s): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  
5.2. Port fuel injection: single-point  or multi-point: . . . . . . . . . . . . . . . . . . . . . . . . . .  
5.2.1. Make(s): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  5.2.2. Type(s): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  5.3. Direct injection: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  5.3.1. Make(s): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  5.3.2. Type(s): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .   
EN 38   EN 5.4. Fuel flow [g/h] and air/fuel ratio at rated speed and wide open throttle: 
6. PORTING CONFIGURATION  6.1. Position, size and number: 7. IGNITION SYSTEM  7.1. Ignition coil  
7.1.1. Make(s): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .   
7.1.2. Type(s): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .   
7.1.3. Number: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  
7.2. Spark plug(s): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  7.2.1. Make(s): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .   
7.2.2. Type(s): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .   
7.3. Magneto: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .   
7.3.1. Make(s): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .   
7.3.2. Type(s): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .   
7.4. Ignition timing: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  7.4.1. Static advance with respect to top dead centre [crank angle degrees] . . . . . . . . .  
7.4.2. Advance curve, if applic able: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . .  
______________________________ 
(*) 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: 
"  
EN 39   EN  Parent 
Engine 
(*) Engines within family (**) 
Engine Type      
No. of cylinders      
Rated speed (min-1)      
Fuel delivery per stroke 
(mm3) for diesel engines, fuel 
flow (g/h) for petrol engines, at rated net power      
Rated net power (kW)      
Maximum power speed 
(min-1)      
Maximum net power (kW)      
Maximum torque speed 
(min-1)      
Fuel delivery per stroke 
(mm3) for diesel engines, fuel 
flow (g/h) for petrol engines, at maximum torque      
Maximum torque (Nm)      
Low idle speed (min-1)      
Cylinder displacement (in % 
of parent engine) 100     
______________________________ 
(*) For full details see Appendix 1. (**) For full details see Appendix 3." 
ANNEX III  
Annex III to Directive 97/68/EC is amended as follows: 
(1) section 1.2 is replaced by the following: "1.2. Selection of test procedure  
EN 40   EN The test shall be carried out with the e ngine 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 w ith the procedure in this Annex or, at the 
choice of the manufacturer, the test proce dure as specified in Annex 4B of UNECE 
Regulation No 96.03 series of amendments shall be applied. 
[In addition the following requirements apply:  (i) durability requirements as set ou t in Appendix 5 of this Annex; 
(ii) engine control area provisions as se t out in section 8.6 of Annex I (stage IV 
engines only); 
(iii) CO
2 reporting requirements as set out in Appendix 6 of this Annex for engines 
tested according to the procedure in this Annex. In case of engines tested according to the procedure in Annex 4B  of UNECE Regulation No 96.03 series 
of amendments, Appendix 7 of  this Annex shall apply; 
(iv) the reference fuel in Annex V of this Directive shall be used for engines tested 
according to the requirements in this Annex. The reference fuel in Annex V of this Directive shall be used in cas e of engines tested according to the 
requirements in Annex 4B of UNE CE 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 specifi ed in Annex 4B of UNECE Regulation No 96.03 series of 
amendments for testing engines of stages I, II, II IA 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 DURABI LITY 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 Deteriorat ion Factor (DF) valu e for each regulated 
pollutant for all Stage IIIA and IIIB engine familie s. 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 con duct 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  
EN 41   EN deterioration. The durability test  period should typically represen t the equivalent of at least 
one quarter of the emissi on 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 te st 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 emi ssion sensitive components can be serviced or 
replaced other than to the routine service schedule reco mmended by the manufacturer. 
The test engine, subsystems, or components to be used to dete rmine 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 dete rioration characteristic of the 
engine families that will apply the resulting DF values for certification approval. Engines of 
different bore and stroke, different  configuration, different air management systems, different 
fuel systems can be consider ed as equivalent in respec t 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 equivalen ce with respect to emissions de terioration, and evidence that 
the tests have been carried according to the sp ecified requirements. Emissions testing will be 
performed according to the procedures defined in th is Directive for the test engine after initial 
run-in but before any service accumulation, and at the completion of the durability. Emission 
tests can also be performed at intervals du ring the service accumulation test period, and 
applied in determining the deterioration trend. 
1.1.1.2. The service accumulation te sts or the emissions tests performed to determine 
