1997L0068 — EN — 12.09.2001 — 001.001 — 1
This document is meant purely as a documentation tool and the institutions do not assume any liability for its contents
►B DIRECTIVE97/68/ECOFTHEEUROPEANPARLIAMENTANDOFTHECOUNCIL
of16December 1997
ontheapproximationofthelawsoftheMemberStatesrelatingtomeasuresagainsttheemission
ofgaseousandparticulatepollutantsfrominternalcombustionenginestobeinstalledinnon-road
mobilemachinery
(OJ L 59, 27.2.1998, p. 1)
Amended by:
Official Journal
No page date
►M1Commission Directive 2001/63/EC of 17 August 2001 L 227 41 23.8.2001
▼B
DIRECTIVE 97/68/EC OF THE EUROPEAN PARLIAMENT
ANDOFTHECOUNCIL
of16December 1997
on the approximationof the lawsofthe Member States relating to
measuresagainsttheemissionofgaseousandparticulatepollutantsfrom internal combustion engines to be installed in non-road
mobilemachinery
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,
Having regard to the Treaty establishing the European Community, and
in particular Article 100a thereof,
Having regard to the proposal from the Commission(1),
Having regard to the opinion of the Economic and Social
Committee(2),
Acting in accordance withth e procedure laid down in Article 189b of
the Treaty(3), in the light of the joint text approved by the Conciliation
Committee on 11 November 1997,
(1)Whereas the Community programme of policy and action inrelation to the environment and sustainable development(
4)
recognizes as a fundamental principle that all persons should be
effectively protected against recognized health risks from airpollution and that this necessitates in particular the control ofemissions of nitrogen dioxide (NO
2), particulates (PT) — black
smoke, and other pollutants such as carbon monoxide (CO);whereas with regard to the prevention of tropospheric ozone
(O
3) formation and its associated health and environmental
impact, the emissions of the precursors nitrogenoxides (NOx)
and hydrocarbons (HC) must be reduced; whereas the environ-mental damage caused by acidification will also requirereductions inter alia on the emission of NO
xand HC;
(2)Whereas the Community signed the UN/ECE protocol on vola-
tile organic compound (VOC) reduction in April 1992 andadhered to the protocol on NO
xreduction in December 1993,
both of which are related to the 1979 Convention on Long-range
Transboundary Air Pollution which was approved in July 1982;
(3)Whereas the objective of reducing the level of pollutant emis-
sions from non-road mobile machinery engines and theestablishment and operation of the internal market for engines
and machinery cannot be sufficiently achieved by individual
Member States, and can therefore be better achieved by theapproximation of the laws of the Member States relating tomeasures against air pollution by engines to be installed in non-road mobile machinery;
(4)Whereas recent investigations undertaken by the Commissionshow that the emissions from non-road mobile machineryengines constitute a significant proportion of the total man-made emissions of certain noxious atmospheric pollutants;whereas the category of compression ignition engines which
will be regulated by this Directive is responsible for a consider-
able share of air pollution by NO
xand PT, in particular when it
is compared with that coming from the road transport sector;1997L0068 — EN — 12.09.2001 — 001.001 — 2
(1) OJ C 328, 7.12.1995, p. 1.
(2) OJ C 153, 28.3.1996, p. 2.
(3) Opinion of the European Parliament of 25 October 1995 (OJ C 308,
20.11.1995, p. 29), Council common position of 20 January 1997 (OJ C
123, 21.4.1997, p. 1) and Decision of the European Parliament of 13 May1997, (OJ C 167, 2.7.1997, p. 22). Council Decision of 4 December 1997
and Decision of the European Parliament of 16 December 1997.
(
4) Resolution of the Council and the representatives of the Governments of the
Member States, meeting within the Council of 1 February 1993 (OJ C 138,
17.5.1993, p. 1).
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(5)Whereas emissions from non-road mobile machinery operating
on the ground equipped with compression ignition engines, and
in particular the emissions of NOxand PT, constitute a primary
cause of concern in this area; whereas these sources should beregulated in the first instance; whereas, however, it will also beappropriate subsequently to extend the scope of this Directive toinclude the control of emissions from other non-road mobile
machinery engines, including transportable generating sets, based
on appropriate test cycles, and in particular from gasolineengines; whereas a considerable reduction of the CO and HCemissions may be achievable with the envisaged enlargement ofthe scope of this Directive to include gasoline engines;
(6)Whereas emissions control legislation on agricultural andforestry tractor engines, ensuring a level of environmentalprotection equivalent to the level established pursuant to this
Directive, withstandards and requirements fully consistent with
it, should be introduced as soon as possible;
(7)Whereas, in respect of certification procedures, that type-
approval approach has been taken which, as a European method,
has stood the test of time for approvals of road vehicles and theircomponents; whereas, as a new element, the approval of a parentengine on behalf of a group of engines (engine family) builtusing similar components according to similar construction prin-
ciples, has been introduced;
(8)Whereas the engines produced in compliance with the require-
ments of this Directive will have to be accordingly marked and
notified to the approval authorities; whereas, in order to keep
administrative burdens low, no direct control by the authority ofthe engine production dates relevant for strengthened require-ments has been foreseen; whereas this freedom for themanufacturers requires them to facilitate the preparation of spotchecks by the authority and to make available relevant produc-
tion planning information at regular intervals; whereas absolute
compliance withnotification made in accordance withth isprocedure is not obligatory but a high degree of compliancewould facilitate the approval authorities' planning of assessmentsand contribute to a relationship of increased trust between manu-
facturers and type-approval authorities;
(9)Whereas approvals granted in accordance with Directive 88/77/
EEC(1) and withUN/ECE Regulation 49 Series 02, as listed in
Annex IV, Appendix II to Directive 92/53/EEC(2) are recog-
nized as equivalent to those required by this Directive in itsfirst stage;
(10)Whereas engines which are in compliance with the requirementsof this Directive and covered by its scope must be permitted tobe placed on the market in the Member States; whereas theseengines must not be subject to any other national emissionrequirement; whereas the Member State granting approvals will
take the necessary control measures;
(11)Whereas, in laying down the new test procedures and limit
values, it is necessary to take into account the specific usage
patterns of these types of engines;
(12)Whereas it is appropriate to introduce these new standards
according to the proven principle of a two-stage approach;1997L0068 — EN — 12.09.2001 — 001.001 — 3
(1) Council Directive 88/77/EEC of 3 December 1987 on the approximation of
the laws of the Member States relating to the measures to be taken against
the emission of gaseous pollutants from diesel engines for use in vehicles
(OJ L 36, 9.2.1988, p. 33). Directive as last amended by Directive 96/1/EC(OJ L 40, 17.2.1996, p. 1).
(
2) Council Directive 92/53/EEC of 18 June 1992 amending Directive 70/156/
EEC on the approximation of the laws of the Member States relating to the
type-approval of motor vehicles and their trailers (OJ L 225, 10.8.1992, p.
1).
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(13)Whereas, for engines with higher power output, the achievement
of substantial emission reduction seems to be easier, as existing
technology that has been developed for engines of road vehiclescan be used; whereas, taking this into account a staggered imple-mentation of the requirements has been foreseen, beginning withthe highest of three powerbands for stage I; whereas this prin-ciple has been retained for stage II with the exception of a new
fourthpowerband not covered by stage I;
(14)Whereas for this sector of non-road mobile machinery applica-
tions, which is now regulated and is the most important one
besides agricultural tractors if compared withemissions coming
from road transport, a considerable reduction of emissions canbe expected by the implementation of this Directive; whereasdue to, in general, very good performance of diesel engineswithrespect to CO and HC emissions, th e margin for improve-
ment in respect of the total amount emitted is very small;
(15)Whereas, in order to make provision for the case of exceptional
technical or economic circumstances, procedures have been inte-
grated which could exempt manufacturers from the obligations
arising from this Directive;
(16)Whereas, in order to ensure ‘conformity of production’ (COP)
once an approval is granted for an engine, manufacturers will
be required to provide corresponding arrangements; whereasprovisions have been made for the case of discovered non-conformity which lay down information procedures, correctiveactions and a cooperation procedure which will allow the settlingof possible differences of opinion between Member States in
respect of conformity of certified engines;
(17)Whereas the entitlement of Member States to lay down require-ments ensuring that workers are protected when using non-road
mobile machinery shall not be affected by this Directive;
(18)Whereas the technical provisions in certain Annexes to this
Directive should be supplemented and, as necessary, adapted to
technical progress according to a committee procedure;
(19)Whereas provisions should be laid down to ensure testing of the
engines in compliance withth e rules of good laboratory practice;
(20)Whereas there is a need to promote global trade in this sector by
harmonizing, as far as possible, emission standards in the
Community with those applied or planned in third countries;
(21)Whereas it is therefore necessary to envisage the possibility of
reconsidering the situation on the basis of the availability and
the economic feasibility of new technologies and taking account
of progress achieved in the implementation of the second stage;
(22)Whereas an agreement on a modus vivendi between the
European Parliament, the Council and the Commission
concerning the implementing measures for acts adopted in accor-dance with the procedure laid down in Article 189b of the Treatywas reached on 20 December 1994(
1),
HAVE ADOPTED THIS DIRECTIVE:
Article 1
Objectives
This Directive aims at approximating the laws of the Member States
relating to emission standards and type-approval procedures for enginesto be installed in non-road mobile machinery. It will contribute to thesmooth functioning of the internal market, while protecting humanhealth and the environment.1997L0068 — EN — 12.09.2001 — 001.001 — 4
(1) OJ C 102, 4.4.1996, p. 1.
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Article 2
Definitions
For the purposes of this Directive:
—non-road mobile machinery shall mean any mobile machine, trans-
portable industrial equipment or vehicle with or without body work,not intended for the use of passenger- or goods-transport on theroad, in which an internal combustion engine as specified in Annex
I section 1 is installed,
—type-approval shall mean the procedure whereby a Member State
certifies that an internal combustion engine type or engine familywithregard to th e level of emission of gaseous and particulatepollutants by the engine(s), satisfies the relevant technical require-ments of this Directive,
—engine type shall mean a category of engines which do not differ in
suchessential engine ch aracteristics as specified in Annex II,
Appendix 1,
—engine family shall mean a manufacturer's grouping of engines
which, through their design, are expected to have similar exhaust
emission characteristics and which comply with the requirementsof this Directive,
—parent engine shall mean an engine selected from an engine family
in such a way that it complies with the requirements set out insections 6 and 7 of Annex I,
—engine power output shall mean net power as specified in section
2.4 of Annex I,
—engine production date shall mean the date when the engine passes
the final check after it has left the production line. At this stage the
engine is ready to be delivered or to be put on stock,
—placing on the market small mean the action of making available on
the Community market, for payment or free of charge, a productcovered by this Directive, with a view to distribution and/or use inthe Community,
—manufacturer shall mean the person or body who is responsible to
the approval authority for all aspects of the type-approval processand for ensuring conformity of production. It is not essential that
the person or body is directly involved in all stages of the construc-
tion of the engine,
—approval authority shall mean a Member State's competent
authority or authorities responsible for all aspects of type-approvalof an engine or of an engine family, for issuing and withdrawingapproval certificates, for serving as the contact point with theapproval authorities of the other Member States, and for verifying
the manufacturer's conformity of production arrangements,
—technical service shall mean the organization(s) or body(ies) that
has(have) been appointed as a testing laboratory to carry out tests
or inspections on behalf of the approval authority of a MemberState. This function may also be carried out by the approvalauthority itself,
—information document shall mean the document set out in Annex II
that prescribes the information to be supplied by an applicant,
—information folder shall mean the total folder or file of data, draw-
ings, photographs, etc. supplied by the applicant to the technical
service or the approval authority as prescribed in the information
document,
—information package shall mean the information folder plus any test
reports or other documents that the technical service or the approvalauthority have added to the information folder in the course ofcarrying out their functions,
—index to the information package shall mean the document in which
the contents of the information package, suitably numbered orotherwise marked to clearly identify all pages, are listed.1997L0068 — EN — 12.09.2001 — 001.001 — 5
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Article 3
Applicationfortype-approval
1. Application for engine or engine family type-approval shall be
submitted by the manufacturer to the approval authority of a Member
State. An application shall be accompanied by an information folder,the contents of which are given in the information document in AnnexII. An engine conforming to the engine type characteristics described inAnnex II, Appendix 1, shall be submitted to the technical serviceresponsible for conducting the approval tests.
