EN    EN EN  
EN    EN  COMMISSION OF THE E UROPEAN COMMUNITIES 
Brussels, 
C(2009) 
Draft 
COMMISSION DIRECTIVE../…/EC 
of […] 
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  
EN 2   EN Draft 
COMMISSION DIRECTIVE../…/EC 
of […] 
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 
THE COMMISSION OF THE EUROPEAN COMMUNITIES, 
Having regard to Directive 97/68 /EC of 16 December 1997 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 polluta nts from internal co mbustion engines to 
be installed in non-road mobile machinery1, and in particular Articles 14 and 14a thereof, 
Whereas: (1) Article 14a of Directive 97/68/ EC sets out the criteria a nd the procedure for extending 
the period referred to in Article 9a(7) of that Directive. Studies carried out in 
accordance with Article 14a of Directive 97/ 68/EC show that there are substantial 
technical difficulties to comp ly with stage II requirements for professional use, multi-
positional, hand-held mobile machinery in which engines of classes SH:2 and SH:3 
are installed. It is therefore necessary to extend the period referred to in Article 9a (7) 
until 31 July 2013. 
(2) Since the amendment of Directive 97/68/ EC in 2004, technical progress has been 
made in the design of diesel engines with  a view to make them compliant with the 
exhaust emission limits for stages IIIB and IV. Electronically controlled engines, largely replacing mechanically controlled fu el injection and control systems, have 
been developed. Therefore, the current gene ral type-approval requirements in Annex I 
to Directive 97/68/EC should be adapted accordingly and general type- approval 
requirements for stages IIIB and IV should be introduced. 
(3) Annex II to Directive 97/68/EC specifies th e technical details of the information 
documents that need to be submitted by the manufacturer to the type-approval 
authority with the application for engine t ype-approval. The detail s specified regarding 
the additional anti-pol lution devices are gene ric and should be adap ted to the specific 
after-treatment systems that need to be used to ensure that engines comply with 
exhaust emission limit stages IIIB and IV . More detailed information on the after-
treatment devices installed on the engines s hould be submitted to enable type-approval 
authorities to assess the engine’s capability  to comply with st ages IIIB and IV.  
(4) Annex III to Directive 97/68/EC sets out the method testing the engines and 
determining their level of em issions of gaseous and partic ulate pollutants. The type-
approval testing procedure of engines to demonstrate compliance with the exhaust 
                                                
 
1 OJ L 59, 27.2.1998, p. 1.  
EN 3   EN emission limits of stage IIIB and IV shoul d ensure that the simultaneous compliance 
with the gaseous (carbon monoxide, hydr ocarbons, oxides of nitrogen) and the 
particulate emission limits is demonstrate d. The Non-Road Steady Cycle (NRSC) and 
Non-Road Transient Cycle (NRTC) should be adapted accordingly. 
(5) Point 1.3.2 of Annex III to Directive 97/68 /EC foresees the modification of the 
symbols (section 2.18 of Annex I), the test sequence (Annex III) and calculation 
equations (Appendix III to Annex III), prio r to the introduction of the cold/hot 
composite test sequence. The type approval procedure to demonstrate compliance with 
the exhaust emission limits of  stage IIIB and IV requires the introduction of a detailed 
description of the cold start cycle. 
(6) Section 3.7.1 of Annex III to Directive 97/ 68/EC sets out the test cycle for the 
different equipment specifications. The te st cycle under point 3.7.1.1 (specification A) 
needs to be adapted to clarify which engi ne speed needs to be used in the type 
approval calculation method. It is also necessa ry to adapt the reference to the updated 
version of the international testing standard ISO 8178-4:2007. 
(7) Section 4.5 of Annex III to Directive 97/68/EC  outlines the emissions test run. This 
section needs to be adapted to take  account of the co ld start cycle. 
(8) Appendix 3 of Annex III to Directive 97/68/ EC sets out the criteria for the data 
evaluation and calculati on of the gaseous emissions and the particulate emissions, for 
both the NRSC test and the NRTC test set out in Annex III. The type approval of engines in accordance with stage IIIB and IV requires the adaptation of the calculation 
method for the NRTC test. 
(9) Annex XIII to Directive 97/68/EC sets ou t the provisions for engines placed on the 
market under a ‘flexible scheme’. To ensure  a smooth implementation of stage IIIB, an 
increased use of this flexibility scheme ma y be needed. Therefore, the adaptation to 
technical progress to enable the introduction of St age IIIB compliant engines needs to 
be accompanied by measures to avoid that th e use of the flexibility scheme may be 
hampered by notification requirements which are no longer adapted to the introduction 
of such engines. The measures should aim at simplifying the notification requirements 
and the reporting obligations, and at making them more focused and tailored to the 
need for market surveillanc e authorities to respond to the increased use of the 
flexibility scheme that will result from the introduction of Stage IIIB. 
(10) Since Directive 97/68/EC provides for the type-approval of St age III B engines 
(category L) as from 1 January 2010 it is n ecessary to provide for the possibility to 
grant type approval from that date.  
(11) For reasons of legal certainty this Directive should enter into force as a matter of 
urgency. 
(12) The measures provided for in this Directiv e are in accordance with the opinion of the 
Committee established in Article  15(1) of Directive 97/68/EC, 
  