deterioration must not be witne ssed 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 th e 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 record ed 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 relativ e to the NOx+HC standard, for an additive DF, 
this is determined based on the sum of th e pollutants notwithstan ding that a negative 
deterioration for one pollutant may not offset deterioration for the other. For a multiplicative NOx+HC DF, separate HC and NOx DFs shall be  determined and app lied separately when 
calculating the deteriorated emission levels from an emissions test result before combining the 
resultant deteriorated NOx and HC values to establish compliance with the standard.  
EN 42   EN In cases where the testing is no t conducted for the full EDP, the emission values at the end of 
the EDP is determined by extrapolation of the emission deterioration tr end established for the 
test period, to the full EDP. 
When emissions test results have been record ed periodically during the service accumulation 
durability testing, standard sta tistical 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 th an 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 approva l authority, use DF values 
established from results of durab ility tests conducted to  obtain DF values for certification of 
on-road HD CI engines. This will be allowed if there is technologica l 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 a pproval of the type approval authority. 
1.2. DF information in approval applications 1.2.1. Additive DFs shall be specified for each po llutant in an engine family certification 
application for CI engines not us ing any aftertreatment device. 
1.2.2. Multiplicative DFs shall be specified for each pollutant in an engine family certification 
application for CI engines using an aftertreatment device. 
1.2.3. The manufacture shall furnish the type-appr oval agency on request with information to 
support the DF values. This would typically  include emission test  results, service 
accumulation test schedule, maintenance proce dures together with information to support 
engineering judgements of technolog ical equivalency, if applicable. 
2. VERIFYING THE DURABILITY OF STAGE IV CI ENGINES 
2.1 General 2.1.1. This section shall apply to CI engines St age IV. At the request of the manufacturer it 
may also be applied to CI engines stage IIIA & IIIB as an alternative to the 
requirements in section 1 of this Appendix. 
2.1.2. This section 2 details the procedures for se lecting engines to be tested over a service 
accumulation schedule for the purpose of dete rmining 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 witne ssed by the approval authority.   
EN 43   EN 2.1.4. This section 2 also details the em ission-related and non-emission-related 
maintenance that should be or may be carried out on engines undergoing a service accumulation schedule. Such maintenanc e shall conform to the maintenance 
performed on in-service engines and co mmunicated to owners of new engines. 
2.1.5. At the request of the manufacturer, the t ype-approval authority may allow the use of 
deterioration factors that have been estab lished 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 pr ocedures that have 
been used are no less rigorous than t hose 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 e ngine operation (speed, load, power) to be 
executed during the servi ce accumulation period;  
2.2.2. "Critical emission-relate d 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 asso ciated sensors and actuators, and the EGR 
system including all related filters, coolers, control valves and tubing; 
2.2.3. "Critical emission-re lated maintenance" means the ma intenance 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" m eans 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 whic h does not have a lasting affect on the 
emissions performance deterioration of the machine or the engine during normal in-
use operation once the main tenance is performed; 
2.2.7. "Service accumulation schedule" m eans the ageing cycle and the service 
accumulation period for determining the dete rioration factors for the engine-after-
treatment system family. 
2.3. Selection of engines for establishing emi ssion durability period deterioration factors 
2.3.1. Engines shall be selected from the engine family defined in section 6 to Annex I to 
this Directive for emission testing to establish emission durability period deterioration factors. 
2.3.2. Engines from different engine families ma y be further combined into families based 
on the type of exhaust after-treatment system utilised. In order to place engines with different cylinder configurat ion but having similar tech nical specifications and  
EN 44   EN 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 emi ssions reduction performance of such engine 
systems is similar. 
2.3.3. One engine representing the engine-after-t reatment system family, as determined in 
accordance with paragraph 2.3.2., shall be se lected by the engine manufacturer for 
testing over the service accumulation sche dule defined in paragraph 2.4.2, and shall 
be reported to the type-approval auth ority before any testing commences. 
2.3.3.1. If the type-approval authority decides that  the worst case emi ssions 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 e ngine-after-treatment system family are 
developed from the selected engines base d on a service accumu lation 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 carrie d out at the choice of the manufacturer 
by running a machine equipped with the se lected 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 extent of the du ration 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 te st points where gaseous and particulate 