2. In the case of an application for type-approval of an engine
family, if the approval authority determines that, with regard to theselected parent engine, the submitted application does not fully repre-sent the engine family described in Annex II, Appendix 2, analternative and, if necessary, an additional parent engine which is deter-mined by the approval authority shall be provided for approval
according to paragraph1.
3. No application in respect of one engine type or engine family
may be submitted to more than one Member State. A separate applica-tion shall be submitted for each engine type or engine family to beapproved.
Article 4
Type-approvalprocedure
1. The Member State receiving the application shall grant type-
approval to all engine types or engine families which conform to the
particulars in the information folder and which meet the requirementsof this Directive.
2. The Member State shall complete all applicable sections of the
type-approval certificate, the model being given in Annex VI, for eachengine type or engine family which it approves and shall compile or
verify the contents of the index to the information package. Type-
approval certificates shall be numbered in accordance with the methoddescribed in Annex VII. The completed type-approval certificate andits attachments shall be delivered to the applicant.
3. Where the engine to be approved fulfils its function or offers a
specific feature only in conjunction with other parts of the non-road
mobile machinery, and for this reason compliance with one or more
requirements can be verified only when the engine to be approvedoperates in conjunction with other machinery parts, whether real orsimulated, the scope of the type-approval of the engine(s) must berestricted accordingly. The type-approval certificate for an engine typeor engine family shall then include any restrictions on its use and shall
indicate any conditions for fitting it.
4. The approval authority of each Member State shall:
(a) send monthly to the approval authorities of the other Member
States a list (containing the particulars shown in Annex VIII) ofthe engine and engine family type-approvals it has granted, refusedto grant or withdrawn during that month;
(b) on receiving a request from the approval authority of another
Member State, send forthwith:
— a copy of the engine or engine family type-approval certificate
with/without information package for each engine type orengine family which it has approved or refused to approve orwithdrawn, and/or
— the list of engines produced according to type-approvals
granted, as described in Article 6(3), containing the particularsshown in Annex IX, and/or
— a copy of the declaration described in Article 6(4).
5. The approval authority of each Member State shall yearly, or in
addition on receiving a corresponding application, send the Commis-1997L0068 — EN — 12.09.2001 — 001.001 — 6
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sion a copy of the data sheet as shown in Annex X related to the
engines approved since the last notification was made.
Article 5
Amendmentstoapprovals
1. The Member State which has granted type-approval must take the
necessary measures to ensure that it is informed of any change in the
particulars appearing in the information package.
2. The application for the amendment or extension of a type-
approval shall be submitted exclusively to the approval authority ofthe Member State which granted the original type-approval.
3. If particulars appearing in the information package have changed,
the approval authority of the Member State in question shall:
— issue revised page(s) of the information package as necessary,
marking each revised page to show clearly the nature of the changeand the date of re-issue. Wherever revised pages are issued the
index to the information package (which is attached to the type-
approval certificate) shall also be amended to show the latest datesof revised pages, and
— issue a revised type-approval certificate (denoted by an extension
number) if any information on it (excluding its attachments) haschanged or if the standards of this Directive have changed sincethe date currently on the approval. The revised certificate shall
show clearly the reason for revision and the date of re-issue.
If the approval authority of the Member State in question finds that an
amendment to an information package warrants freshtests or ch ecks, itshall inform the manufacturer thereof and issue the documentsmentioned above only after the conduct of successful fresh tests orchecks.
Article 6
Conformity
1. The manufacturer shall affix to each unit manufactured in confor-
mity with the approved type the markings as defined in section 3 of
Annex I, including the type-approval number.
2. Where the type-approval certificate, in accordance with Article
4(3), includes restrictions on use, the manufacturer shall deliver witheachunit manufactured, detailed information on th ese restrictions andshall indicate any conditions for fitting it. Where a series of engine
types is delivered to one single manufacturer of machinery, it is suffi-
cient that he will be provided with only one such informationdocument, at the latest on the delivery date of the first engine, whichadditionally lists the relevant engine identification numbers.
3. The manufacturer shall send on demand to the approval authority
which granted the type-approval, within 45 days after the end of each
calendar year, and without delay after each application date when the
requirements of this Directive change, and immediately followingeach additional date the authority may stipulate, a list which containsthe range of identification numbers for each engine type produced inaccordance with the requirements of this Directive since the last
reporting was made, or since the requirements of this Directive were
first applicable. Where not clarified by the engine coding system, thislist must specify correlations of the identification numbers to the corre-sponding engine types or engine families and to the type-approvalnumbers. Additionally, this list must contain particular information ifthe manufacturer ceases to produce an approved engine type or engine
family. Where this list is not required to be regularly sent to the
approval authority, the manufacturer must maintain these records for aminimum period of 20 years.
4. The manufacturer shall send to the approval authority which
granted the type-approval, within 45 days after the end of eachcalendar year and at eachapplication date referred to in Article 9, a1997L0068 — EN — 12.09.2001 — 001.001 — 7
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declaration specifying the engine types and engine families together
with the relevant engine identification codes for those engines heintends to produce from this date on.
Article 7
Acceptanceofequivalentapprovals
1. The European Parliament and the Council, acting on a proposal
from the Commission, may acknowledge the equivalence between the
conditions and provisions for type-approval of engines established bythis Directive and the procedures established by international regula-tions or regulations of third countries, in the framework of multilateralor bilateral agreements between the Community and third countries.
2. Type-approvals according to Directive 88/77/EEC which are in
compliance withstages A or B, provided for in Article 2 and section6.2.1 of Annex I to Directive 91/542/EEC(
1), and, where applicable,
the pertaining approval marks shall be accepted for stage I provided
for in Article 9(2) of this Directive. This validity shall be terminatedwitheffect from th e mandatory implementation of stage II providedfor in Article 9(3) of this Directive.
Article 8
Registrationandplacingonthemarket
1. Member States may not refuse registration, where applicable, or
placing on the market of new engines, whether or not already installedin machinery, which meet the requirements of this Directive.
2. Member States shall only permit registration, where applicable, or
placing on the market of new engines, whether or not already installedin machinery, which meet the requirements of this Directive.
3. The approval authority of a Member State granting a type-
approval shall take the necessary measures in relation to that approvalto register and control, if need be in cooperation withth e approval
authorities of the other Member States, the identification numbers of
those engines produced in conformity with the requirements of thisDirective.
4. An additional control of the identification numbers may take
place in conjunction withth e control of conformity of production asdescribed in Article 11.
5. With regard to the control of the identification numbers, the
manufacturer or his agents established in the Community shall withoutdelay give, on request, to the responsible approval authority all theinformation needed related to his/their purchasers together with theidentification numbers of the engines reported as produced in accor-
dance withArticle 6(3). Wh ere engines are sold to a manufacturer of
machinery, further information is not required.
6. If, at the request of the approval authority, the manufacturer is not
able to verify the requirements as specified in Article 6 particularly inconjunction with paragraph 5 of this Article, the approval granted inrespect of the corresponding engine type or family pursuant to thisDirective may be withdrawn. The information procedure shall then becarried out as described in Article 12(4).
Article 9
Timetable
1. GRANT OF TYPE-APPROVALS
After 30 June 1998, Member States may not refuse to grant type-
approval for an engine type or engine family or to issue the documentas described in Annex VI, and may not impose any other type-approval1997L0068 — EN — 12.09.2001 — 001.001 — 8
(1) OJ L 295, 25.10.1991, p. 1.
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requirements withregard to air-polluting emissions for non-road mobile
machinery in which an engine is installed, if the engine meets therequirements specified in this Directive as regards the emissions of
gaseous and particulate pollutants.
2. TYPE-APPROVALS STAGE I
(ENGINE CATEGORIES A/B/C)
Member States shall refuse to grant type-approval for an engine type or
engine family and to issue the document as described in Annex VI, andshall refuse to grant any other type-approval for non-road mobilemachinery in which an engine is installed:
after 30 June 1998 for engines of a power output:
— A: 130 kW ≤P≤560 kW,
—B : 7 5k W ≤P < 130 kW,
—C : 3 7k W ≤P < 75 kW,
if the engine fails to meet the requirements specified in this Directive
and where the emissions of gaseous and particulate pollutants from theengine do not comply with the limit values as set out in the table insection 4.2.1 of Annex I.
3. TYPE-APPROVALS STAGE II
(ENGINE CATEGORIES: D, E, F, G)
Member States shall refuse to grant type-approval for an engine type or
engine family and to issue the document as described in Annex VI, and
shall refuse to grant any other type-approval for non-road mobile
machinery in which an engine is installed:
— D: after 31 December 1999 for engines of a power output: 18
kW≤P < 37 kW,
— E: after 31 December 2000 for engines of a power output: 130
kW≤P≤560 kW,
— F: after 31 December 2001 for engines of a power output: 75
kW≤P < 130 kW,
— G: after 31 December 2002 for engines of a power output: 37
kW≤P < 75 kW,
if the engine fails to meet the requirements specified in this Directive
and where the emissions of gaseous and particulate pollutants from the
engine do not comply with the limit values as set out in the table insection 4.2.3. of Annex I.
4. REGISTRATION AND PLACING ON THE MARKET: ENGINE
PRODUCTION DATES
After the dates referred to hereafter, with the exception of machinery
and engines intended for export to third countries, Member States shallpermit the registration, where applicable, and placing on the market ofnew engines, whether or not already installed in machinery, only ifthey meet the requirements of this Directive, and only if the engine is
approved in compliance withone of th e categories as defined in para-
graphs 2 and 3.
Stage I
— category A: 31 December 1998
— category B: 31 December 1998— category C: 31 March1999
Stage II
— category D: 31 December 2000
— category E: 31 December 2001— category F: 31 December 2002— category G: 31 December 20031997L0068 — EN — 12.09.2001 — 001.001 — 9
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Nevertheless, for each category, Member States may postpone each
date mentioned in the above requirement for two years in respect ofengines witha production date prior to th e said date.
The permission granted for stage I-engines shall be terminated with
effect from the mandatory implementation of stage II.
Article 10
Exemptionsandalternativeprocedures
1. The requirements of Article 8(1) and (2) and of Article 9(4) do
not apply to:
— engines for use by the armed services,
— engines exempted in accordance withparagraph2.
2. Each Member State may, at the request of the manufacturer,
exempt end-of-series engines which are still in stock, or stocks ofnon-road mobile machinery in respect of their engines, from the timelimit(s) for placing on the market set out in Article 9(4) in accordancewithth e following conditions:
— the manufacturer must submit an application to the approval autho-
rities of that Member State which approved the corresponding
engine type(s) or engine family(ies) before the entry into force ofthe time limit(s),
— the application of the manufacturer must include a list as defined in
Article 6(3) of those new engines which are not placed on the
market within the time limit(s); in the case of engines covered bythis Directive for the first time, he must submit his application tothe type-approval authority of that Member State where the enginesare stored,
— the request must specify the technical and/or economic reasons on
which it is based,
— the engines must conform to a type or family for which the type-
approval is no longer valid, or which did not need a type-approval
before, but which have been produced according to the timelimit(s),
— the engines must have been physically stored within the Commu-
nity within the time limit(s),
— the maximum number of new engines of one or more types placed
on the market in each Member State by the application of thisexemption must not exceed 10 % of the new engines of all types
concerned placed on the market in that Member State during the
previous year,
— if the request is accepted by the Member State, the latter must,
within one month, send the approval authorities of the other
Member States particulars of, and reasons for, the exemptions
granted to the manufacturer,
— the Member State granting exemptions according to this Article
shall be responsible for ensuring that the manufacturer complies
withall corresponding obligations,
— the approval authority shall release for each engine in question a
certificate of conformity on which a special entry has been made.If applicable a consolidated document that contains all engine iden-
tification numbers in question may be used,
— Member States shall each year send the Commission a list of
exemptions granted specifying the reasons.
This option shall be limited to a period of 12 months as from the date
on which the engines for the first time were subject to the time limit(s)for placing on the market.
Article 11
Conformityofproductionarrangements
1. The Member State granting a type-approval shall take the neces-
sary measures to verify, withregard to th e specifications laid down in1997L0068 — EN — 12.09.2001 — 001.001 — 10
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section 5 of Annex I, if need be in cooperation withth e approval
authorities of the other Member States, that adequate arrangementshave been made to ensure effective control of the conformity of
production before it grants type-approval.