EN 4   EN HAS ADOPTED THIS DIRECTIVE: 
Article 1 
Amendments to Directive 97/68/EC 
Directive 97/68/EC is amended as follows: 
1. In Article 9a(7), the follow ing subparagraph is added: 
''Notwithstanding the first subparagraph, an extension of the de rogation period is 
granted until 31 July 2013, within the category of top handle machines, for 
professional use, multi-positional, hand-held  hedge trimmers and top handle tree 
service chainsaws in which engines of cl asses SH:2 and SH:3 are installed.''  
2. Annex I is amended in accordance with Annex I to this Directive. 
3. Annex II is amended in accordance w ith Annex II to this Directive. 
4. Annex III is amended in accordance w ith Annex III to this Directive. 
5. Annex XIII is amended in accordance w ith Annex IV to this Directive. 
Article 2 
Transitional provision 
With effect from 1 January 2010 Member St ates may grant type-approval in respect 
of electronically cont rolled engines which comply with the requirements laid down 
in Annexes I, II, III and XIII to Directiv e 97/68/EC, as amended by this Directive. 
Article 3 
Transposition 
1. Member States shall adopt and publish, by [ Day, Month, Year = Six months after the 
publication of the Directive ] at the latest, the laws, re gulations and administrative 
provisions necessary to comply with this Directive. They shall forthwith communicate to the Commission the text of those provisions and a correlation table 
between those provisions and this Directive. 
They shall apply those provisions from [ Day, Month, Year = one day after 
transposition date ]  
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 determin e 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 4 
Entry into force 
This Directive shall enter into force on the day following that of its publication in the Official 
Journal of the European Union .  
EN 5   EN Article 5 
Addressees 
This Directive is addressed to the Member States. 
Done at Brussels, […] 
 For the Commission 
 […] 
 Member of the Commission  
EN 6   EN ANNEX  
The following section 8 is added to  Annex I to Directive 97/68/EC: 
''8. Type approval requirements for Stages IIIB and IV  
8.1. This section shall apply to the type-appr oval of electronically controlled engines, 
which uses electronic control to determine both the quantity and timing of injecting 
fuel (hereafter 'engine'). This section sh all apply irre spective of the technology 
applied to such engines to comply with th e emission limit values set out in sections 
4.1.2.5. and 4.1.2.6. of this Annex. 
8.2. Definitions For the purpose of this section, th e following definitions shall apply: 
8.2.1. ' emission control strategy'  means a combination of an emission control system with 
one base emission control strategy and w ith one set of auxiliary emission control 
strategies, incorporated into the overall design of an engine or non-road mobile 
machinery into which the engine is installed. 
8.2.2. ' reagent' means any consumable or non-recovera ble medium required and used for 
the effective operation of the exhaust after-treatment system. 
8.3. General requirements 
8.3.1. Requirements for base emission control strategy 
8.3.1.1. The base emission control strategy, act ivated throughout the speed and torque 
operating range of the engine, shall be design ed as to enable the engine to comply 
with the provisions of this Directive   
8.3.1.2. Any base emission control strategy that can distinguish engine  operation between a 
standardised type approval test and ot her operating conditions and subsequently 
reduce the level of emission contro l when not operating under conditions 
substantially included in the type  approval procedure is prohibited. 
8.3.2. Requirements for auxiliary emission control strategy  8.3.2.1. An auxiliary emission control strategy may be used by an engine or a non-road 
mobile machine, provided that the a uxiliary emission control strategy, when 
activated, modifies the base emission contro l strategy in response to a specific set of 
ambient and/or operating conditions but does not permanently reduce the 
effectiveness of the emission control system.
  
(a)  where the auxiliary emission control st rategy is activated  during the type 
approval test, sections 8. 3.2.2. and 8.3.2.3. shall not apply. 
(b) where the auxiliary emission control stra tegy is not activated during the type 
approval test, it must be demonstrated  that the auxiliary emission control 
strategy is active only for as long as required for the purposes identified in 
section 8.3.2.3. 
8.3.2.2 The control conditions applicable to this section are all of the following:  
(a) an altitude not exceeding 1000 metres (or equivalent atmospheric pressure of 
90 kPa);  
(b) an ambient temperature within the range 275 K to 303 K (2°C to 30°C); 
(c) the engine coolant temper ature above 343 K (70°C).  
EN 7   EN Where the auxiliary emission control stra tegy is activated when the engine is 
operating within the control conditions set out  in points (a), (b) and (c), the strategy 
shall only be activated exceptionally. 
8.3.2.3. An auxiliary emission control strategy may be activated in  particular for the following 
purposes:  
(a) by on-board signals, for protecting the en gine (including air-handling device 
protection) and/or non-road mobile machin e into which the engine is installed 
from damage;  
(b)  for operational safety and strategies;  
(c) (d) for prevention of excessive emissions, during cold start or warming-up, 
during shut-down;  
(d) (e) if used to trade-off the control of one regulated pollutant under specific 
ambient or operating conditions, for mainta ining control of all other regulated 
pollutants, within the emission limit values that are appropriate for the engine concerned. The purpose is to compensate for naturally occurring phenomena in a manner that provides acceptable control of all emission constituents. 
8.3.2.4. The manufacturer shall demonstrate to the technical service at the time of the type-
approval test that the operat ion of any auxiliary emissi on strategy complies with the 
provisions of section 8.3.2. Th e demonstration shall consis t of an evaluation of the 
documentation referred to in section 8.3.3.
 
8.3.2.5. Any operation of an auxiliary emission cont rol strategy not comp liant with section 
8.3.2. is prohibited. 
8.3.3. Documentation requirements 8.3.3.1. The manufacturer shall provide an inform ation folder accompanying the application 
for type-approval at the time of submission to the technical service, which ensures 
access to any element of design and emi ssion control strategy and the means by 
which the auxiliary strategy di rectly or indirectly contro ls the output variables. The 
information folder shall be made available in two parts: 
(a) the documentation package, annexed to the application for type-approval, shall 
include a full overview of the emission control strategy. Evidence shall be 
provided that all outputs permitted by a matrix, obtained from the range of control of the individual unit inputs, have  been identified. This evidence shall 
be attached to the information folder as referred to in Annex II
 
(b) the additional material, presented to the technical service but not annexed to 
the application for type-approval, shall include all the modified parameters by 
any auxiliary emission control stra tegy and the boundary conditions under 
which this strategy operates and in particular: 
(i) a description of the control logic and of timi ng strategies and switch 
points, during all modes of operation for the fuel and other essential 
systems, resulting in effective emi ssions control (such as exhaust gas 
recirculation system (E GR) or reagent dosing); 
(ii) a justification for the use of a ny auxiliary emission control strategy 
applied to the engine, accompanied by material and test data, demonstrating the effect on exhaust emissions. This justification may be based on test data, sound engineering analysis, or a combination of both;  
EN 8   EN (iii) a detailed description of algorithm s or sensors (where applicable) used 
for identifying, analysing, or diagnosing incorrect operation of the NOx 
control system; 
(iv) the tolerance used to satisfy  the requirements in section 8.4.7.2., 
regardless of the used means. 
8.3.3.2. The additional material referred to in poi nt (b) of section 8.3.3.1. shall be treated as 
strictly confidential. It shall be made available to the type-approval authority on 
request. The type-approval authority shall treat this material as confidential. 
8.4. Requirements to ensure correct operation of NO x control measures 
8.4.1. The manufacturer shall provide informa tion that fully describes the functional 
operational characteristics of the NOx cont rol measures using th e documents set out 
in section 2 of Appendix 1 to Annex II and in section 2 of Appendix 3 to Annex II.  
8.4.2. If the emission control system requires a 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. 
8.4.3. 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.
 