emissions will be measured over the hot  NRTC and NRSC cycles. The minimum 
number of test points sha ll be three, one at the begi nning, 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 a nd 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 indivi dual emission results from the test points 
may exceed those limit values. 
2.4.2.1.4. At the request of the ma nufacturer 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 cycl e run only at the beginning and at the end of 
the service accumulation schedule.  
EN 45   EN 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 inla nd waterway vessels and engines for the 
propulsion of railcars and locomotives, only th e 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 s horter 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 se rvice 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 ma nufacturer 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-app roval authority before the start of any 
testing. 
2.4.2.2. If the type-approval authority decides th at additional measurements need to be 
performed between the point s selected by the manufact urer it shall notify the 
manufacturer. The revised service accumulation schedule shall be prepared by the manufacturer and agreed by the type-approval authority. 
2.4.3. Engine testing 2.4.3.1. Engine system stabilisation 2.4.3.1.1. For each engine-after-treatment system fa mily, the manufacturer shall determine the 
number of hours of machin e or engine running after which the operation of the 
engine-after-treatment system has stabilised . If requested by th e approval authority 
the manufacturer shall make available the data and analysis used to make this 
determination. As an alternative, the manuf acturer may elect to run the engine or 
machine between 60 and 125 hours or the e quivalent time on the ageing cycle to 
stabilise the engine-after-treatment system. 
2.4.3.1.2. The end of the stabil isation period determined in s ection 2.4.3.1.1 will be deemed to 
be the start of the serv ice accumulation schedule. 
2.4.3.2. Service accumulation testing 2.4.3.2.1. After stabilisation, th e engine shall be run over the service accumulation schedule 
selected by the manufacturer, as described in section 2.3.2. At the periodic intervals 
in the service accumulation schedule dete rmined by the manufacturer, and, where 
appropriate, also stipulated by the type-approval authority in accordance with section  
EN 46   EN 2.4.2.2, the engine shall be tested for gaseous  and particulate emissions over the hot 
NRTC and NRSC cycles. 
The manufacturer may choose 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 e nd 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 propul sion 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 ha ve 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 NR SC) conducted during the service 
accumulation schedule shall be made availabl e to the type-approva l authority. If any 
emission test is declared to be void, the ma nufacturer shall provide  an explanation of 
why the test has been declared  void. In such a case, anot her series of emission tests 
shall be carried out within the following 100 hours of service accumulation. 
2.4.4.2. The manufacturer shall retain  records of all information concerning all the emission 
tests and maintenance carried out on th e engine during the service accumulation 
schedule. This information shall be submitted to the approval authority along with the results of the emission tests conducte d over the service accumulation schedule. 
2.4.5. Determination of deterioration factors 2.4.5.1. For each pollutant measured on the hot NR TC and NRSC cycles at each test point 
during the service accumulation schedule, a “b est 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 fa mily, plus one additional decimal place. 
In accordance with section 2.4.2.1.4. or secti on 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 manufact urer and with the prior appr oval of the type approval 
authority, non linear regression is permitted.   
EN 47   EN 2.4.5.2. The emission values for each pollutant at  the start of the service accumulation 
schedule and at the emission durability peri od end point that is applicable for the 
engine under test shall be calculated from the regressi on equation. If the service 
accumulation schedule is shorter than the emission durability period, the emission values at the emission durability peri od end point shall be determined by 
extrapolation of the regression equa tion as determined in section 2.4.5.1. 
In the case that emission values are used for engine families in the same engine-after-
treatment family but with different emi ssion 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 polluta nt 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 (multipl icative deterioration factor). 
At the request of the manufact urer and with the prior approval of the type-approval 
authority, an additive DF for each polluta nt may be applied. The additive DF is 
defined as the difference between the calcu lated emission values at the emission 
durability period end point and at the st art of the service accumulation schedule. 
An example for determination of DFs by us ing linear regression is shown in figure 1 
for NOx emission. 
Mixing of multiplicative and additive DFs within one set of pollutants is not 
permitted.  
If the calculation results in a value of le ss than 1.00 for a multiplicative DF, or less 
than 0.00 for an additive DF, then the de terioration 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 poi nt and the other test cycle (hot NRTC or 
NRSC) run only at the beginni ng 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. 
 