2. The Member State which has granted a type-approval shall take
the necessary measures to verify, with regard to the specifications laid
down in section 5 of Annex I, if need be in cooperation withth e
approval authorities of the other Member States, that the arrangementsreferred to in paragraph1 continue to be adequate and th at eachproduction engine bearing a type-approval number pursuant to thisDirective continues to conform to the description as given in the
approval certificate and its Annexes for the approved engine type or
family.
Article 12
Non-conformitywiththeapprovedtypeorfamily
1. There shall be failure to conform to the approved type or family
where deviations from the particulars in the type-approval certificate
and/or the information package are found to exist and where these
deviations have not been authorized, pursuant to Article 5(3), by theMember State which granted the type-approval.
2. If a Member State which has granted type-approval finds that
engines accompanied by a certificate of conformity or bearing anapproval mark do not conform to the type or family it has approved,it shall take the necessary measures to ensure that the engines inproduction again conform to the approved type or family. The approvalauthorities of that Member State shall advise those of the other
Member States of the measures taken which may, where necessary,
extend to withdrawal of type-approval.
3. If a Member State demonstrates that engines bearing a type-
approval number do not conform to the approved type or family it
may request the Member State which granted the type-approval toverify that engines in production conform to the approved type orfamily. Such action shall be taken within six months of the date ofthe request.
4. The approval authorities of the Member States shall inform each
other within one month of any withdrawal of type-approval and of thereasons for suchmeasure.
5. If the Member State which granted type-approval disputes the
failure to conform notified to it, the Member States concerned shallendeavour to settle the dispute. The Commission shall be keptinformed and shall, where necessary, hold appropriate consultations
for the purpose of reaching a settlement.
Article 13
Workerprotectionrequirements
The provisions of this Directive shall not affect Member States' entitle-
ment to lay down, in due observance of the Treaty, such requirementsas they may deem necessary to ensure that workers are protected when
using the machinery referred to in this Directive, provided that this
does not affect the placing on the market of the engines in question.
Article 14
Adaptationtotechnical progress
Any amendments which are necessary in order to adapt the Annexes to
this Directive, with exemption of the requirements specified in section
1, sections 2.1 to 2.8 and section 4 of Annex I, to take account of tech-nical progress shall be adopted by the Commission assisted by theCommittee established in accordance with Article 13 of Directive 92/53/EEC and in accordance withth e procedure laid down in Article 15of this Directive.1997L0068 — EN — 12.09.2001 — 001.001 — 11
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Article 15
Committeeprocedure
1. The representative of the Commission shall submit to the
committee a draft of the measures to be taken. The committee shall
deliver its opinion on the draft within a time limit which the chairmanmay lay down according to the urgency of the matter. The opinionshall be delivered by the majority laid down in Article 148(2) of theTreaty in the case of decisions which the Council is required to adopt
on a proposal from the Commission. The votes of the representatives of
the Member States within the committee shall be weighted in themanner set out in that Article. The chairman shall not vote.
2. (a) The Commission shall adopt measures which shall apply imme-
diately
(b) However, if the measures envisaged are not in accordance with
the opinion of the committee, they shall be communicated bythe Commission to the Council forthwith. In that event:
— the Commission shall defer application of the measures
which it has decided for a period not exceeding three monthsfrom the date of the communication,
— the Council, acting by a qualified majority, may take a
different decision within the time limit referred to in the firstindent.
Article 16
Approvalauthoritiesandtechnical services
The Member States shall notify to the Commission and to the other
Member States the names and addresses of the approval authoritiesand technical services that are responsible for the purposes of thisDirective. The notified services must satisfy the requirements as laid
down in Article 14 of Directive 92/53/EEC.
Article 17
Transposalintonationallaw
1. Member States shall bring into force the laws, regulations and
administrative provisions necessary to comply withth is Directive notlater than 30 June 1998. They shall forthwith inform the Commissionthereof.
When Member States adopt these measures, they shall contain a refer-
ence to this Directive or shall be accompanied by such reference on theoccasion of their official publication. The methods of making such areference shall be laid down by Member States.
2. Member States shall communicate to the Commission the texts of
the provisions of national law which they adopt in the field governed
by this Directive.
Article 18
Entryintoforce
This Directive shall enter into force on the 20th day following its
publication in the Official Journal of the European Communities .
Article 19
Furtherreductioninemissionlimit values
The European Parliament and the Council shall decide, by the end of
the year 2000 on a proposal which the Commission will submit beforethe end of 1999, on a further reduction in emission limit values, takinginto account the global availability of techniques for controlling air-polluting emissions from compression ignition engines and the airquality situation.1997L0068 — EN — 12.09.2001 — 001.001 — 12
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Article 20
Addressees
This Directive is addressed to the Member States.1997L0068 — EN — 12.09.2001 — 001.001 — 13
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ANNEX I
SCOPE, DEFINITIONS, SYMBOLS AND ABBREVIATIONS, ENGINE
MARKINGS, SPECIFICATIONS AND TESTS, SPECIFICATION OF
CONFORMITY OF PRODUCTION ASSESSMENTS, PARAMETERS
DEFINING THE ENGINE FAMILY, CHOICE OF THE PARENT
ENGINE
1. SCOPE
This Directive applies to engines to be installed in non-road mobile
machinery.
This Directive does not apply to engines for the propulsion of:
— vehicles as defined by Directive 70/156/EEC(1), and by Directive
92/61/EEC(2),
— agricultural tractors as defined by Directive 74/150/EEC(3).
Additionally, in order to be covered by this Directive, the engines have
to be installed in machinery which meets the following specific require-
ments:
A. intended and suited, to move, or to be moved on the ground, with or
without road, and with a C.I. engine having a net power in accor-
dance with section 2.4 that is higher than 18 kW but not more than
560 kW(4) and that is operated under intermittent speed rather than
a single constant speed.
Machinery, the engines of which are covered under this definition,
includes but is not limited to:
— industrial drilling rigs, compressors, etc.,
— construction equipment including wheel loaders, bulldozers,
crawler tractors, crawler loaders, truck-type loaders, off-highway
trucks, hydraulic excavators, etc.,
— agricultural equipment, rotary tillers,
— forestry equipment,— self-propelled agricultural vehicles (except tractors as defined
above),
— material handling equipment,— fork-lift trucks,
— road maintenance equipment (motor graders, road rollers,
asphalt finishers),
— snow-ploughequipment,
— ground support equipment in airports,
— aerial lifts,— mobile cranes.
This Directive is not applicable for the following applications:
B. ships
C. railway locomotives
D. aircrafts
E. generating sets
2. DEFINITIONS, SYMBOLS AND ABBREVIATIONS
For the purpose of this Directive,
2.1.compression ignition (C.I.) engine shall mean an engine which works
on the compression-ignition principle (e.g. diesel engine);1997L0068 — EN — 12.09.2001 — 001.001 — 14
(1) OJ L 42, 23.2.1970, p. 1. Directive as last amended by Directive 93/81/EEC (OJ L 264,
23.10.1993, p. 49).
(2) OJ L 225, 10.8.1992, p. 72.
(3) OJ L 84, 28.3.1974, p. 10. Directive as last amended by Directive 88/297/EEC (OJ L
126, 20.5.1988, p. 52).
(4) An approval granted in accordance withRegulation 49 of th e Economic Commission
for Europe, series of amendments 02, corrigenda 1/2 shall be deemed to be equivalentto an approval granted in accordance withDirective 88/77/EEC (see Directive 92/53/
EEC, Annex IV, section II).
▼B
2.2.gaseous pollutants shall mean carbon monoxide, hydrocarbons
(assuming a ratio of C1:H1.85and oxides of nitrogen, the last named
being expressed in nitrogen dioxide (NO2equivalent;
2.3.particulate pollutants shall mean any material collected on a specified
filter medium after diluting C.I. engine exhaust gas with clean filtered
air so that the temperature does not exceed 325 K (52 ºC);
2.4.net power shall mean the power in ‘EEC kW’ obtained on the test
bench at the end of the crankshaft, or its equivalent, measured in accor-
dance with the EEC method of measuring the power of internal
combustion engines for road vehicles as set out in Directive 80/1269/
EEC(1), except that the power of the engine cooling fan is excluded(2)
and the test conditions and reference fuel specified in this Directive are
adhered to;
2.5.rated speed shall mean the maximum full load speed allowed by the
governor as specified by the manufacturer;
2.6.per cent load shall mean the fraction of the maximum available torque
at an engine speed;
2.7.maximum torque speed shall mean the engine speed at which the
maximum torque is obtained from the engine, as specified by the manu-
facturer;
2.8.intermediate speed shall mean that engine speed which meets one of the
following requirements:
— for engines which are designed to operate over a speed range on a
full load torque curve, the intermediate speed shall be the declared
maximum torque speed if it occurs between 60 % and 75 % of rated
speed,
— if the declared maximum torque speed is less than 60 % of rated
speed, then the intermediate speed shall be 60 % of the rated speed,
— if the declared maximum torque speed is greater than 75 % of the
rated speed then the intermediate speed shall be 75 % of rated
speed.
2.9.Symbolsandabbreviations
2.9.1.Symbols for test parameters
Symbol Unit Term
Apm2Cross sectional area of the isokinetic
sampling probe
ATm2Cross sectional area of the exhaust pipe
aver Weighted average values for:
m3/h— volume flow
kg/h— mass flow
C1 — Carbon 1 equivalent hydrocarbon
conc ppm
Vol %Concentration (withsuffix of th e component
nominating)
conccppm
Vol %Background corrected concentration
concdppm
Vol %Concentration of dilution air
DF — Dilution factor
fa— Laboratory atmospheric factor
FFH— Fuel specific factor used for the calculations
of wet concentrations from dry concentra-
tions hydrogen to carbon ratio1997L0068 — EN — 12.09.2001 — 001.001 — 15
(1) OJ L 375, 31.12.1980, p. 46. Directive as last amended by Directive 89/491/EEC (OJ L
238, 15.8.1989, p. 43).
(2) This means that, contrary to the requirements of section 5.1.1.1 of Annex I to Directive
80/1269/EEC, the engine cooling fan must not be installed during the test for the checkof the engine net power; if on the contrary the manufacturer carries out the test with thefan installed on the engine, the power absorbed by the fan itself must be summed up to
the power so measured.
▼B
GAIRWkg/hIntake air mass flow rate on wet basis
GAIRDkg/hIntake air mass flow rate on dry basis
GDILWkg/hDilution air mass flow rate on wet basis
GEDFWkg/hEquivalent diluted exh aust gas mass flow
rate on wet basis
GEXHWkg/hExh aust gas mass flow rate on wet basis
GFUELkg/hFuel mass flow rate
GTOTWkg/hDiluted exh aust gas mass flow rate on wet
basis
HREFg/kg Reference value of absolute humidity
10,71 g/kg for calculation of NOxand parti-
culate humidity correction factors
Hag/kg Absolute humidity of the intake air
Hdg/kg Absolute humidity of the dilution air
i — Subscript denoting an individual mode
KH— Humidity correction factor for NOx
Kp— Humidity correction factor for particulate
KW,a— Dry to wet correction factor for the intake
air
KW,d— Dry to wet correction factor for the dilution
air
KW,e— Dry to wet correction factor for the diluted
exhaust gas
KW,r— Dry to wet correction factor for the raw
exhaust gas
L % Percent torque related to the maximum
torque for the test speed
mass g/hSubscript denoting emissions mass flow rate
MDILkg Mass of the dilution air sample passed
through the particulate sampling filters
MSAMkg Mass of the diluted exhaust sample passed
through the particulate sampling filters
Mdmg Particulate sample mass of the dilution air
collected
Mfmg Particulate sample mass collected
PakPa Saturation vapour pressure of the engine
intake air (ISO 3046: psy= PSY test
ambient)
pBkPa Total barometric pressure (ISO 3046:
Px= PX Site ambient total pressure
Py= PY Test ambient total pressure)
pdkPa Saturation vapour pressure of the dilution
air
pskPa Dry atmospheric pressure
P kW Power, brake uncorrected
PAEkW Declared total power absorbed by auxiliaries
fitted for the test which are not required by
paragraph2.4. of th is Annex
PMkW Maximum measured power at the test speed
under test conditions (see Annex VI,
Appendix 1)
PmkW Power measured at the different test modes
q — Dilution ratio
r — Ratio of cross sectional areas of isokinetic
probe and exhaust pipe1997L0068 — EN — 12.09.2001 — 001.001 — 16
▼B
Ra% Relative humidity of the intake air
Rd% Relative humidity of the dilution air
Rf— FID response factor
S kW Dynamometer settingT
aK Absolute temperature of the intake air
TDK Absolute dewpoint temperature
TrefK Reference temperature (of combustion air:
298 K)
VAIRDm3/hIntake air volume flow rate on dry basis
VAIRWm3/hIntake air volume flow rate on wet basis
VDILm3Volume of the dilution air sample passed
through the particulate sample filters
VDILWm3/hDilution air volume flow rate on wet basis
VEDFWm3/hEquivalent diluted exh aust gas volume flow
rate on wet basis
VEXHDm3/hExh aust gas volume flow rate on dry basis
VEXHWm3/hExh aust gas volume flow rate on wet basis
VSAMm3Volume of sample through particulate
sampling filters
VTOTWm3/hDiluted exh aust gas volume flow rate on
wet basis
WF — Weighting factor
WFE— Effective weighting factor
2.9.2.Symbols for the chemical components
CO Carbon monoxide
CO2Carbon dioxide
HC Hydrocarbons
NOxOxides of nitrogen
NO Nitric oxide
NO2Nitrogen dioxide
O2Oxygen
C2H6Ethane
PT Particulate
DOP Di-octylphthalateCH
4Methane
C3H8Propane
H2O Water
PTFE Polytetrafluoroethylene
2.9.3.Abbreviations
FID Flame ionization detector
HFID Heated flame ionization detector
NDIR Non-dispersive infrared analyser
CLD Chemiluminescent detectorHCLD Heated chemiluminescent detector
PDP Positive displacement pump
CFV Critical flow venturi1997L0068 — EN — 12.09.2001 — 001.001 — 17
▼B
3. ENGINE MARKINGS
3.1. The engine approved as a technical unit must bear:3.1.1. the trade mark or trade name of the manufacturer of the engine;
3.1.2. the engine type, engine family (if applicable), and a unique engine
identification number;
3.1.3. the EC type-approval number as described in Annex VII.