8.4.4. The manufacturer shall demonstrate th at the emission of ammonia during the 
applicable emission test cycle of the type a pproval procedure, when a reagent is used, 
does not exceed a mean value of 25 ppm. 
8.4.5. If separate reagent containers are inst alled on or connected to a non-road mobile 
machine, means for taking a sample of the reagent inside the containers must be 
included. The sampling point must be easil y accessible without requiring the use of 
any specialised tool or device. 
8.4.6. Use and maintenance requirements 8.4.6.1. The type approval shall be made conditio nal, in accordance w ith Article 4(3), upon 
providing to each operator of non-road mo bile machinery written instructions 
comprising the following:  
(a) detailed warnings, explaining possi ble malfunctions generated by incorrect 
operation, use or maintenance of the installed engine, accompanied by respective rectification measures; 
(b) detailed warnings on the incorrect use of the machine resulting in possible 
malfunctions of the engine, accompanied by respective rectification measures;
 
(c) information on the correct use of the r eagent, accompanied by an instruction on 
refilling the reagent between normal maintenance intervals;  
(d) a clear warning, that the type-approval ce rtificate, issued for the type of engine 
concerned, is valid only when all of the following conditions are met: 
(i) the engine is operated, used a nd maintained in accordance with the 
instructions provided ;  
EN 9   EN (ii) prompt action has been taken for rectifying incorrect operation, use or 
maintenance in accordance with the re ctification measures indicated by 
the warnings referred to in point (a) and (b);  
(iii) no deliberate misuse of the engine  has taken place, in particular de-
activating or not maintaining an  EGRor reagent dosing system. 
The instructions shall be written in a cl ear and non-technical manner using the same 
language as is used in th e operator's manual on non-road mobile machinery or 
engine. 
8.4.7. Reagent control (w here applicable)  
8.4.7.1. The type approval shall be made conditional, in accordance with the provisions of 
section 3 of Article 4, upon providing indi cators or other appropriate means, 
according to the configuration of the non -road mobile machinery, informing the 
operator on: 
(a) the amount of reagent remaining in the reagent storage container and by an 
additional specific signal, wh en the remaining reagent is less than 10% of the 
full container's capacity;  
(b) When the reagent container becomes empty, or almost empty; 
(c) When the reagent in the storage tank does not comply with the characteristics 
declared and recorded in section 2.2.1.13. of Appendix 1 and section 2.2.1.13. 
of Appendix 3 to Annex II, according to  the installed means of assessment. 
(d) When the dosing activity of the reagent is interrupted, in ca ses other than those 
executed by the engine ECU or the dos ing controller, reacting to engine 
operating conditions where the dosing is  not required, provided that these 
operating conditions are made availabl e to the type approval authority. 
8.4.7.2. By the choice of the manufacturer the requi rements of reagent co mpliance with the 
declared characteristics and the associated  NOx emission tolerance shall be satisfied 
by one of the following means: 
(a) direct means, such as the use of a reagent quality sensor. (b) indirect means, such as the use of a NOx sensor in the exhaust to evaluate 
reagent effectiveness. 
(c ) any other means, provided that its ef ficacy is at least equal to the one resulting 
by the use of the means of points (a) or (b) and the main requirements of this 
section are maintained.''  
EN 10   EN ANNEX II  
ANNEX II to Directive 97/68/EC is amended as follows: 
(1) Section 2 of Appendix 1 is replaced by the following: 
''2. MEASURES TAKEN AGAINST AIR POLLUTION 2.1. Device for recycling crankcase gases: yes/no
1…………………………… 
2.2. Additional anti-pollution devices (if any, and if not  covered by another heading) 
2.2.1. Catalytic converter: yes/no1 
2.2.1.1. Make(s): ………………………………….. 2.2.1.2. Type(s): …………………………………… 2.2.1.3. Number of catalytic converters and elements……………………….. 2.2.1.4. Dimensions- and volume of the catalytic converter(s): ………………… 2.2.1.5. Type of catalytic action: …………………………………… 2.2.1.6. Total charge of precious metals: …………………… 2.2.1.7. Relative concentration: ……………………. 2.2.1.8. Substrate (structure and material): ……………………. 2.2.1.9. Cell density: …………….. 2.2.1.10. Type of casing for the cat alytic converter(s): ………………………. 
2.2.1.11. Location of the catalytic converter(s) (p lace(s) and maximum/minimum distance(s) 
from engine): ………………… 
2.2.1.12. Normal operating range (K): ………………………………………………… 2.2.1.13. Consumable reagent (where appropriate): ……………………… 2.2.1.13.1. Type and concentration of reagen t needed for catalytic action: ……… 
2.2.1.13.2. Normal operational temperature range of reagent: …………………. 2.2.1.13.3. International standard (where appropriate): ……………… 
2.2.1.14. NOx sensor: yes/no
1 
2.2.2. Oxygen sensor: yes/no1 
2.2.2.1. Make(s): ……………………….. 2.2.2.2. Type: …………………….. 2.2.2.3. Location: …………… 2.2.3. Air injection: yes/no
1 
2.2.3.1. Type (pulse air, air pump, etc.): ……………………….. 2.2.4. EGR: yes/no
1 
2.2.4.1. Characteristics (cooled/uncooled, high  pressure/low pressure, etc.): ……… 
                                                 