0,200,250,300,350,400,450,50
0 1000 2000 3000 4000 5000 6000 7000 8000Emission Durability Period (EDP) [h]NOx [g/kWh]Limit value
0,352 g/kWh0,390 g/kWh
Multiplicative DF = 0,390 / 0,352 = 1,109
Additive DF        = 0,390 - 0,352 =  0,038 g/kWhEDP endpoint 25% of EDP Minimum service 
accumulationExtrapolation
  
EN 48   EN Figure 1: Example of DF determination 
2.4.6. Assigned deterioration factors 2.4.6.1. As an alternative to usin g a service accumulation schedul e to determine DFs, engine 
manufacturers may choose to use th e 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.  
Where assigned DFs are used, the manufactur er shall present to the Type Approval 
Authority robust evidence that the emissi on control components can reasonably be 
expected to have the emission durability associated with those assigned factors. This 
evidence may be based upon design analysis, or tests, or a combination of both.  
2.4.7. Application of deterioration factors 2.4.7.1. The engines shall meet the respective emission limits for each pollutant, as 
applicable to the engine family, after app lication 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 in dicated in section 1.2.1. of this Annex, 
chooses to use the procedure of Annex 4B  of UNECE Regulation No 96.03 series of 
amendments, cycle weighted specific em ission may include the adjustment for 
infrequent regeneration, where applicable. 
2.4.7.2. For a multiplicative NOx+HC DF, separate  HC and NOx DFs shall be determined 
and applied separately when calculating th e deteriorated emission levels from an 
emissions test result before combining the resultant deteriorated NOx and HC values 
to establish compliance with the emission limit. 
2.4.7.3. The manufacturer may select to carry across the DFs determined for an engine-after-
treatment system family to an engine syst em that does not fall into the same engine-
after-treatment system famil y. In such cases, the manufact urer shall de monstrate to 
the approval authority that the engine sy stem 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 techni cal specifications and installation 
requirements on the machine and that the emi ssions of such engine or engine system 
are similar.  
EN 49   EN In the case that DFs are carried across to an  engine system with a different emission 
durability period, then the DFs shall be re calculated 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 sh all 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 choose to measure th e pollutant emissions before any exhaust 
after-treatment system at the same time as the type-approv al test is being performed. 
In so doing, the manufacturer may develop an informal DF separately for the engine 
and 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 se rvice accumulation schedule , maintenance shall be 
performed in accordance with the ma nufacturer's manual for service and 
maintenance. 
2.5.1. Emission-related scheduled maintenance 2.5.1.1. Emission-related scheduled maintenan ce during running, undertaken for the purpose 
of conducting a service accumulation schedule must occur at equivalent intervals to 
those that will be specified in the manufact urer'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 n ecessary) and scheduled exchange of the 
following items: 
– Filters and coolers in the exhaust gas re-circulation system 
– Positive crankcase ventilation valve, if applicable 
– Fuel injector tips (only cleaning is permitted) 
– Fuel injectors 
– Turbocharger  
EN 50   EN – Electronic engine contro l unit and its associated sensors and actuators 
– Particulate after-treatment system  (including related components) 
– NO x after-treatment system (inc luding related components) 
– Exhaust gas re-circulation system, incl uding all related co ntrol valves and 
tubing 
– Any other exhaust afte r-treatment system. 
2.5.1.3. Critical emission-related scheduled mainte nance 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-approv al authority for approval 
of any new scheduled maintenance that it  wishes to perform during the service 
accumulation schedule and subsequently 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 maintena nce which is reasona ble 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 sele cted for the service accumulation schedule 
at the least frequent intervals recommende d by the manufacturer to the owner (for 
example not at the intervals re commended for severe service). 
2.5.4. Repair 2.5.4.1. Repairs to the components of an engine sy stem selected for te sting over a service 
accumulation schedule shall be performed onl y as a result of component failure or 
engine system malfunction. Repair of the en gine itself, the emission control system 
or the fuel system is not permitted except to the extent defined in 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 servic e accumulation shall be considered void, 
and a new service accumulation shall be star ted 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 durabi lity period in Table 1 of this section. 
Table 1: Emission durability period for CI  Stage IIIA, IIIB and IV Engines (hours)  
EN 51   EN  Category (power band) Emission durability 
period (hours) 
 