3.2. These marks must be durable for the useful life of the engine and must
be clearly legible and indelible. If labels or plates are used, they must
be attached in such a manner that in addition the fixing is durable for
the useful life of the engine, and the labels/plates cannot be removed
without destroying or defacing them.
3.3. These marks must be secured to an engine part necessary for normal
engine operation and not normally requiring replacement during engine
life.
3.3.1. These marks must be located so as to be readily visible to the average
person after the engine has been completed with all the auxiliaries
necessary for engine operation.
3.3.2. Eachengine must be provided witha supplementary movable plate in a
durable material, which must bear all data indicated under section 3.1,
to be positioned, if necessary, in order to make the marks referred to
under section 3.1 readily visible to the average person and easily acces-
sible when the engine is installed in a machine.
3.4. The coding of the engines in context with the identification numbers
must be such that it allows for the indubitable determination of the
sequence of production.
3.5. Before leaving the production line the engines must bear all markings.
3.6. The exact location of the engine markings shall be declared in Annex
VI, Section 1.
4. SPECIFICATIONS AND TESTS
4.1.General
The components liable to affect the emission of gaseous and particulate
pollutants shall be so designed, constructed and assembled as to enable
the engine, in normal use, despite the vibrations to which it may be
subjected, to comply with the provisions of this Directive.
The technical measures taken by the manufacturer must be such as to
ensure that the mentioned emissions are effectively limited, pursuant
to this Directive, throughout the normal life of the engine and under
normal conditions of use. These provisions are deemed to be met if
the provisions of sections 4.2.1, 4.2.3 and 5.3.2.1 are respectively
complied with.
If a catalytic converter and/or a particulates trap is used the manufac-
turer must prove by durability tests, which he himself may carry out
in accordance withgood engineering practice, and by corresponding
records, that these after-treatment devices can be expected to function
properly for the lifetime of the engine. The records must be producedin compliance withth e requirements of section 5.2 and in particular
withsection 5.2.3. A corresponding warranty must be guaranteed to
the customer. Systematic replacement of the device, after a certain
running time of the engine, is permissible. Any adjustment, repair,
disassembly, cleaning, or replacement of engine components or systems
which is performed on a periodic basis to prevent malfunction of the
engine in context with the after-treatment device, shall only be done to
the extent that is technologically necessary toassure proper functioning
of the emission control system. Accordingly scheduled maintenance
requirements must be included in the customer's manual, and be
covered by the warranty provisions mentioned above, and be approved
before an approval is granted. The corresponding extract from the
manual withrespect to maintenance/replacements of th e treatment
device(s), and to the warranty conditions, must be included in the infor-
mation document as set out in Annex II to this Directive.1997L0068 — EN — 12.09.2001 — 001.001 — 18
▼B
4.2.Specificationsconcerningtheemissionsofpollutants
The gaseous and particulate components emitted by the engine
submitted for testing shall be measured by the methods described in
Annex V.
Other systems or analysers may be accepted if they yield equivalent
results to the following reference systems:
— for gaseous emissions measured in the raw exhaust, the system
shown in Figure 2 of Annex V,
— for gaseous emissions measured in the dilute exhaust of a full flow
dilution system, the system shown in Figure 3 of Annex V,
— for particulate emissions, the full flow dilution system, operating
eith er witha separate filter for eachmode or withth e single filter
method, shown in Figure 13 of Annex V.
The determination of system equivalency shall be based on a seven-test
cycle (or larger) correlation study between the system under considera-
tion and one or more of the above reference systems.
The equivalency criterion is defined as a ± 5 % agreement of the
averages of the weighted cycle emissions values. The cycle to be used
shall be that given in Annex III, section 3.6.1.
For introduction of a new system into the Directive the determination of
equivalency shall be based upon the calculation of repeatability and
reproducibility, as described in ISO 5725.
4.2.1. The emissions of the carbon monoxide, the emissions of hydrocarbons,
the emissions of the oxides of nitrogen and the emissions of particulates
obtained shall for stage I not exceed the amount shown in the table
below:
Net power
(P)
(kW)Carbon monoxide
(CO)
(g/kWh)Hydrocarbons
(HC)
(g/kWh)Oxides of
nitrogen
(NOx)
(g/kWh)Particulates
(PT)
(g/kWh)
130≤P≤560 5,0 1,3 9,2 0,54
75≤P < 130 5,0 1,3 9,2 0,70
37≤P < 75 6,5 1,3 9,2 0,85
4.2.2. The emission limits given in point 4.2.1 are engine-out limits and shall
be achieved before any exhaust after-treatment device.
4.2.3. The emissions of the carbon monoxide, the emissions of hydrocarbons,
the emissions of the oxides of nitrogen and the emissions of particulates
obtained shall for stage II not exceed amounts shown in the table
below:
Net power
(P)
(kW)Carbon monoxide
(CO)
(g/kWh)Hydrocarbons
(HC)
(g/kWh)Oxides of
nitrogen
(NOx)
(g/kWh)Particulates
(PT)
(g/kWh)
130≤P≤560 3,5 1,0 6,0 0,2
75≤P < 130 5,0 1,0 6,0 0,3
37≤P < 75 5,0 1,3 7,0 0,4
18≤P < 37 5,5 1,5 8,0 0,8
4.2.4. Where, as defined according to Section 6 in conjunction with Annex II,
Appendix 2, one engine family covers more than one power band, the
emission values of the parent engine (type approval) and of all engine
types within the same family (COP) must meet the more stringent
requirements of the higher power band. The applicant has the free
choice to restrict the definition of engine families to single power
bands, and to correspondingly apply for certification.1997L0068 — EN — 12.09.2001 — 001.001 — 19
▼B
4.3.Installationonthemobilemachinery
The engine installation on the mobile machinery shall comply with the
restrictions set out in the scope of the type-approval. Additionally the
following characteristics in respect to the approval of the engine always
must be met:
4.3.1. intake depression shall not exceed that specified for the approved
engine in Annex II, Appendix 1 or 3 respectively;
4.3.2. exhaust back pressure shall not exceed that specified for the approved
engine in Annex II, Appendix 1 or 3 respectively.
5. SPECIFICATION OF CONFORMITY OF PRODUCTION ASSESS-
MENTS
5.1. With regard to the verification of the existence of satisfactory arrange-
ments and procedures for ensuring effective control of production
conformity before granting type-approval, the approval authority must
also accept the manufacturer's registration to harmonized standard EN
29002 (whose scope covers the engines concerned) or an equivalent
accreditation standard as satisfying the requirements. The manufacturer
must provide details of the registration and undertake to inform the
approval authority of any revisions to its validity or scope. In order to
verify that the requirements of section 4.2 are continuously met,
suitable controls of the production shall be carried out.
5.2. The holder of the approval shall in particular:5.2.1. ensure existence of procedures for the effective control of the quality of
the product;
5.2.2. have access to the control equipment necessary for checking the confor-
mity to eachapproved type;
5.2.3. ensure that data of test results are recorded and that annexed documents
shall remain available for a period to be determined in accordance with
the approval authority;
5.2.4. analyse the results of each type of test, in order to verify and ensure the
stability of the engine characteristics, making allowance for variations
in the industrial production process;
5.2.5. ensure that any sampling of engines or components giving evidence of
non-conformity with the type of test considered shall give rise to
another sampling and another test. All the necessary steps shall be
taken to re-establish the conformity of the corresponding production.
5.3. The competent authority which has granted approval may at any time
verify the conformity control methods applicable to each production
unit.
5.3.1. In every inspection, the test books and production survey record shall
be presented to the visiting inspector.
5.3.2. When the quality level appears unsatisfactory or when it seems neces-
sary to verify the validity of the data presented in application of section
4.2, the following procedure is adopted:
5.3.2.1. an engine is taken from the series and subjected to the test described in
Annex III. The emissions of the carbon monoxide, the emissions of the
hydrocarbons, the emissions of the oxides of nitrogen and the emissions
of particulates obtained shall not exceed the amounts shown in the table
in section 4.2.1, subject to the requirements of section 4.2.2, or those
shown in the table in section 4.2.3 respectively;
5.3.2.2. if the engine taken from the series does not satisfy the requirements of
section 5.3.2.1 the manufacturer may ask for measurements to be
performed on a sample of engines of the same specification taken
from the series and including the engine originally taken. The manufac-
turershall determine the size n of the sample in agreement with thetechnical service. Engines other than the engine originally taken shall
be subjected to a test. The arithmetical mean ( /C22xx) of the results obtained
with the sample shall then be determined for each pollutant. The
production of the series shall then be deemed to confirm if the
following condition is met:1997L0068 — EN — 12.09.2001 — 001.001 — 20
▼B
/C22xxþk/C1St/C20L(1)
where:L is the limit value laid down in section 4.2.1/4.2.3 for each pollutant
considered,
k is a statistical factor depending on n and given in the following table:
n234567891 0
k 0,973 0,613 0,489 0,421 0,376 0,342 0,317 0,296 0,279
n 1 11 21 31 41 51 61 71 81 9
k 0,265 0,253 0,242 0,233 0,224 0,216 0,210 0,203 0,198
if n≥20, k ¼
0;860ﬃﬃﬃnp
5.3.3. The approval authority or the technical service responsible for verifying
the conformity of production shall carry out tests on engines which
have been run-in partially or completely, according to the manufac-
turer's specifications.
5.3.4. The normal frequency of inspections authorized by the competent
authority shall be one per year. If the requirements of section 5.3.2 are
not met, the competent authority shall ensure that all necessary steps
are taken to re-establishth e conformity of production as rapidly as
possible.
6. PARAMETERS DEFINING THE ENGINE FAMILY
The engine family may be defined by basic design parameters which
must be common to engines within the family. In some cases there
may be interaction of parameters. These effects must also be taken
into consideration to ensure that only engines with similar exhaust
emission characteristics are included within an engine family.
In order that engines may be considered to belong to the same engine
family, the following list of basic parameters must be common:
6.1. Combustion cycle:
— 2 cycle
— 4 cycle
6.2. Cooling medium:
— air
— water— oil
6.3. Individual cylinder displacement:
— engines to be within a total spread of 15 %
— number of cylinders for engines withafter-treatment device
6.4. Method of air aspiration:
— naturally aspirated
— pressure charged
6.5. Combustion chamber type/design:
— pre-chamber
— swirl chamber
— open chamber
6.6. Valve and porting — configuration, size and number:
— cylinder head
— cylinder wall1997L0068 — EN — 12.09.2001 — 001.001 — 21
(1)S2
t¼Xx/C0/C22xxðÞ2
n/C01where x is any one of the individual results obtained with the sample
n.