1 Strike out what does not apply.  
EN 11   EN 2.2.5. Particulate trap: yes/no1 
2.2.5.1. Dimensions and capacity of  the particulate trap: ………. 
2.2.5.2. Type and design of the particulate trap: ………….. 2.2.5.3. Location (place(s) and maximum/mini mum distance(s) from engine): …. 
2.2.5.4. Method or system of regenerati on, description and/or drawing: ……….. 
2.2.5.5. Normal operating temperature (K ) and pressure (kPa) range: …….. 
2.2.6. Other systems: yes/no
1 
2.2.6.1. Description and operation: …………….'' 
(2) Section 2 of Appendix 3 is replaced by the following: 
''2. MEASURES TAKEN AGAINST AIR POLLUTION 2.1. Device for recycling crankcase gases: yes/no
1…………………………… 
2.2. Additional anti-pollution devices (if any, and if not  covered by another heading) 
2.2.1. Catalytic converter: yes/no1  
2.2.1.1. Make(s): ………………………………….. 2.2.1.2. Type(s): …………………………………… 2.2.1.3. Number of catalytic converters and elements……………………….. 2.2.1.4. Dimensions- and volume of the catalytic converter(s): ………………… 
2.2.1.5. Type of catalytic action: …………………………………… 
2.2.1.6. Total charge of precious metals: …………………… 2.2.1.7. Relative concentration: ……………………. 2.2.1.8. Substrate (structure and material): ……………………. 2.2.1.9. Cell density: ……………………………………...….. 2.2.1.10. Type of casing for the cat alytic converter(s): ………………………. 
2.2.1.11. Location of the catalytic converter(s) (p lace(s) and maximum/minimum distance(s) 
from engine): ………………… 
2.2.1.12. Normal operating range (K)…………………………………………… 2.2.1.13. Consumable reagent (where appropriate): ……………………… 2.2.1.13.1. Type and concentration of reagen t needed for catalytic action: ……… 
2.2.1.13.2. Normal operational temperature range of reagent: …………………. 2.2.1.13.3. International standard (where appropriate): ……………… 
2.2.1.14. NOx sensor: yes/no
1 
2.2.2. Oxygen sensor: yes/no1 
2.2.2.1. Make(s): ……………………….. 
                                                 
1 Strike out what does not apply.  
EN 12   EN 2.2.2.2. Type: …………………….. 
2.2.2.3. Location: …………… 2.2.3. Air injection: yes/no
1 
2.2.3.1. Type (pulse air, air pump, etc.): ……………………….. 2.2.4. EGR: yes/no
1 
2.2.4.1. Characteristics (cooled/uncooled, high  pressure/low pressure, etc.): ……… 
2.2.5. Particulate trap: yes/no1 
2.2.5.1. Dimensions and capacity of  the particulate trap: ………. 
2.2.5.2. Type and design of the particulate trap: ………….. 2.2.5.3. Location (place(s) and maximum/mini mum distance(s) from engine): …. 
2.2.5.4. Method or system of regenerati on, description and/or drawing: ……….. 
2.2.5.5. Normal operating temperature (K ) and pressure (kPa) range: …….. 
2.2.6. Other systems: yes/no
1 
2.2.6.1. Description and operation: …………….'' 
                                                 
1 Strike out what does not apply.  
EN 13   EN ANNEX III  
Annex III to Directive 97/68/EC is amended as follows: 
(1) Section 1.1. is replaced by the following: 
''1.1. This Annex describes the method of  determining emissions of gaseous and 
particulate pollutants from the engine to be tested. 
The following test cycles shall apply: – the NRSC (non-road steady cycle) appropr iate for the equipment specification 
which shall be used for the measuremen t of the emissions of carbon monoxide, 
hydrocarbons, oxides of nitrogen and partic ulates for stages I, II, IIIA, IIIB and 
IV of engines described in points (i) a nd (ii) of Section 1.A. of Annex I, and 
– the NRTC (non-road transient cycle) wh ich shall be used for the measurement 
of the emissions of carbon monoxide, hydrocarbons, oxides of nitrogen and particulates for stages IIIB and IV of e ngines described in point (i) of section 
1.A. of Annex I, .  
– for engines intended to be used in inland waterway vessels the ISO test 
procedure as specified by ISO 8178-4:2002 and IMO MARPOL 73/78, Annex 
VI (NOx Code) shall be used,  
– for engines intended for propulsion of railc ars an NRSC shall be used for the 
measurement of gaseous and particulate pollutants for stage III A and for stage 
III B, 
– for engines intended for propulsion of locomotives an NRSC shall be used for 
the measurement of gaseous and particulate pollutants for stage III B.'' 
(2) Section 1.3.2. is replaced by the following:  
''1.3.2. NRTC test: 
The prescribed transient test cycle, ba sed closely on the operating conditions of 
diesel engines installed in non-road machinery, is run twice: 
– The first time (cold start) after the engine  has soaked to room temperature and the 
engine coolant and oil temperatures, af ter treatment systems and all auxiliary 
engine control devices are st abilised between 20 and 30 °C. 
– The second time (hot start) after a tw enty-minute hot soak that commences 
immediately after the completi on of the cold start cycle. 
During this test sequence the above polluta nts shall be examined. The test sequence 
consists of a cold start cycl e following natural or forced  cool-down of the engine, a 
hot soak period and a hot start cycle, resu lting in a composite emissions calculation. 
Using the engine torque and speed feedback  signals of the engi ne dynamometer, the 
power shall be integrated with respect to th e time of the cycle, resulting in the work 
produced by the engine over the cycle. The concentrations of the gaseous components shall be determined over the cy cle, either in the raw exhaust gas by 
integration of the analyser signal in accord ance with Appendix 3 to this Annex, or in 
the diluted exhaust gas of a CVS full-flow dilution syst em by integration or by bag 
sampling in accordance with Appendix 3 to this Annex. For particulates, a proportional sample shall be collected from  the diluted exhaus t gas on a specified 
filter by either partial flow dilution or full-flow dilution. Depending on the method  
EN 14   EN used, the diluted or undiluted exhaust gas flow rate shall be determined over the 
cycle to calculate the mass emission valu es of the pollutants. The mass emission 
values shall be related to the engine work  to give the grams of each pollutant emitted 
per kilowatt-hour. 
Emissions (g/kWh) shall be measured dur ing both the cold and hot start cycles. 
Composite weighted emissions shall be comp uted by weighting the cold start results 
10 % and the hot start results 90 %. Wei ghted composite results shall meet the 
standards.'' 
(3) Section 3.7.1. is replaced by the following: ''3.7.1. Equipment specification accordi ng to section 1.A. of Annex I: 
''3.7.1.1. Specification A 
For engines covered by points (i) and (iv) of section 1.A. of Annex I, the following 
8-mode cycle 
(1) shall be followed in dynamomete r operation on the test engine: 
Mode 
No Engine Speed Load Weighting 
Factor 
1 Rated or Reference (2) 100 0,15 
2 Rated or Reference (2) 75 0,15 
3 Rated or Reference (2) 50 0,15 
4 Rated or Reference (2) 10 0,10 
5 Intermediate 100 0,10 
6 Intermediate 75 0,10 
7 Intermediate 50 0,10 
8 Idle - 0,15  
EN 15   EN 3.7.1.2. Specification B 
For engines covered by point (ii) of section 1.A. of A nnex I, the following 5-mode 
cycle(3) shall be followed in dynamometer operation on the test engine: 
Mode Number Engine Speed Load Weighting Factor 
1 Rated 100 0,05 
2 Rated 75 0,25 
3 Rated 50 0,30 
4 Rated 25 0,30 
5 Rated 10 0,10 
The load figures are percentage values of the torque corresponding to the prime 
power rating defined as the maximum pow er available during a variable power 
sequence, which may be run for an unlimited number of hours per year, between stated maintenance intervals and unde r the stated ambient conditions, the 
maintenance being carried out as prescribed by the manufacturer. 
3.7.1.3. Specification C 
For propulsion engines 
(4) intended to be used in inland waterway vessels the ISO test 
procedure as specified by ISO 8178-4: 2002 and IMO MARPOL 73/78, Annex VI 
(NOx Code) shall be used. 
Propulsion engines that operate  on a fixed-pitch pr opeller curve shall be tested on a 
dynamometer using the following  4-mode steady-state cycle (5) developed to 
represent in-use operatio n of commercial mari ne diesel engines. 
Mode 
Number Engine 
Speed Load Weighting 
Factor 
1 100% 
(Rated) 100 0,20 
2 91% 75 0,50 
3 80% 50 0,15 
4 63% 25 0,15 
Fixed speed inland waterway propulsion engine s with variable pitch or electrically 
coupled propellers shall be tested on a dynamometer using the following 4-mode 
steady-state cycle (6) characterised by the same load  and weighting factors as the 
above cycle, but with engine operated in each mode at rated speed:  
EN 16   EN Mode 
Number Engine 
Speed Load Weighting 
Factor 
1 100% 
(Rated) 100 0,20 
2 91% 75 0,50 
3 80% 50 0,15 
4 63% 25 0,15 
 