≤ 37 kW 
(constant speed engines) 3000 
≤ 37 kW 
(variable speed engines) 5000 
> 37 kW 8000 
Engines for propulsion of inland waterway 
vessels 10000 
Railcar and Locomotive engines 10000 
" 
(3) the following Appendices 6 and 7 are added: 
"Appendix 6 
 
DETERMINATION OF CO 2 EMISSIONS FOR STAGE I, II, IIIA, IIB 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, c hooses to use the procedure of Annex 4B 
of UNECE Regulation No 96.03 series of amendments, Appendix 7 of 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 wi th section 3 (NRSC) or se ction 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 dow n in this Appendix or the requirements of 
Appendix 7 to Annex III shall apply. 
3. Determination of CO 2 emissions  
EN 52   EN 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), resp ectively, of Appendix 1 to Annex 
III.  
The measurement system shall meet the li nearity 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 4.5.8.2. (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), respectiv ely, 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 II I. 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 th e 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), resp ectively, of Appendix 1 to Annex 
III. Dilution of the exhaust shall be done with filtered am bient 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 li nearity requirements of section 1.5. of 
Appendix 2 to Annex III.  
EN 53   EN The measurement system shall meet the requirements of section 1.4.1. (NRSC) or 
section 2.3.1. (NRTC), respectively, of Appendix 1 to Annex III. 
3.2.2. Data evaluation 
The relevant data shall be recorded and stored in accordance with section 3.7.4. 
(NRSC) or section 4.5.8.2. (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), respectiv ely, 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 sec tion 2.2.1. of Appendix 3 to Annex III.  
Background correction shall be applied in accordance 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: 
 ()
()∑∑
=
==
=
××
=ni
1iiF ini
iiF i mass
CO
W PW CO
e
,1, ,
22
  