▼B
— crankcase
6.7. Fuel system:
— pump-line-injector
— in-line pump
— distributor pump— single element— unit injector
6.8. Miscellaneous features:
— exhaust gas recirculation
— water injection/emulsion— air injection— charge cooling system
6.9. Exhaust after-treatment
— oxidation catalyst
— reduction catalyst— thermal reactor
— particulates trap
7. CHOICE OF THE PARENT ENGINE
7.1. The parent engine of the family shall be selected using the primary
criteria of the highest fuel delivery per stroke at the declared maximum
torque speed. In the event that two or more engines share this primary
criteria, the parent engine shall be selected using the secondary criteria
of highest fuel delivery per stroke at rated speed. Under certain circum-
stances, the approval authority may conclude that the worst case
emission rate of the family can best be characterized by testing a
second engine. Thus, the approval authority may select an additional
engine for test based upon features which indicate that it may have the
highest emission levels of the engines within that family.
7.2. If engines within the family incorporate other variable features which
could be considered to affect exhaust emissions, these features must
also be identified and taken into account in the selection of the parent
engine.1997L0068 — EN — 12.09.2001 — 001.001 — 22
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ANNEX II
INFORMATIONDOCUMENTNo.…
relatingtotype-approvalandreferringtomeasuresagainsttheemissionofgaseousandparticu-
latepollutantsfrominternalcombustionenginestobeinstalledinnon-roadmobilemachinery
(Directive 97/68/EC as last amended by Directive ../…/EC)
1997L0068 — EN — 12.09.2001 — 001.001 — 23
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Appendix 1
1997L0068 — EN — 12.09.2001 — 001.001 — 24
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1997L0068 — EN — 12.09.2001 — 001.001 — 25
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1997L0068 — EN — 12.09.2001 — 001.001 — 26
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Appendix 2
1997L0068 — EN — 12.09.2001 — 001.001 — 27
▼B
Appendix 3
1997L0068 — EN — 12.09.2001 — 001.001 — 28
▼B
1997L0068 — EN — 12.09.2001 — 001.001 — 29
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1997L0068 — EN — 12.09.2001 — 001.001 — 30
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ANNEX III
TESTPROCEDURE
1. INTRODUCTION
1.1. This Annex describes the method of determining emissions of gaseous
and particulate pollutants from the engines to be tested.
1.2. The test shall be carried out with the engine mounted on a test bench
and connected to a dynamometer.
2. TEST CONDITIONS
2.1.Generalrequirements
All volumes and volumetric flow rates shall be related to 273 K (0 ºC)
and 101,3 kPa.
2.2.Enginetestconditions
2.2.1. The absolute temperature Taof the engine intake air expressed in
Kelvin, and the dry atmospheric pressure ps, expressed in kPa, shall be
measured, and the parameter fashall be determined according to the
following provisions:
Naturally aspirated and mechanically supercharged engines:
fa¼99
ps/C18/C19T
298/C18/C190;7
Turbocharged engine with or without cooling of the intake air:
fa¼99
ps/C18/C190;7
/C2T
298/C18/C191;5
2.2.2.Test validity
For a test to be recognized as valid, the parameter fashall be such that:
0;96/C20fa/C201;06
2.2.3.Engines with charge air cooling
The temperature of the cooling medium and the temperature of the
charge air have to be recorded.
2.3.Engineairinletsystem
The test engine shall be equipped with an air inlet system presenting an
air inlet restriction at the upper limit specified by the manufacturer for a
clean air cleaner at the engine operating conditions as specified by the
manufacturer which result in maximum air flow.
A test shop system may be used, provided it duplicates actual engine
operating conditions.
2.4.Engineexhaustsystem
The test engine shall be equipped with an exhaust system presenting an
exhaust back pressure at the upper limit specified by the manufacturer
for the engine operating conditions which result in maximum declared
power.
2.5.Coolingsystem
An engine cooling system withsufficient capacity to maintain th e
engine at normal operating temperatures prescribed by the manufac-
turer.1997L0068 — EN — 12.09.2001 — 001.001 — 31
▼M1
▼B
▼B
2.6.Lubricatingoil
Specifications of the lubricating oil used for the test shall be recorded
and presented with the results of the test.
2.7.Testfuel
The fuel shall be the reference fuel specified in Annex IV.
The cetane number and the sulphur content of the reference fuel used
for test shall be recorded at sections 1.1.1 and 1.1.2 respectively of
Annex VI, Appendix 1.
The fuel temperature at the injection pump inlet shall be 306-316 K
(33-43 ºC).
2.8.Determinationofdynamometersettings
The settings of inlet restriction and exhaust pipe backpressure shall be
adjusted to the manufacturer's upper limits, in accordance with sections
2.3 and 2.4.
The maximum torque values at the specified test speeds shall be deter-
mined by experimentation in order to calculate the torque values for the
specified test modes. For engines which are not designed to operate
over a speed range on a full load torque curve, the maximum torque at
the test speeds shall be declared by the manufacturer.
The engine setting for each test mode shall be calculated using the
formula:
S¼PMþPAE ðÞ /C2L
100/C18/C19
/C0PAE
If the ratio,
PAE
PM/C210;03
the value of PAEmay be verified by the technical authority granting type
approval.
3. TEST RUN3.1.Preparationofthesamplingfilters
At least one hour before the test, each filter (pair) shall be placed in a
closed, but unsealed, petri dish and placed in a weighing chamber for
stabilization. At the end of the stabilization period, each filter (pair)
shall be weighed and the tare weight shall be recorded. The filter
(pair) shall then be stored in a closed petri dish or filter holder until
needed for testing. If the filter (pair) is not used within eight hours of
its removal from the weighing chamber, it must be reweighed before
use.
3.2.Installationofthemeasuringequipment
The instrumentation and sample probes shall be installed as required.
When using a full flow dilution system for exhaust gas dilution, the
tailpipe shall be connected to the system.
3.3.Startingthedilutionsystemandengine
The dilution system and the engine shall be started and warmed up until
all temperatures and pressures have stabilized at full load and rated
speed (section 3.6.2).
3.4.Adjustmentofthedilutionratio
The particulate sampling system shall be started and running on bypass
for the single filter method (optional for the multiple filter method).
The particulate background level of the dilution air may be determined
by passing dilution air through the particulate filters. If filtered dilution
air is used, one measurement may be done at any time prior to, during,
or after the test. If the dilution air is not filtered, measurements at a
minimum of three points, after the starting, before the stopping, and at1997L0068 — EN — 12.09.2001 — 001.001 — 32
▼B
a point near the middle of the cycle, are required, and the values aver-
aged.
The dilution air shall be set to obtain a maximum filter face tempera-
ture of 325 K (52 ºC) or less at each mode. The total dilution ratio shall
not be less than four.
For the single filter method, the sample mass flow rate through the
filter shall be maintained at a constant proportion of the dilute exhaust
mass flow rate for full flow systems for all modes. This mass ratio shall
be within ± 5 %, except for the first 10 seconds of each mode for
systems withoutbypass capability. For partial flow dilution systems
with single filter method, the mass flow rate through the filter shall be
constant within ± 5 % during each mode, except for the first 10 seconds
of eachmode for systems with out bypass capability.
For CO2or NOxconcentration controlled systems, the CO2or NOxcontent of the dilution air must be measured at the beginning and at
the end of each test. The pre and post test background CO2or NOxconcentration measurements of the dilution air must be within 100 ppmor 5 ppm of eachoth er, respectively.
When using a dilute exhaust gas analysis system, the relevant back-
ground concentrations shall be determined by sampling dilution air
into a sampling bag over the complete test sequence.
Continuous (non bag) background concentration may be taken at the
minimum of three points, at the beginning, at the end, and a point
near the middle of the cycle and averaged. At the manufacturer's
request background measurements may be omitted.
3.5.Checkingtheanalysers
The emission analysers shall be set at zero and spanned.
3.6.Testcycle
3.6.1. Specification A of machinery according to Section 1 of Annex I:
3.6.1.1. The following 8-mode cycle(
1) shall be followed in dynamometer
operation on the test engine:
Mode
numberEngine speed Load (%)Weighting
factor
1 Rated 100 0,15
2 Rated 75 0,15
3 Rated 50 0,154 Rated 10 0,15 Intermediate 100 0,1
6 Intermediate 75 0,1
7 Intermediate 50 0,18 Idle — 0,15
3.6.2.Conditioning of the engine
Warming up of the engine and the system shall be at maximum speed
and torque in order to stabilize the engine parameters according to the
recommendations of the manufacturer.
Note:The conditioning period should also prevent the influence of
deposits from a former test in the exhaust system. There is also
a required period of stabilization between test points which has
been included to minimise point to point influences.1997L0068 — EN — 12.09.2001 — 001.001 — 33
(1) Identical withC1 cycle of th e draft ISO 8178-4 standard.
▼B
3.6.3.Test sequence
The test sequence shall be started. The test shall be performed in the
order of the mode numbers as set out above for the test cycle.
During each mode of the test cycle after the initial transition period,
the specified speed shall be held to within ± 1 % of rated speedor ± 3 min
−1whichever is greater except for low idle which shall be
within the tolerances declared by the manufacturer. The specified
torque shall be held so that the average over the period during which
the measurements are being taken is within ± 2 % of the maximum
torque at the test speed.
For eachmeasuring point a minimum time of 10 minutes is necessary.
If for the testing of an engine, longer sampling times are required for
reasons of obtaining sufficient particulate mass on the measuring filter
the test mode period can be extended as necessary.
The mode length shall be recorded and reported.
The gaseous exhaust emission concentration values shall be measured
and recorded during the last three minutes of the mode.
The particulate sampling and the gaseous emission measurement should
not commence before engine stabilization, as defined by the manufac-
turer, has been achieved and their completion must be coincident.
The fuel temperature shall be measured at the inlet to the fuel injection
pump or as specified by the manufacturer, and the location of measure-
ment recorded.
3.6.4.Analyser response
The output of the analysers shall be recorded on a strip chart recorder
or measured withan equivalent data acquisition system withth e
exhaust gas flowing through the analysers at least during the last three
minutes of eachmode. If bag sampling is applied for th e diluted CO
and CO2measurement (see Appendix 1, section 1.4.4), a sample shall
be bagged during the last three minutes of each mode, and the bag
sample analysed and recorded.
3.6.5.Particulate sampling
The particulate sampling can be done either with the single filter
method or with the multiple filter method (Appendix 1, section 1.5).
Since the results of the methods may differ slightly, the method used
must be declared withth e results.
For the single filter method the modal weighting factors specified in the
test cycle procedure shall be taken into account during sampling by
adjusting sample flow rate and/or sampling time, accordingly.
Sampling must be conducted as late as possible within each mode. The
sampling time per mode must be at least 20 seconds for the single filter
method and at least 60 seconds for the multi-filter method. For systems
without bypass capability, the sampling time per mode must be a least60 seconds for single and multiple filter methods.
3.6.6.Engine conditions
The engine speed and load, intake air temperatur, fuel flow and air or
exhaust gas flow shall be measured for each mode once the engine has
been stabilized.
If the measurement of the exhaust gas flow or the measurement of
combustion air and fuel consumption is not possible, it can be calcu-
lated using the carbon and oxygen balance method (see Appendix 1,
section 1.2.3).
Any additional data required for calculation shall be recorded (see
Appendix 3, sections 1.1 and 1.2).
3.7.Re-checkingtheanalysers
After the emission test a zero gas and the same span gas will be used
for re-checking. The test will be considered acceptable if the difference
between the two measuring results is less than 2 %.1997L0068 — EN — 12.09.2001 — 001.001 — 34
▼B
Appendix 1
1. MEASUREMENT AND SAMPLING PROCEDURES
Gaseous and particulate components emitted by the engine submitted
for testing shall be measured by the methods described in Annex V.
The methods of Annex V describe the recommended analytical systems
for the gaseous emissions (section 1.1) and the recommended particu-
late dilution and sampling systems (section 1.2).
1.1.Dynamometerspecification
An engine dynamometer with adequate characteristics to perform the
test cycle described in Annex III, section 3.6.1 shall be used. The
instrumentation for torque and speed measurement shall allow the
measurement of the shaft power within the given limits. Additional
calculations may be necessary.
The accuracy of the measuring equipment must be such that the
maximum tolerances of the figures given in point 1.3 are not exceeded.
1.2.Exhaustgasflow
The exhaust gas flow shall be determined by one of the methods
mentioned in sections 1.2.1 to 1.2.4.