3.7.1.4. Specification D 
For engines covered by point (v) of sec tion 1.A. of Annex I, the following 3-mode 
cycle (7) shall be followed in dynamometer operation on the test engine: 
Mode 
Number Engine 
Speed Load Weighting 
Factor 
1 Rated 100 0,25 
2 Intermediate 50 0,15 
3 Idle - 0,60 
_________________________________________________________________________________________________________ 
(1) Identical with C1 cycle as described in paragraph 8.3.1.1. of ISO 8178-4:2007 standard 
(corrected version 2008-07-01).  
(2) Reference speed is defined in Section 4.3.1. of Annex III  
(3) Identical with D2 cycle as described in paragraph 8.4.1. of the ISO 8178-4: 2002(E) standard.  
(4) Constant-speed auxiliary engines must be certifie d to the ISO D2 duty cycle, i.e. the 5-mode 
steady-state cycle specified in S ection 3.7.1.2., while variable-speed auxiliary engines must be 
certified to the ISO C1 duty cycle, i.e. the 8-mode steady-state cycle specified in Section 
3.7.1.1.  
(5) Identical with E3 cycle as described in Sections 8.5.1, 8.5.2. and 8.5.3. of the ISO 8178-4: 
2002(E) standard. The four modes lie on an average propeller curve based on in-use 
measurements.  
(6) Identical with E2 cycle as described in Sections 8.5.1, 8.5.2. and 8.5.3. of the ISO 8178-4: 
2002(E) standard.  
(7) Identical with F cycle of IS O 8178-4: 2002(E) standard. '' 
__________________________________________________________________ 
(4) Section 4.3.1. is replaced by the following:  
''4.3.1. Reference speed  
The reference speed (n ref) corresponds to the 100% normalized speed values 
specified in the engine dynamometer schedule of Appendix 4 of Annex III. The actual engine cycle resulting from denormalization to the reference speed depends largely on selection of the proper refere nce speed. The reference speed shall be 
determined by the following formula:  
EN 17   EN nref = low speed + 0,95 x (high speed – low speed)  
(the high speed is the highest engine speed where 70% of the rated power is 
delivered, while the low speed is the lowe st engine speed wher e 50% of the rated 
power is delivered). 
If the measured reference speed is within +/ -3% of the reference speed as declared by 
the manufacturer, the declared reference sp eed may be used for the emissions test. If 
the tolerance is exceeded, the measured reference speed shall be used for the 
emissions test (1). 
_____________________________________________________________ 
(1) This is consistent with the ISO 8178-11:2006 standard.''  
EN 18   EN (5) Section 4.5. is replaced by the following:  
''4.5. Emissions test run 
The following flow chart outli nes the test sequence:  
 Hot start c ycle exhaust emission phase Hot soak Cold start cycle exhaust emission phase Ready all systems for sampling (analyzer 
calibration included) & data collection Natural or forced cool down Run one or more practice cycle as 
necessary to check engine/test 
cell/emissions s ystemsGeneration engine map (max torque curve) 
Generate reference test cycle Engine preparation, pre-test measurements 
and calibrations 
NRTC  
 
One or more practice cycles may be run as necessary to check engine, test cell and 
emissions systems before the measurement cycle. 
4.5.1. Preparation of the sampling filters  
At least one hour before the te st, each filter shall be placed  in a petri dish, which is 
protected against dust contamination and allows air exchange, and placed in a 
weighing chamber for stabilisation. At the end of the stabilisation period, each filter 
shall be weighed and the weight shall be recorded. The filter shall then be stored in a closed petri dish or sealed filter holder until needed fo r testing. The filter shall be 
used within eight hours of its removal from  the weighing chamber. The tare weight 
shall be recorded. 
4.5.2. Installation of the measuring equipment
  