 where 
 iAE im i P P P, ,+=  
and 
CO 2 mass,i  is the mass of CO 2 of the individual mode (g/h) 
Pm,i is the measured power of the individual mode (kW) 
PAE,i is the power of the auxiliaries  of the individual mode (kW) 
WF,i is the weighting factor of the individual mode  
EN 54   EN 3.3.2. NRTC 
The cycle work needed for the ca lculation of br ake specific CO 2 emissions shall be 
determined in accordance with section 4.6.2. of Annex III. 
The brake specific emissions eCO2 (g/kWh) shall be calculated as follows: 
hotacthot CO
COWme
,,2
2=  
where 
mCO2, hot  is the CO 2 mass emissions of the hot start NRTC (g) 
Wact, hot  is the actual cycle work of  the hot start NRTC (kWh) 
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  of UNECE Regulation No 96.03 series of 
amendments this Appendix sets out the provisions and test procedures for reporting CO
2 emissions. 
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 of 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 of 
UNECE Regulation No 96.03 series of amendments.  
The measurement system shall meet the linear ity requirements of s ection 8.1.4. of Annex 4B 
of UNECE Regulation No 96.03 series of amendments.  
EN 55   EN The measurement system shall meet the requ irements of section 8.1.9. of Annex 4B of 
UNECE Regulation No 96.03 series of amendments. 
3.1.2. Data evaluation The relevant data shall be recorded and st ored in accordance with  section 7.8.3.2. of Annex 
4B of 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 co rrection in accordance with section A.8.2.2. of 
Appendix 8 or section A.7.3.2. of Appendix 7 to  Annex 4B of 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 concentrations and exhaust gas flows a nd 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 of UNECE 
Regulation No 96.03 series of amendm ents, by using the u values of CO 2 from 
table A.8.1. or calculating th e u values in accordance with section A.8.2.4.2. of 
Appendix 8 to Annex 4B of 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 of 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 engi ne submitted for testing shall be measured 
with a non-dispersive infrared (NDIR) analyser  in accordance with se ction 9.4.6. of Annex 4B 
of UNECE Regulation No 96.03 series of amendm ents. Dilution of the exhaust shall be done 
with filtered ambient air, synthetic air or nitr ogen. The flow capacity of the full flow system 
shall be large enough to completely eliminate water condensation in th e dilution and sampling 
systems. 
The measurement system shall meet the linear ity requirements of s ection 8.1.4. of Annex 4B 
of UNECE Regulation No 96.03 series of amendments. 
The measurement system shall meet the requ irements of section 8.1.9. of Annex 4B of 
UNECE Regulation No 96.03 series of amendments. 
3.2.2. Data evaluation The relevant data shall be recorded and st ored in accordance with  section 7.8.3.2. of Annex 
4B of UNECE Regulation No 96.03 series of amendments.  
EN 56   EN 3.2.3. Calculation of cycle averaged emission 
If measured on a dry basis, the dry/wet co rrection in accordance with section A.8.3.2. of 
Appendix 8 or section A.7.4.2. of Appendix 7 to  Annex 4B of 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 accord ance with either of the following: 
(a) section A.8.3.1. and section A.8.3.4. of  Appendix 8 to Annex 4B of UNECE 
Regulation No 96.03 series of amendm ents, 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 of 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 of UNECE 
Regulation No 96.03 series of amendments. 
Background correction shall be applied in ac cordance with section A.8.3.2.4. of Appendix 8 
or section A.7.4.1. of Appendix 8 to Annex 4B of UNECE Re gulation 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 of UN ECE Regulation No 96.03 
series of amendments. 
The brake specific emissions e CO2 (g/kWh) shall be calculated as follows: 
hotacthot CO
COWme
,,2
2=  
where 
mCO2, hot is the CO 2 mass emissions of the hot start NRTC (g) 
Wact, hot is the actual cycle work of  the hot start NRTC (kWh)"  
EN 57   EN 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, IIB and IV the requirements of section 1 of this Annex VI 
shall apply;  
(b) if the manufacturer, based on the op tion indicated in section 1.2.1. of this 
Annex, chooses to use the procedure of  Annex 4B of UNECE Regulation No 
96.03 series of amendments, section 9 of  Annex 4B of UNECE Regulation No 
96.03 series of amendments shall apply."   
EN 58   EN ANNEX V 
In Annex VII to Directive 97/68/EC A ppendix 1 is replaced by the following: 
"Appendix 1 
TEST REPORT FOR COMPRESS ION IGNITION ENGINES 
TEST RESULTS (5) 
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 lubri cant 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 sp eeds (as specified by the manufacturer): 
                                                
 
5 For the case of several parent engines, the fo llowing are to be indicated for each of them  
EN 59   EN  Power P AE (kW) absorbed at various engine speeds (6,7), taking 
into account Appendix 3 of this Annex 
Equipment Intermediate speed 
(if applicable) Maximum power speed 
(if different from rated) Rated speed (8) 
    
    
    
    
Total:    
1.4. Engine performance 
1.4.1. Engine speeds:  Idle: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . mi n
-1 
 Intermediate: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . min-1 
 Maximum Power: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . min-1 
 Rated (9): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . min-1 
1.4.2. Engine power (10) 
                                                 
6 delete as appropriate 
7 shall not be greater than 10 per cent of the power measured during the test. 
8 Insert values at engine speed corresponding to 100% normalised speed if NRSC test uses this speed. 
9 Insert engine speed corresponding to 100% norm alised speed if NRSC test uses this speed. 
10 Uncorrected power measured in accor dance with section 2.4 of Annex I.  
EN 60   EN  Power setting (kW) at various engine speeds 
Condition Intermediate 
speed 
(if applicable) Maximum power 
speed 
(if different from 
rated) Rated speed (11) 
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    
 