1.2.1.Direct measurement method
Direct measurement of the exhaust flow by flow nozzle or equivalent
metering system (for detail see ISO 5167).
Note:Direct gaseous flow measurement is a difficult task. Precautions
must be taken to avoid measurement errors which will impact
emission value errors.
1.2.2.Air and fuel measurement method
Measurement of the air flow and the fuel flow.Air flow-meters and fuel flow-meters withan accuracy defined in
section 1.3 shall be used.
The calculation of the exhaust gas flow is as follows:
G
EXHW ¼GAIRWþGFUEL
(for wet exhaust mass)
or
VEXHD ¼VAIRD/C00;766/C2GFUEL
(for dry exhaust volume)
or
VEXHW ¼VAIRWþ0;746/C2GFUEL
(for wet exhaust volume)
1.2.3.Carbon balance method
Exhaust mass calculation from fuel consumption and exhaust gas
concentrations using the carbon balance method (see Annex III,
Appendix 3).
1.2.4.Total dilute exhaust gas flow
When using a full flow dilution system, the total flow of the dilute
exhaust (GTOTW,VTOTW) shall be measured with a PDP or CFV — Annex
V, section 1.2.1.2. The accuracy shall confom to the provisions of
Annex III, Appendix 2, section 2.2.1997L0068 — EN — 12.09.2001 — 001.001 — 35
▼B
1.3.Accuracy
The calibration of all measurement instruments shall be traceable to
national (international) standards and comply withth e following
requirements:
Number ItemPermissible devia-
tion
(± values based on
engines maximum
values)Permissible devia-
tion
(± values
according to ISO
3046)Calibration inter-
vals
(months)
1 Engine speed 2 % 2 % 3
2 Torque 2 % 2 % 33 Power 2 % (
1) 3 % not applicable
4 Fuel consumption 2 % (1)3 % 6
5 Specific fuel
consumptionnot applicable 3 % not applicable
6 Air consumption 2 % (1)5 % 6
7 Exhaust gas flow 4 % (1) not applicable 6
8 Coolant temperature 2 K 2 K 39 Lubricant tempera-
ture2K 2K 3
10 Exhaust gas pressure 5 % of
maximum5% 3
11 Inlet manifold
depressions5%o f
maximum5% 3
12 Exhaust gas tempera-
ture15 K 15 K 3
13 Air inlet temperature
(combustion air)2K 2K 3
14 Atmospheric pressure 0,5 % of reading 0,5 % 3
15 Intake air humidity
(Relative)3 % not applicable 1
16 Fuel temperature 2 K 5 K 3
17 Dilution tunnel
temperatures1,5 K not applicable 3
18 Dilution air humidity 3 % not applicable 1
19 Diluted exhaust gas
flow2 % of reading not applicable 24 (partial flow)
(full flow) (
2)
(1) The calculations of the exhaust emissions as described in this Directive are, in some cases, based on
different measurement and/or calculation methods. Because of limited total tolerances for the exhaust
emission calculation, the allowable values for some items, used in the appropriate equations, must besmaller than the allowed tolerances given in ISO 3046-3.
(
2) Full flow systems — the CVS positive displacement pump or critical flow Venturi shall be calibrated
following initial installation, major maintenance or as necessary when indicated by the CVS system
verification described in Annex V.1997L0068 — EN — 12.09.2001 — 001.001 — 36
▼B
1.4.Determinationofthegaseouscomponents
1.4.1.General analyser specifications
The analysers shall have a measuring range appropriate for the accuracy
required to measure the concentrations of the exhaust gas components
(section 1.4.1.1). It is recommended that the analysers be operated
such that the measured concentration falls between 15 % and 100 %
of full scale.
If the full scale value is 155 ppm (or ppm C) or less or if read-out
systems (computers, data loggers) that provide sufficient accuracy and
resolution below 15 % of full scale are used concentrations below
15 % of full scale are also acceptable. In this case, additional calibra-
tions are to be made to ensure the accuracy of the calibration curves —
Annex III, Appendix 2, section 1.5.5.2.
The electromagnetic compatibility (EMC) of the equipment shall be on
a level as to minimize additional errors.
1.4.1.1. Measurement error
The total measurement error, including the cross sensitivity to other
gases — see Annex III, Appendix 2, point 1.9 shall not exceed ± 5 %
of the reading or 3,5 % of full scale, whichever is smaller. For concen-
trations of less than 100 ppm the measurement error shall not
exceed ± 4 ppm.
1.4.1.2. Repeatability
The repeatability, defined as 2,5 times the standard deviation of 10
repetitive responses to a given calibration or span gas, must be no
greater than ± 1 % of full scale concentration for each range used above
155 ppm (or ppm C) or ± 2 % of eachrange used below 155 ppm (or
ppm C).
1.4.1.3. Noise
The analyser peak-to-peak response to zero and calibration or span
gases over any 10-second period shall not exceed 2 % of full scale on
all ranges used.
1.4.1.4. Zero drift
The zero drift during a one-hour period shall be less than 2 % of full
scale on the lowest range used. The zero response is defined as the
mean response, including noise, to a zero gas during a 30-seconds
time interval.
1.4.1.5. Span drift
The span drift during a one hour period shall be less than 2 % of full
scale on the lowest range used. Span is defined as the difference
between the span response and the zero response. The span response is
defined as the mean response, including noise, to a span gas during a
30-seconds time interval.
1.4.2.Gas drying
The optional gas drying device must have a minimal effect on the
concentration of the measured gases. Chemical dryers are not an accep-
table method of removing water from the sample.
1.4.3.Analysers
Sections 1.4.3.1 to 1.4.3.5 of this Appendix describe the measurement
principles to be used. A detailed description of the measurement
systems is given in Annex V.
The gases to be measured shall be analysed with the following instru-
ments. For non-linear analysers, the use of linearizing circuits ispermitted.
1.4.3.1. Carbon m onoxide (CO) analysis
The carbon monoxide analyser shall be of the non-dispersive infra-red
(NDIR) absorption type.
1.4.3.2. Carbon dioxide (CO
2)a n a l y s i s
The carbon dioxide analyser shall be of the non-dispersive infra-red
(NDIR) absorption type.1997L0068 — EN — 12.09.2001 — 001.001 — 37
▼B
1.4.3.3. Hydrocarbon (HC) analysis
The hydrocarbon analyser shall be of the heated flame ionization
detector (HFID) type withdetector, valves, pipework, etc, h eated so as
to maintain a gas temperature of 463 K (190 ºC) ± 10 K.
1.4.3.4. Oxides of nitrogen (NOx)a n a l y s i s
The oxides of nitrogen analyser shall be of the chemiluminescent
detector (CLD) or heated chemiluminescent detector (HCLD) type
witha NO2/NO converter, if measured on a dry basis. If measured on
a wet basis, a HCLD withconverter maintained above 333 K (60 ºC)
shall be used, provided the water quench check (Annex III, Appendix
2, section 1.9.2.2) is satisfied.
1.4.4.Sampling for gaseous emissions
The gaseous emissions sampling probes must be fitted at least 0,5 m or
three times the diameter of the exhaust pipe — whichever is the larger
— upstream of the exit of the exhaust gas system as far as applicable
and sufficiently close to the engine as to ensure an exhaust gas
temperature of at least 343 K (70 ºC) at the probe.
In the case of a multicylinder engine with a branched exhaust manifold,
the inlet of the probe shall be located sufficiently far downstream so as
to ensure that the sample is representative of the average exhaust emis-
sions from all cylinders. In multicylinder engines having distinct groups
of manifolds, suchas in a ‘V’-engine configuration, it is permissible to
acquire a sample from eachgroup individually and calculate an average
exhaust emission. Other methods which have been shown to correlate
with the above methods may be used. For exhaust emissions calculation
the total exhaust mass flow of the engine must be used.
If the composition of the exhaust gas is influenced by any exhaust after-
treatment system, the exhaust sample must be taken upstream of this
device in the tests of stage I and downstream of this device in the tests
of stage II. When a full flow dilution system is used for the determina-
tion of the particulates, the gaseous emissions may also be determined
in the diluted exhaust gas. The sampling probes shall be close to the
particulate sampling probe in the dilution tunnel (Annex V, section
1.2.1.2, DT and section 1.2.2, PSP). CO and CO2may optionally be
determined by sampling into a bag and subsequent measurement of the
concentration in the sampling bag.
1.5.Determinationoftheparticulates
The determination of the particulates requires a dilution system. Dilu-
tion may be accomplished by a partial flow dilution system or a full
flow dilution system. The flow capacity of the dilution system shall belarge enoughto completely eliminate water condensation in th e dilution
and sampling systems, and maintain the temperature of the diluted
exhaust gas at or below 325 K (52 ºC) immediately upstream of the
filter holders. De-humidifying the dilution air before entering the dilu-
tion system is permitted, if the air humidity is high. Dilution air pre-
heating above the temperature limit of 303 K (30 ºC) is recommended,
if the ambient temperature is below 293 K (20 ºC). However, the
diluted air temperature must not exceed 325 K (52 ºC) prior to the
introduction of the exhaust in the dilution tunnel.
For a partial flow dilution system, the particulate sampling probe must
be fitted close to and upstream of the gaseous probe as defined in
section 4.4 and in accordance withAnnex V, section 1.2.1.1, figures
4-12 EP and SP.
The partial flow dilution system has to be designed to split the exhaust
stream into two fractions, the smaller one being diluted with air and
subsequently used for particulate measurement. From that it is essential
that the dilution ratio be determined very accurately. Different splitting
methods can be applied, whereby the type of splitting used dictates to a
significant degree the sampling hardware and procedures to be used
(Annex V, section 1.2.1.1).
To determine the mass of the particulates, a particulate sampling
system, particulate sampling filters, a microgram balance and a
temperature and humidity controlled weighing chamber are required.
For particulate sampling, two methods may be applied:
—the single filter method uses one pair of filters (see section 1.5.1.3
of this Appendix) for all modes of the test cycle. Considerable
attention must be paid to sampling times and flows during the1997L0068 — EN — 12.09.2001 — 001.001 — 38
▼B
sampling phase of the test. However, only one pair of filters will be
required for the test cycle,
—the multiple filter method dictates that one pair of filters (see section
1.5.1.3 of this Appendix) is used for each of the individual modes of
the test cycle. This method allows more lenient sample procedures
but uses more filters.
1.5.1.Particulate sampling filters
1.5.1.1. Filter specification
Fluorocarbon coated glass fibre filters or fluorocarbon based membrane
filters are required for certification tests. For special applications
different filter materials may be used. All filter types shall have a
0,3 µm DOP (di-octylphthalate) collection efficiency of at least 95 %
at a gas face velocity between 35 and 80 cm/s. When performing corre-
lation tests between laboratories or between a manufacturer and an
approval authority, filters of identical quality must be used.
1.5.1.2. Filter size
Particulate filters must have a minimum diameter of 47 mm (37 mm
stain diameter). Larger diameter filters are acceptable (section 1.5.1.5).
1.5.1.3. Primary and back-up filters
The diluted exhaust shall be sampled by a pair of filters placed in series
(one primary and one back-up filter) during the test sequence. The
back-up filter shall be located no more than 100 mm downstream of,
and shall not be in contact with the primary filter. The filters may be
weighed separately or as a pair with the filters placed stain side to stain
side.
1.5.1.4. Filter face velocity
A gas face velocity through the filter of 35 to 80 cm/s shall be
achieved. The pressure drop increase between the beginning and the
end of the test shall be no more than 25 kPa.
1.5.1.5. Filter loading
The recommended minimum filter loading shall be 0,5 mg/1 075 mm2
stain area for the single filter method. For the most common filter size
the values are as follows:
Filter diameter
(mm)Recommended stain
diameter
(mm)Recommended
minimum loading
(mg)
47 37 0,5
70 60 1,390 80 2,3
110 100 3,6
For the multiple filter method, the recommended minimum filter
loading for the sum of all filters shall be the product of the appropriate
value above and the square root of the total number of modes.
1.5.2.Weighing chamber and analytical balance specifications
1.5.2.1. Weighing chamber conditions
The temperature of the chamber (or room) in which the particulate
filters are conditioned and weighed shall be maintained to within
295 K (22 ºC) ± 3 K during all filter conditioning and weighing. The
humidity shall be maintained to a dewpoint of 282,5 (9,5 ºC) ± 3 K
and a relative humidity of 45 ± 8 %.