EN 19   EN The instrumentation and sample probes shal l be installed as required. The tailpipe 
shall be connected to the full- flow dilution system, if used. 
4.5.3. Starting the dilution system 
The dilution system shall be started. The tota l diluted exhaust gas flow of a full-flow 
dilution system or the diluted exhaust gas flow through a partial flow dilution system 
shall be set to eliminate water condensati on in the system, and to obtain a filter face 
temperature between 315 K (42 °C) and 325 K (52 °C). 
4.5.4. Starting the particulate sampling system 
The particulate sampling system shall be st arted and run on by-pass. The particulate 
background level of the dilution air may be  determined by sampling the dilution air 
prior to entrance of the exhaust into th e dilution tunnel. It is preferred that 
background particulate sample be collected du ring the transient cycle if another PM 
sampling system is available. Otherwise, the PM sampling system used to collect transient cycle PM can be used. If filtered dilution air is used, one measurement may 
be done prior to or after th e test. If the dilution air is  not filtered, measurements 
should be carried out prior to the beginning  and after the end of  the cycle and the 
values averaged. 
4.5.5. Checking the analyzers 
The emission analyzers shall be set at zero  and spanned. If sample bags are used, 
they shall be evacuated. 
4.5.6. Cool-down requirements 
A natural or forced cool-down procedure may be applied. For forced cool-down, 
good engineering judgment shall be used to set up systems to send cooling air across the engine, to send cool oil through the e ngine lubrication system, to remove heat 
from the coolant through the engine cooli ng system, and to remove heat from an 
exhaust after-treatment system. In the case of a forced after-treatment cool down, 
cooling air shall not be applied until the af ter-treatment system has cooled below its 
catalytic activation temperature. Any cooling procedure that results in 
unrepresentative emissions is not permitted. 
The cold start cycle exhaust emission test  may begin after a cool-down only when 
the engine oil, coolant and after-treatment temperatures are stabilized between 20 °C 
and 30 °C for a minimum of fifteen minutes. 
4.5.7. Cycle run 4.5.7.1. Cold start cycle 
The test sequence shall commence with the co ld start cycle at the completion of the 
cool-down when all the requirements specified in section 4.5.6. are met. 
The engine shall be started according to the starting procedure recommended by the 
manufacturer in the owner's manual, usi ng either a production starter motor or the 
dynamometer. 
As soon as it is determined that the engine  is started, start a ‘‘free idle’’ timer. Allow 
the engine to idle freely with no-load for 23 ±1 s. Begin the transient engine cycle such that the first non-idle record of the cycle occurs at 23 ± 1 s. The free idle time is 
included in the 23 ± 1s.  
EN 20   EN The test shall be performed according to th e reference cycle as set out in Annex III, 
Appendix 4. Engine speed and torque command set points shall be issued at 5 Hz  
(10 Hz recommended) or greater. The se t points shall be calculated by linear 
interpolation between the 1 Hz set points of  the reference cycle. Feedback engine 
speed and torque shall be recorded at least once every second during the test cycle, and the signals may be electronically filtered. 
4.5.7.2. Analyser response 
At the start of the engine the measuring equipment shall be started, simultaneously: 
– start collecting or analyzing dilution air, if a full flow dilution system is used; 
– start collecting or analyz ing raw or diluted exhaus t gas, depending on the 
method used; 
– start measuring the amount of dilu ted exhaust gas and the required 
temperatures and pressures; 
– start recording the exhaust gas mass flow  rate, if raw exhaust gas analysis is 
used; 
– start recording the feedb ack data of speed and torque of the dynamometer. 
If raw exhaust measurement is used, the emission concentrations (HC, CO and NOx) 
and the exhaust gas mass flow rate shall be measured continuously and stored with at 
least 2 Hz on a computer system. All other da ta may be recorded with a sample rate 
of at least 1 Hz. For analogue analyzers the response shall be  recorded, and the 
calibration data may be applied online or  offline during the data evaluation. 
If a full flow dilution system is used, HC and NOx shall be measured continuously in 
the dilution tunnel with a frequency of at l east 2 Hz. The average concentrations shall 
be determined by integrating the analyzer signals over th e test cycle. The system 
response time shall be no greater than 20 s, and shall be coordina ted with CVS flow 
fluctuations and sampling time/test cy cle offsets, if necessary. CO and CO
2 shall be 
determined by integration or by analyzing the concentrations in the sample bag 
collected over the cycle. The concentrations  of the gaseous pollu tants in the dilution 
air shall be determined by integration or  by collection in the background bag. All 
other parameters that need to be measured  shall be recorded with a minimum of one 
measurement per second (1 Hz). 
4.5.7.3. Particulate sampling  
At the start of the engine th e particulate sampling system shall be switched from by-
pass to collecting particulates. 
If a partial flow dilution syst em is used, the sample pump(s) shall be adjusted so that 
the flow rate through the particulate sample  probe or transfer tube is maintained 
proportional to the exhaust mass flow rate.  
If a full flow dilution system is used, the sa mple pump(s) shall be adjusted so that the 
flow rate through the particulate sample probe  or transfer tube is maintained at a 
value within ± 5% of the set flow rate . If flow compensa tion (i.e., proportional 
control of sample flow) is used, it must be demonstrated that the ratio of main tunnel 
flow to particulate sample flow does not ch ange by more than ± 5% of its set value 
(except for the first 10 seconds of sampling).  
EN 21   EN NOTE: For double dilution operation, sample flow  is the net difference between the 
flow rate through the sample filters a nd the secondary dilution airflow rate. 
The average temperature and pressure at the gas meter(s) or flow instrumentation 
inlet shall be recorded. If the set flow ra te cannot be maintained over the complete 
cycle (within ± 5%) because of high particul ate loading on the filter, the test shall be 
voided. The test shall be rerun using a lower fl ow rate and/or a larger diameter filter. 
4.5.7.4. Engine stalling during th e cold start test cycle  
If the engine stalls anywhere during the co ld start test cycle, the engine shall be 
preconditioned, then the cool-down procedure repeated; finally the engine shall be 
restarted, and the test repeated. If a malf unction occurs in any of the required test 
equipment during the test cycl e, the test shall be voided. 
4.5.7.5. Operations after cold start cycle 
At the completion of the cold start cycle of  the test, the measurement of the exhaust 
gas mass flow rate, the diluted exhaust gas volume, the gas flow into the collecting 
bags and the particulate sample pump sha ll be stopped. For an in tegrating analyzer 
system, sampling shall continue until system response times have elapsed. 
The concentrations of the collecting bags, if used, shall be analyzed as soon as 
possible and in any case not la ter than 20 minutes after th e end of the test cycle. 
After the emission test, a ze ro gas and the same span gas shall be used for re-
checking the analyzers. The test will be considered acceptable if the difference 
between the pre-test and post- test results is less than 2 % of the span gas value. 
The particulate filters shall be returned to the weighing chamber no later than one 
hour after completion of the test. They shal l be conditioned in a petri dish, which is 
protected against dust contam ination and allows air exch ange, for at least one hour, 
and then weighed. The gross weight of the filters shall be recorded. 
4.5.7.6. Hot soak 
Immediately after the engine is turned off, the engine cooling fan(s) shall be turned 
off if used, as well as the CVS blower (o r disconnect the exhaust system from the 
CVS), if used.  
Allow the engine to soak for 20±1minutes . Prepare the engine and dynamometer for 
the hot start test. Connect ev acuated sample collection bags  to the dilute exhaust and 
dilution air sample collection systems. Star t the CVS (if used or not already on) or 
connect the exhaust system to the CVS (i f disconnected). Start the sample pumps 
(except the particulate sample pump(s), the engine cooling fa n(s) and the data 
collection system. 
The heat exchanger of the constant vol ume sampler (if used) and the heated 
components of any continuous sampling system (s) (if applicable) shall be preheated 
to their designated operating temper atures before the test begins. 
Adjust the sample flow rates to the desi red flow rate and set the CVS gas flow 
measuring devices to zero. Carefully install a clean particulate filter in each of the 
filter holders and install assembled filte r holders in the sample flow line. 
4.5.7.7. Hot start cycle 
As soon as it is determined that the engine  is started, start a ‘‘free idle’’ timer. Allow 
the engine to idle freely with no-load for 23 ±1 s. Begin the transient engine cycle  
EN 22   EN such that the first non-idle record of the cy cle occurs at 23 ±1 s. The free idle time is 
included in the 23 ±1s. 
The test shall be performed according to th e reference cycle as set out in Appendix 4 
to Annex III. Engine speed and torque co mmand set points shall be issued at 5 Hz 
(10 Hz recommended) or greater. The se t points shall be calculated by linear 
interpolation between the 1 Hz set points of  the reference cycle. Feedback engine 
speed and torque shall be recorded at least once every second during the test cycle, and the signals may be electronically filtered. 
The procedure described in previous sections 4.5.7.2. and 4.5.7.3. shall then be 
repeated. 
4.5.7.8. Engine stalling duri ng the hot start cycle 
If the engine stalls anywhere during the hot  start cycle, the engine may be shut off 
and re-soaked for 20 minutes. The hot start cycle may then be rerun. Only one hot re-
soak and hot start cycle restart is permitted. 
4.5.7.9. Operations after hot start cycle 
At the completion of the hot start cycle, the measurement of the exhaust gas mass 
flow rate, the diluted exhaust gas volume, the gas flow into th e collecting bags and 
the particulate sample pump shall be stoppe d. For an integrati ng analyzer system, 
sampling shall continue until system response times have elapsed. 
The concentrations of the collecting bags, if used, shall be analyzed as soon as 
possible and in any case not la ter than 20 minutes after th e end of the test cycle. 
After the emission test, a ze ro gas and the same span gas shall be used for re-
checking the analyzers. The test will be considered acceptable if the difference 
between the pre-test and post- test results is less than 2 % of the span gas value. 
The particulate filters shall be returned to the weighing chamber no later than one 
hour after completion of the test. They shal l be conditioned in a petri dish, which is 
protected against dust contam ination and allows air exch ange, for at least one hour, 
and then weighed. The gross weight of the filters shall be recorded.'' 
(6) Appendix 3 is amended as follows: (a) Section 2.1.2.4. is replaced by the following: 
''2.1.2.4. Calculation of the specific emissions  The specific emissions (g/kWh) shall be calculated for each individual component in 
the following way: 
  