2. Information concerning the conduct of the NRSC test: 2.1. Dynamometer setting (kW) 
                                                
 
11 Replace with values at engine speed corresponding to 100% normalised speed if NRSC test uses this 
speed.  
EN 61   EN  Dynamometer setting (kW) at various engine speeds 
Per cent Load Intermediate 
speed 
(if applicable) 63% 
(if applicable)80% 
(if applicable) 91% 
(if applicable) Rated speed 
(12) 
10  
(if applicable)      
25  
(if applicable)      
50      
75  
(if applicable)      
100      
 
2.2. Emission results of the engine/parent engine (13) 
 Deterioration Factor (DF): calculated/fixed (13) 
 Specify the DF values and the emi ssion results in the following table (13): 
                                                 
12 Replace with values at engine speed corresponding to 100% normalised speed if NRSC test uses this 
speed. 
13 Delete as appropriate.  
EN 62   EN NRSC Test 
CO HC NO x HC+NO x PM 
DF 
mult/add3      
Emissions CO  
(g/kWh) HC  
(g/kWh) NO x  
(g/kWh) HC+NO x 
(g/kWh) PM 
(g/kWh) CO 2  
(g/kWh) 
Test result       
Final test result 
with DF       
 
Additional control area test  points (if applicable) 
Emissions at 
test point Engine 
Speed Load 
(%) CO 
(g/kWh) HC 
(g/kWh) NO x 
(g/kWh) PM 
(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 (
14): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  
2.3.2. PM (14): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  
2.3.2.1. Method (15): single/multiple filter 
3. Information concerning the conduct of  the NRTC test (if applicable): 
3.1. Emission results of the engine/parent engine (15) 
                                                 
14 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 
15 Delete as appropriate.  
EN 63   EN  Deterioration Factor (DF): calculated/fixed (16) 
 Specify the DF values and the emi ssion results in the following table (16): 
 Regeneration related data may be reported for Stage IV engines. 
NRTC Test 
CO HC NO x HC+NO x PM 
DF 
mult/add (16)      
Emissions CO 
(g/kWh) HC 
(g/kWh) NO x 
(g/kWh) HC+NO x 
(g/kWh) PM 
(g/kWh) 
Cold start      
Emissions  CO 
(g/kWh) HC 
(g/kWh) NO x 
(g/kWh) HC+NO x 
(g/kWh) PM 
(g/kWh) CO 2 
(g/kWh) 
Hot start w/o 
regeneration       
Hot start with 
regeneration (16)      
kr,u 
(mult/add) (16) 
kr,d 
(mult/add) (16)      
Weighted test 
result      
Final test result 
with DF       
 
 Cycle work for hot start w/o regeneration kWh 
                                                 
16 Delete as appropriate.  
EN 64   EN 3.2. Sampling system used for the NRTC test: 
 Gaseous emissions (17): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  
 PM (17): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  
 Method (18): single/multiple filter 
ANNEX VI 
"ANNEX XI 
DATA SHEET OF TYPE-APPROVED ENGINES 
                                                 
17 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 
18 Delete as appropriate.  
EN 65   EN 1. SI Engines 
 
 
Stamp of 
administration 
 
Reported engine Type Approval 1 2 3 4 
Type Approval Number     
Date of Approval     
Name of Manufacturer     
Engine type/family     
General information (1)     
Cooling medium (19)     
Number of cylinders     
Swept Volume (cm3)     
Type of After-treatment 
(20)     
Rated speed (min-1)     Engine 
Description 
Rated net power (kW)     
CO     
HC     
NOx     Emissions 
(g/kWh) 
PM     
 
                                                 
19 Liquid or air 
20 Abbreviate: CAT = catalyst, PT = particulate trap, SCR = selective catalytic reduction.   
EN 66   EN 2. CI Engines (21)(22) 
 
 
Stamp of 
administration 
 
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     
General information (23)     
Cooling medium (24)     
Number of cylinders     
Swept Volume (cm3)     
Type of After-treatment 
(25)     
Rated speed (min-1)     
Maximum power speed 
(min-1)     
Rated net power (kW)      
   Engine 
Description 
Maximum net power (kW)     
 