1.5.2.2. Reference filter weighing
The chamber (or room) environment shall be free of any ambient
contaminants (such as dust) that would settle on the particulate filters
during their stabilisation. Disturbances to weighing room specifications
as outlined in section 1.5.2.1 will be allowed if the duration of the
disturbances does not exceed 30 minutes. The weighing room should
meet the required specifications prior to personnel entrance into the
weighing room. At least two unused reference filters or reference filter1997L0068 — EN — 12.09.2001 — 001.001 — 39
▼B
pairs shall be weighed within four hours of, but preferably at the same
time as the sample filter (pair) weighing. They shall be the same size
and material as the sample filters.
If the average weight of the reference filters (reference filter pairs)
changes between sample filter weighing by more than ± 5 % (± 7,5 %
for the filter pair) of the recommended minimum filter loading (section
1.5.1.5), then all sample filters shall be discarded and the emissions test
repeated.
If the weighing room stability criteria outlined in section 1.5.2.1 is not
met, but the reference filter (pair) weighing meet the above criteria, the
engine manufacturer has the option of accepting the sample filter
weights or voiding the tests, fixing the weighing room control system
and re-running the test.
1.5.2.3. Analytical balance
The analytical balance used to determine the weights of all filters shall
have a precision (standard deviation) of 20 µg and a resolution of 10 µg
(1 digit = 10 µg). For filters less than 70 mm diameter, the precision
and resolution shall be 2 µg and 1 µg, respectively.
1.5.2.4. Elimination of static electricity effects
To eliminate the effects of static electricity, the filters shall be neutra-
lized prior to weighing, for example, by a Polonium neutralizer or a
device of similar effect.
1.5.3.Additional specifications for particulate measurement
All parts of the dilution system and the sampling system from the
exhaust pipe up to the filter holder, which are in contact with raw and
diluted exhaust gas, must be designed to minimize deposition or altera-
tion of the particulates. All parts must be made of electrically
conductive materials that do not react with exhaust gas components,
and must be electrically grounded to prevent electrostatic effects.1997L0068 — EN — 12.09.2001 — 001.001 — 40
▼B
Appendix 2
1. CALIBRATION OF THE ANALYTICAL INSTRUMENTS
1.1.Introduction
Each analyzer shall be calibrated as often as necessary to fulfil the
accuracy requirements of this standard. The calibration method that
shall be used is described in this paragraph for the analysers indicated
in Appendix 1, section 1.4.3.
1.2.Calibrationgases
The shelf life of all calibration gases must be respected.The expiry date of the calibration gases stated by the manufacturer shall
be recorded.
1.2.1.Pure gases
The required purity of the gases is defined by the contamination limits
given below. The following gases must be available for operation:
— purified nitrogen
(contamination ≤1 ppm C, ≤1 ppm CO, ≤400 ppm CO
2,
≤0,1 ppm NO)
— purified oxygen
(purity > 99,5 % vol O2)
— hydrogen-helium mixture
(40 ± 2 % hydrogen, balance helium)
(contamination ≤1 ppm C, ≤400 ppm ►M1CO2◄)
— purified synthetic air
(contamination ≤1 ppm C, ≤1 ppm CO, ≤400 ppm CO2,
≤0,1 ppm NO)
(oxygen content between 18—21 % vol)
1.2.2.Calibration and span gases
Mixture of gases having the following chemical compositions shall be
available:
—C3H8and purified synthetic air (see section 1.2.1)
— CO and purified nitrogen
— NO and purified nitrogen (the amount of NO2contained in this cali-
bration gas must not exceed 5 % of the NO content)
—O2and purified nitrogen
—C O2and purified nitrogen
—C H4and purified synthetic air
—C2H6and purified synthetic air
Note:other gas combinations are allowed provided the gases do not
react withone anoth er.
Thetrueconcentration ofacalibration andspangasmustbewithin±2%
of the nominal value. All concentrations of calibration gas shall be
given on a volume basis (volume percent or volume ppm).
The gases used for calibration and span may also be obtained by means
of a gas divider, diluting withpurified N2or withpurified synth etic air.
The accuracy of the mixing device must be such that the concentration
of the diluted calibration gases may be determined to within ± 2 %.
1.3.Operatingprocedureforanalysersandsamplingsystem
The operating procedure for analysers shall follow the start-up and
operating instructions of the instrument manufacturer. The minimum
requirements given in sections 1.4 to 1.9 shall be included.
1.4.Leakagetest
A system leakage test shall be performed. The probe shall be discon-
nected from the exhaust system and the end plugged. The analyser
pump shall be switched on. After an initial stabilization period all
flow meters should read zero. If not, the sampling lines shall be
checked and the fault corrected. The maximum allowable leakage rate
on the vacuum side shall be 0,5 % of the in-use flow rate for the1997L0068 — EN — 12.09.2001 — 001.001 — 41
▼B
portion of the system being checked. The analyser flows and bypass
flows may be used to estimate the in-use flow rates.
Another method is the introduction of a concentration step change at
the beginning of the sampling line by switching from zero to span gas.
If after an adequate period of time the reading shows a lower concen-
tration compared to the introduced concentration, this points to
calibration or leakage problems.
1.5.Calibrationprocedure
1.5.1.Instrument assembly
The instrument assembly shall be calibrated and calibration curves
checked against standard gases. The same gas flow rates shall be used
as when sampling exhaust.
1.5.2.Warming-up time
The warming-up time should be according to the recommendations of
the manufacturer. If not specified, a minimum of two Hours is recom-
mended for warming-up the analysers.
1.5.3.NDIR and HFID analyser
The NDIR analyser shall be tuned, as necessary, and the combustion
flame of the HFID analyser shall be optimized (section 1.8.1).
1.5.4.Calibration
Eachnormally used operating range sh all be calibrated.Using purified synthetic air (or nitrogen), the CO, CO
2,N ox, HC and O2analysers shall be set at zero.The appropriate calibration gases shall be introduced to the analysers,
the values recorded, and the calibration curve established according to
section 1.5.6.
The zero setting shall be re-checked and the calibration procedure
repeated, if necessary.
1.5.5.Establishment of the calibration curve
1.5.5.1. General guidelines
The analyser calibration curve is established by at least five calibration
points (excluding zero) spaced as uniformly as possible. The highest
nominal concentration must be equal to or higher than 90 % of full
scale.
The calibration curve is calculated by the method of least squares. If the
resulting polynomial degree is greater than three, the number of calibra-
tion points (zero included) must be at least equal to this polynomial
degree plus two.
The calibration curve must not differ by more than ± 2 % from the
nominal value of eachcalibration point and by more th an ± 1 % of
full scale at zero.
From the calibration curve and the calibration points, it is possible to
verify that the calibration has been carried out correctly. The different
characteristic parameters of the analyser must be indicated, particularly:
— the measuring range,
— the sensitivity,— the date of carrying out the calibration.
1.5.5.2. Calibration below 15 % of full scale
The analyser calibration curve is established by at least ten calibration
points (excluding zero) spaced so that 50 % of the calibration points is
below 10 % of full scale.
The calibration curve is calculated by the method of least squares.
The calibration curve must not differ by more than ± 4 % from the
nominal value of eachcalibration point and by more th an ± 1 % of
full scale at zero.1997L0068 — EN — 12.09.2001 — 001.001 — 42
▼B
1.5.5.3. Alternative methods
If it can be shown that alternative technology (e.g. computer, electroni-
cally controlled range switch, etc.) can give equivalent accuracy, then
these alternatives may be used.
1.6.Verificationofthecalibration
Each normally used operating range shall be checked prior to each
analysis in accordance withth e following procedure.
The calibration is checked by using a zero gas and a span gas whose
nominal value is more than 80 % of full scale of the measuring range.
If, for the two points considered, the value found does not differ by
more than ± 4 % of full scale from the declared reference value, the
adjustment parameters may be modified. Should this not be the case, a
new calibration curve shall be established in accordance with section
1.5.4.
1.7.Efficiency testoftheNOxconverter
The efficiency of the converter used for the conversion of NO2into NO
is tested as given in sections 1.7.1 to 1.7.8 (Figure 1).
1.7.1.Test set-up
Using the test set-up as shown in Figure 1 (see also Appendix 1, section
1.4.3.5) and the procedure below, the efficiency of converters can be
tested by means of an ozonator.
Figure 1
SchematicofNO2converter efficiency device
1.7.2.Calibration
The CLD and the HCLD shall be calibrated in the most common oper-
ating range following the manufacturer's specifications using zero and
span gas (the NO content of which must amount to about 80 % of the
operating range and the NO2concentration of the gas mixture to less1997L0068 — EN — 12.09.2001 — 001.001 — 43
▼B
than 5 % of the NO concentration). The NOxanalyser must be in the
NO mode so that the span gas does not pass through the converter.
The indicated concentration has to be recorded.
1.7.3.Calculation
The efficiency of the NOxconverter is calculated as follows:
Efficiency % ðÞ ¼1þa/C0b
c/C0d/C18/C19
/C2100
(a) NOxconcentration according to section 1.7.6;
(b) NOxconcentration according to section 1.7.7;
(c) NO concentration according to section 1.7.4;
(d) NO concentration according to section 1.7.5.
1.7.4.Adding of oxygen
Via a T-fitting, oxygen or zero air is added continuously to the gas flow
until the concentration indicated is about 20 % less than the indicated
calibration concentration given in section 1.7.2. (The analyser is in the
NO mode.)
The indicated concentration (c) shall be recorded. The ozonator is kept
de-activated throughout the process.
1.7.5.Activation of the ozonator
The ozonator is now activated to generate enough ozone to bring the
NO concentration down to about 20 % (minimum 10 %) of the calibra-
tion concentration given in section 1.7.2. The indicated concentration
(d) shall be recorded. (The analyser is in the NO mode.)
1.7.6.NOxmode
The NO analyser is then switched to the NOxmode so that the gas
mixture (consisting of NO, NO2,O2and N2) now passes through the
converter. The indicated concentration (a) shall be recorded. (The
analyser is in the NOxmode.)
1.7.7.De-activation of the ozonator
The ozonator is now de-activated. The mixture of gases described in
section 1.7.6 passes through the converter into the detector. The indi-
cated concentration (b) shall be recorded. (The analyser is in the NOxmode.)
1.7.8.NO mode
Switched to NO mode with the ozonator de-activated, the flow of
oxygen or synthetic air is also shut off. The NOxreading of the analyser
shall not deviate by more than ± 5 % from the value measured
according to section 1.7.2. (The analyser is in the NO mode.)
1.7.9.Test interval
The efficiency of the converter must be tested prior to each calibration
of the NOxanalyser.
1.7.10.Efficiency requirement
The efficiency of the converter shall not be less than 90 %, but a higher
efficiency of 95 % is strongly recommended.
Note:If, with the analyser in the most common range, the ozonator
cannot give a reduction from 80 % to 20 % according to section
1.7.5, then the highest range which will give the reduction shall
be used.
1.8.AdjustmentoftheFID
1.8.1.Optimization of the detector response
The HFID must be adjusted as specified by the instrument manufac-
turer. A propane in air span gas should be used to optimize the
response on the most common operating range.
With the fuel and air flow rates set at the manufacturer's recommenda-
tions, a 350 ± 75 ppm C span gas shall be introduced to the analyser.
The response at a given fuel flow shall be determined from the differ-
ence between the span gas response and the zero gas response. The fuel1997L0068 — EN — 12.09.2001 — 001.001 — 44
▼B
flow shall be incrementally adjusted above and below the manufac-
turer's specification. The span and zero response at these fuel flows
shall be recorded. The difference between the span and zero response
shall be plotted and the fuel flow adjusted to the rich side of the curve.
1.8.2.Hydrocarbon response factors
The analyser shall be calibrated using propane in air and purified
synthetic air, according to section 1.5.
Response factors shall be determined when introducing an analyser into
service and after major service intervals. The response factor (Rf) for a
particular hydrocarbon species is the ratio of the FID C1 reading to the
gas concentration in the cylinder expressed by ppm C1.
The concentration of the test gas must be at a level to give a response
of approximately 80 % of full scale. The concentration must be known
to an accuracy of ± 2 % in reference to a gravimetric standard
expressed in volume. In addition, the gas cylinder must be pre-condi-
tioned for 24 hours at a temperature of 298 K (25 ºC) ± 5 K.
The test gases to be used and the recommended relative response factor
ranges are as follows:
— methane and purified synthetic air: 1,00 ≤Rf≤1,15
— propylene and purified synthetic air: 0,90 ≤Rf≤1,1
— toluene and purified synthetic air: 0,90 ≤Rf≤1,10
These values are relative to the response factor (Rf) of 1,00 for propane
and purified synthetic air.