hot act cold acthotgas
W WM
, ,, cold gas,
)10/9( )10/1( )10/9( (1/10)M    Individual gas ++= 
 
where: 
Mgas,cold  = total mass of gaseous pollutant  over the cold start cycle (g) 
Mgas,hot  = total mass of gaseous polluta nt over the hot start cycle (g) 
Wact,cold  = actual cycle work over the cold st art cycle as determined in Annex III 
Section 4.6.2. (kWh)    
EN 23   EN Wact,hot = actual cycle work over the hot start cycle as determined in Annex III 
Section 4.6.2. (kWh)'' 
(b) Section 2.1.3.1. is replaced by the following: 
''2.1.3.1. Calculation of mass emission The particulate masses M
PT,cold  and M PT,hot (g/test) shall be calculated by either of the 
following methods: 
(a) 1000EDFW
SAMf
PTM
MMM ×=
  
where 
MPT = M PT,cold  for the cold start cycle 
MPT = M PT,hot for the hot start cycle 
Mf = particulate mass samp led over the cycle (mg) 
MEDFW  = mass of equivalent diluted e xhaust gas over the cycle (kg) 
MSAM = mass of diluted exhaust gas passing the particulate collection filters (kg) 
The total mass of equivalent diluted e xhaust gas mass over the cycle shall be 
determined as follows: 
∑=
=× =n
ii EDFW EDFWfG M1
1,1
  