                                                 
21 Complete all items that are applicable to the engine type/family 
22 In case of a family of engines insert details of parent engine 
23 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. 
24 Liquid or air 
25 Abbreviate: DOC = diesel oxidation catalyst, PT = particulate trap, SCR = selective catalytic reduction.   
EN 67   EN 2.2. Final emission result 
Reported engine Type Approval 1 2 3 4 
CO     
HC     
NO x     
HC + NO x      
NRSC Final 
Test Result inclusive of DF 
(g/kWh) 
PM     
NRSC CO 2 (g/kWh)     
CO     
HC     
NO x     
HC + NO x     NRTC Final 
Test Result inclusive of DF 
(g/kWh) 
PM     
NRTC hot cycle CO 2 (g/kWh)     
NRTC hot cycle work (kWh)     
  
EN 68   EN 2.3. NRSC deterioration factors and emission test results 
Reported engine Type approval 1 2 3 4 
CO     
HC     
NO x     
HC + NO x      
DF  mult/add
26 
PM     
CO     
HC     
NO x     
HC + NO x     NRSC Test 
Result exclusive of DF 
(g/kWh) 
PM     
 
                                                 
26 Delete as appropriate  
EN 69   EN 2.3. NRTC deterioration factors and emission test results 
Reported engine Type approval 1 2 3 4 
CO     
HC     
NO x     
HC + NO x      
DF  mult/add
27 
PM     
CO     
HC     
NO x     
HC + NO x     NRTC Cold 
start Test Result exclusive of DF 
(g/kWh) 
PM     
CO     
HC     
NO x     
HC + NO x     NRTC Hot 
start Test Result exclusive of DF 
(g/kWh) 
PM     
 
                                                 
27 Delete as appropriate  
EN 70   EN 2.4. NRTC hot start emission test results 
 Regeneration related data may be reported for Stage IV engines. 
Reported engine Type approval 1 2 3 4 
CO     
HC     
NO x     
HC + NO x     NRTC hot 
start w/o regeneration 
(g/kWh) 
PM     
CO     
HC     
NOx     
HC + NOx     NRTC hot 
start with regeneration 
(g/kWh) 
PM     
"  
EN 71   EN 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 a pproval to this Directive for engines of 
categories A, B and C as defined in Article 9(2): 
1.1. Directive 2000/25/EC. 1.2. Type-approvals to Directive 88/77/EEC, comp lying with the requir ements of stage 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. Certificates of 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) and Article 
9(3a), the following type-approvals and, wh ere 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 of this 
Directive and section 6.2.1 of Annex I of this Directive; 
2.3. 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 96. 
3. For engines categories H, I, J and K (sta ge IIIA) as defined in Article 9(3b) and 
Article 9(3c), the following type-approvals  and, where applicable, the pertaining 
approval marks are recognised as being equiva lent 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 stag es B1, B2 or C provided for in Article 
2 of this Directive and section 6.2.1.  of Annex I of this Directive. 
3.2. UNECE Regulation No 49.05 series of amen dments 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 96. 
4. For engines categories L, M, N and P (sta ge IIIB) as defined in Article 9(3d), the 
following type-approvals and, where applicab le, the pertaining approval marks are 
recognised as being equivalent to an approval to this Directive.  
EN 72   EN 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 stag es B2 or C provide d for in Article 2 
of this Directive and section 6.2.1. of Annex I of this Directive. 
4.2. UNECE Regulation No 49.05 series of amen dments 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 96. 
5. For engines categories Q and R (stage IV) as  defined in Article 9(3e), the following 
type-approvals and, where ap plicable, the pertaining appr oval marks are recognised 
as being equivalent to an approval to this Directive. 
5.1. Type-approvals to Regulation (EC) 595/ 2009 and its implementing measures, if 
confirmed by a technical service that the engine meets the requirements of Annex I 
section 8.5 of this Directive.  
5.2. UNECE Regulation No 49.06 series of am endments, if confirmed by a technical 
service that the engine meets the requi rements of Annex I section 8.5 of this 
Directive."