i i EXHW i EDFW q G G ×=, ,  
()i DILW i TOTWi TOTW
iG GGq
, ,,
−=
  
where 
GEDFW,i  = instantaneous equivalent dilute d exhaust mass flow rate (kg/s) 
GEXHW,i  = instantaneous exhaust mass flow rate (kg/s) 
qi = instantaneous dilution ratio 
GTOTW,i  = instantaneous diluted exhaust mass fl ow rate through dilution tunnel (kg/s) 
GDILW,i  = instantaneous dilution air mass flow rate (kg/s) 
f = data sampling rate (Hz) n = number of measurements 
(b) 
1000×=
sf
PTrMM  
where 
MPT = M PT,cold  for the cold start cycle 
MPT = M PT,hot for the hot start cycle 
Mf = particulate mass samp led over the cycle (mg)  
EN 24   EN rs = average sample ratio over the test cycle 
where 
TOTWSAM
EXHWSE
sMM
MMr ×=  
MSE = sampled exhaust mass over the cycle (kg) 
MEXHW  = total exhaust mass fl ow over the cycle (kg) 
MSAM = mass of diluted exhaust gas passing the particulate collection filters (kg) 
MTOTW  = mass of diluted exhaust gas passing the dilution tunnel (kg) 
NOTE: In case of the total sampling type system, M SAM and M TOTW  are identical'' 
(c) Section 2.1.3.3. is replaced by the following: 
''2.1.3.3 Calculation of the specific emissions The specific emissions (g/kWh) shall be calculated for in the following way: 
hotact coldacthotPT hotp coldPT coldp
W WM K M K
PT
, ,, , , ,
 )10/9(  )10/1()10/9( )10/1(
+× + ×
=  
where 
MPT,cold  = particulate mass over the cold start cycle (g/test) 
MPT,hot = particulate mass over the hot start cycle (g/test) 
Kp, cold = humidity correction factor for pa rticulate over the cold start cycle 
Kp, hot = humidity correction f actor for particulate over the hot start cycle  
Wact, cold  = actual cycle work over the cold start cycle as determined in section 4.6.2. 
of Annex III, (kWh) 
Wact, hot  = actual cycle work over the hot start cycle as determined in section 4.6.2. of 
Annex III, (kWh)'' 
(d) Section 2.2.4. is replaced by the following: 
''2.2.4. Calculation of the specific emissions The specific emissions (g/kWh) shall be calculated for each individual component in 
the following way: 
hotact coldacthotgas
W WM
, ,, cold gas,
)10/9( )10/1()10/9( (1/10)M  gas Individual++=  
where 
Mgas,cold  = total mass of gaseous pollutant over the cold start cycle (g) 
Mgas,hot  = total mass of gaseous polluta nt over the hot start cycle (g) 
Wact,cold  = actual cycle work over the cold start cycle as determined in section 4.6.2. 
of Annex III (kWh) 
Wact,hot = actual cycle work over the hot start cycl e as determined in section 4.6.2. of 
Annex III. (kWh)''  
EN 25   EN (e) Section 2.2.5.1. is replaced by the following: 
''2.2.5.1 Calculation of the mass flow The particulate masses M
PT,cold  and M PT,hot (g/test) shall be calculated as follows: 
MPT = 1000TOTW
SAMfM
MM∗
 
where 
MPT = M PT,cold  for the cold start cycle 
MPT = M PT,hot for the hot start cycle 
Mf = particulate mass sampled over the cycle (mg) 
MTOTW = total mass of diluted exhaust gas over the cycle as determined in section 
2.2.1. (kg) 
MSAM = mass of diluted exhaust gas taken from the dilution tunnel for collecting 
particulates (kg) 
and, M
f = M f,p + M f,b, if weighed separately (mg) 
Mf,p = particulate mass collected on the primary filter (mg) 
Mf,b = particulate mass collected on the back-up filter (mg) 
If a double dilution system is used, the ma ss of the secondary di lution air shall be 
subtracted from the total mass of the double diluted exhaust gas sampled through the 
particulate filters. 
MSAM = M TOT - M SEC 
where, M
TOT = mass of double diluted exhaust ga s through particulate filter (kg)  
MSEC = mass of secondary dilution air (kg)  
If the particulate background level of the dilution air is  determined in accordance 
with section 4.4.4 of Anne x III, the particulate mass may be background corrected. In 
this case, the particulate masses M PT,cold  and M PT,hot (g/test) shall be calculated as 
follows: 
100011TOTW
DILd
SAMf
PTM
DF MM
MM
M ×⎥
⎦⎤
⎢
⎣⎡
⎟⎟
⎠⎞
⎜⎜
⎝⎛⎟
⎠⎞⎜
⎝⎛−×−=  
where 
MPT = M PT,cold  for the cold start cycle 
MPT = M PT,hot for the hot start cycle 
Mf, M SAM, M TOTW  = see above 
MDIL = mass of primary dilution air sample d by background particulate sampler (kg) 
Md = mass of the collected b ackground particulates of th e primary dilution air (mg) 
DF = dilution factor as determ ined in section 2.2.3.1.1.''  
EN 26   EN (f) Section 2.2.5.3. is replaced by the following: 
''2.2.5.3. Calculation of the specific emissions The specific emissions (g/kWh) shall be calculated for in the following way: 
hotact coldacthotPT hotp coldPT coldp
W WM K M K
PT
, ,, , , ,
 )10/9(  )10/1()10/9( )10/1(
+× + ×
=  
where 
MPT,cold  = particulate mass over the cold start cycle of NRTC, (g/test) 
MPT,hot = particulate mass over the hot start cycle of NRTC, (g/test) 
Kp, cold = humidity correction factor for pa rticulate over the cold start cycle 
Kp, hot = humidity correction f actor for particulate over the hot start cycle  
Wact, cold  = actual cycle work over the cold start cycle as determined in section 4.6.2. 
of Annex III, (kWh) 
Wact, hot  = actual cycle work over the hot start cy cle as determined in Section 4.6.2. of 
Annex III, (kWh)''  
EN 27   EN ANNEX IV  
Annex XIII is amended as follows: 
(1) Sections 1.5. and 1.6. ar e replaced by the following:  
''1.5. The OEM shall provide the approval authority with any information connected 
with the implementation of the flexibility scheme that the approval authority may request as necessary for the decision. 
1.6. The OEM shall provide any requesting type approval authority in the Member 
States, with any information that the type approval authority requires in order to confirm that any engine claimed to be, or  labelled as being, placed on the market 
under a flexibility scheme is prope rly so claimed or labelled.'' 
(2) Section 1.7. is deleted.