1.8.3.Oxygen interference check
The oxygen interference check shall be determined when introducing an
analyser into service and after major service intervals.
The response factor is defined and shall be determined as described in
section 1.8.2. The test gas to be used and the recommended relative
response factor range are as follows:
— propane and nitrogen: 0,95 ≤Rf≤1,05
This value is relative to the response factor (Rf) of 1,00 for propane and
purified synthetic air.
The FID burner air oxygen concentration must be within ± 1 mole % of
the oxygen concentration of the burner air used in the latest oxygen
interference check. If the difference is greater, the oxygen interference
must be checked and the analyser adjusted, if necessary.
1.9.Interference effectswithNDIRandCLDanalysers
Gases present in the exhaust other than the one being analysed can
interfere withth e reading in several ways. Positive interference occurs
in NDIR instruments where the interfering gas gives the same effect as
the gas being measured, but to a lesser degree. Negative interference
occurs in NDIR instruments by the interfering gas broadening the
absorption band of the measured gas, and in CLD instruments by the
interfering gas quenching the radiation. The interference checks in
sections 1.9.1 and 1.9.2 shall be performed prior to an analyser's initial
use and after major service intervals.
1.9.1.CO analyser interference check
Water and CO2can interfere with the CO analyser performance. There-
fore a CO2span gas having a concentration of 80 to 100 % of full scale
of the maximum operating range used during testing shall be bubbled
through water at room temperature and the analyser response recorded.
The analyser response must not be more than 1 % of full scale for
ranges equal to or above 300 ppm or more than 3 ppm for ranges below
300 ppm.
1.9.2.NOxanalyser quench checks
The two gases of concern for CLD (and HCLD) analysers are CO2and
water vapour. Quench responses of these gases are proportional to their
concentrations, and therefore require test techniques to determine the
quench at the highest expected concentrations experienced during
testing.1997L0068 — EN — 12.09.2001 — 001.001 — 45
▼B
1.9.2.1. CO2quenchch eck
AC O2span gas having a concentration of 80 to 100 % of full scale of
the maximum operating range shall be passed through the NDIR
analyser and the CO2value recorded as A. It shall then be diluted
approximately 50 % with NO span gas and passed through the NDIR
and (H)CLD withth e CO2and NO values recorded as B and C, respec-
tively. The CO2shall be shut off and only the NO span gas be passed
through the (H)CLD and the NO value recorded as D.
The quench shall be calculated as follows:
%C O2quench ¼1/C0C/C2A ðÞ
D/C2A ðÞ /C0 D/C2B ðÞ/C18/C19/C20/C21
/C2100
and must not be greater than 3 % of full scale.
where:
A: undiluted CO2concentration measured withNDIR %
B: diluted CO2concentration measured withNDIR %
C: diluted NO concentration measured withCLD ppmD: undiluted NO concentration measured withCLD ppm
1.9.2.2. Water quenchch eck
This check applies to wet gas concentration measurements only. Calcu-
lation of water quenchmust consider dilution of th e NO span gas with
water vapour and scaling of water vapour concentration of the mixture
to that expected during testing. A NO span gas having a concentration
of 80 to 100 % of full scale to the normal operating range shall be
passed through the (H)CLD and the NO value recorded as D. The NO
gas shall then be bubbled through water at room temperature and
passed through the (H)CLD and the NO value recorded as C. The water
temperature shall be determined and recorded as F. The mixture's
saturation vapour pressure that corresponds to the bubbler water
temperature (F) shall be determined and recorded as G. The water
vapour concentration (in %) of the mixture shall be calculated as
follows:
and recorded as H. The expected diluted NO span gas (in water vapour)
concentration shall be calculated as follows:
and recorded as De. For diesel exhaust, the maximum exhaust watervapour concentration (in %) expected during testing shall be estimated,
under the assumption of a fuel atom H/C ration of 1,8 to 1, from the
maximum CO
2concentration in the exhaust gas or from the undiluted
CO2span gas concentration (A, as measured in section 1.9.2.1) as
follows:
Hm = 0,9 × A
and recorded as Hm.
The water quench shall be calculated as follows:
and must not be greater than 3 % of full scale.
De: expected diluted NO concentration (ppm)
C: diluted NO concentration (ppm)Hm: maximum water vapour concentration (%)
H: actual water vapour concentration (%)1997L0068 — EN — 12.09.2001 — 001.001 — 46
▼M1
▼M1
NB:It is important that the NO span gas contains minimal NO2concentration for this check, since obsorption of NO2in water
has not been accounted for in the quench calculations.
1.10.Calibrationintervals
The analysers shall be calibrated according to section 1.5 at least every
three months or whenever a system repair or change is made that could
influence calibration.
2. CALIBRATION OF THE PARTICULATE MEASURING SYSTEM2.1.Introduction
Each component shall be calibrated as often as necessary to fulfil the
accuracy requirements of this standard. The calibration method to be
used is described in this section for the components indicated in Annex
III, Appendix 1, section 1.5 and Annex V.
2.2.Flowmeasurement
The calibration of gas flow-meters or flow measurement instrumenta-
tion shall be traceable to national and/or international standards.
The maximum error of the measured value shall be within ± 2 % of
reading.
If the gas flow is determined by differential measurement, the
maximum error of the difference shall be such that the accuracy of
G
EDFis within ± 4 % (see also Annex V, section 1.2.1.1 EGA). It can
be calculated by taking the root-mean-square of the errors of each
instrument.
2.3.Checkingthedilutionratio
When using particulate sampling systems without EGA (Annex V,
section 1.2.1.1), the dilution ratio shall be checked for each new engine
installation with the engine running and the use of either the CO2or
NOxconcentration measurements in the raw and dilute exhaust.
The measured dilution ratio shall be within ± 10 % of the calculated
dilution ratio from CO2or NOxconcentration measurement.
2.4.Checkingthepartialflowconditions
The range of the exhaust gas velocity and the pressure oscillations shall
be checked and adjusted according to the requirements of Annex V,
section 1.2.1.1, EP, if applicable.
2.5.Calibrationintervals
The flow measurement instrumentation shall be calibrated at least every
three months, or whenever a system change is made that could influ-
ence calibration.1997L0068 — EN — 12.09.2001 — 001.001 — 47
▼B
▼B
Appendix 3
1. DATA EVALUATION AND CALCULATIONS
1.1.Gaseousemissionsdataevaluation
For the evaluation of the gaseous emissions, the chart reading of the
last 60 seconds of each mode shall be averaged, and the average
concentrations (conc) of HC, CO, NOxand CO2if the carbon balance
method is used, during each mode shall be determined from the average
chart readings and the corresponding calibration data. A different type
of recording can be used if it ensures an equivalent data acquisition.
The average background concentrations (concd) may be determined
from the bag readings of the dilution air or from the continous (non-
bag) background reading and the corresponding calibration data.
1.2.Particulate emissions
For the evaluation of the particulates, the total sample masses (MSAM,i)
or volumes (VSAM,i) through the filters shall be recorded for each mode.
The filters shall be returned to the weighing chamber and conditioned
for at least one hour, but not more than 80 hours, and then weighed.
The gross weight of the filters shall be recorded and the tare weight
(see section 3.1, Annex III) subtracted. The particulate mass (Mffor
single filter method; Mf,ifor the multiple filter method) is the sum of
the particulate masses collected on the primary and back-up filters.
If background correction is to be applied, the dilution air mass (MDIL)o r
volume (VDIL) through the filters and the particulate mass (Md) shall be
recorded. If more than one measurement was made, the quotient Md/
MDILor Md/VDILmust be calculated for eachsingle measurement and
the values averaged.
1.3.Calculationofthegaseousemissions
The finally reported test results shall be derived through the following
steps:
1.3.1.Determination of the exhaust gas flow
The exhaust gas flow rate (GEXHW,VEXHWor VEXHD) shall be determined
for eachmode according to Annex III, Appendix 1, sections 1.2.1 to
1.2.3.
When using a full flow dilution system, the total dilute exhaust gas
flow rate (GTOTW,VTOTW) shall be determined for each mode according
to Annex III, Appendix 1, section 1.2.4.
1.3.2.Dry/wet correction
When applying GEXHW,VEXHW,GTOTWor VTOTW, the measured concentra-
tion shall be converted to a wet basis according to the following
formulae, if not already measured on a wet basis:
conc wet ðÞ ¼kw/C2conc dry ðÞ
For the raw exhaust gas:
kw;r;1¼1/C0FFH/C2GFUEL
GAIRD/C18/C19
/C0kw2
or:
kw;r;2¼1
1þ1;88/C20;005/C2% CO dry ½/C138 þ %C O2dry½/C138 ðÞ/C18/C19
/C0kw2
For the diluted exhaust gas:
kw;e;1¼1/C01;88/C2CO2% wetðÞ
200/C18/C19
/C0kw11997L0068 — EN — 12.09.2001 — 001.001 — 48
▼B
or:
kw;e;2¼1/C0kw1
1þ1;88/C2CO2% dryðÞ
2000
BB@1
CCA
FFHmay be calculated by:
FFH¼1;969
1þGFUEL
GAIRW/C18/C19
For the dilution air:
kW;d¼1/C0kW1
kW1¼1;608/C2Hd/C21/C01=DF ðÞ þ Ha/C21=DFðÞ ½/C138
1000 þ1;608/C2Hd/C21/C01=DF ðÞ þ Ha/C21=DFðÞ ½/C138
Hd¼6;22/C2Rd/C2pd
PB/C0Pd/C2Rd/C210/C02
For the intake air (if different from the dilution air):
kW;a¼1/C0kW2
kW2¼1;608/C2Ha
1000 þ1;608/C2Ha ðÞ
Ha¼6;22/C2Ra/C2pa
pB/C0pa/C2Ra/C210/C02
where:
Ha: absolute humidity of the intake air, g water per kg dry air
Hd: absolute humidity of the dilution air, g water per kg dry air
Rd: relative humidity of the dilution air, %
Ra: relative humidity of the intake air, %
pd: saturation vapour pressure of the dilution air, kPa
pa: saturation vapour pressure of the intake air, kPa
pb: total barometric pressure, kPa.
1.3.3.Humidity correction for NOx
As the NOxemission depends on ambient air conditions, the NOxconcentration shall be corrected for ambient air temperature and
humidity by the factors KHgiven in the following formula:
KH¼1
1þA/C2Ha/C010;71 ðÞ þ B/C2Ta/C0298 ðÞ
where:
A: 0,309 GFUEL/GAIRD− 0,0266
B: − 0,209 GFUEL/GAIRD+ 0,00954
T: temperatures of the air in K
GFUEL
GAIRD¼Fuel air ratio dry air basis ðÞ
Ha: humidity of the intake air, g water per kg dry air:
Ha¼6;220/C2Ra/C2pa
pB/C0pa/C2Ra/C210/C021997L0068 — EN — 12.09.2001 — 001.001 — 49
▼B
Ra: relative humidity of the intake air, %
pa: saturation vapour pressure of the intake air, kPa
pb: total barometric pressure, kPa.
1.3.4.Calculation of emission mass flow rates
The emission mass flow rates for each mode shall be calculated as
follows:
(a) For the raw exhaust gas(1):
Gasmass¼u/C2conc/C2GEXHW
or:
Gasmass¼v/C2conc/C2VEXHD
or:
Gasmass¼w/C2conc/C2VEXHW
(b) For the dilute exhaust gas(1):
Gasmass¼u/C2concc/C2GTOTW
or:
Gasmass¼w/C2concc/C2VTOTW
where:
conccis the background corrected concentration
concc¼conc/C0concd/C21/C01=DFðÞðÞ
DF¼13;4=concCO 2þconcCO þconcHC ðÞ /C2 10/C04/C0/C1
or:
DF¼13;4=concCO 2:
The coefficients u — wet, v — dry, w — wet shall be used according
to the following table:
Gas u v w conc
NOx0,001587 0,002053 0,002053 ppm
CO 0,000966 0,00125 0,00125 ppmHC 0,000479 — 0,000619 ppm
CO
215,19 19,64 19,64 percent
The density of HC is based upon an average carbon to hydrogen ratio
of 1:1,85.
1.3.5.Calculation of the specific emissions
The specific emission (g/kWh) shall be calculated for all individual
components in the following way:1997L0068 — EN — 12.09.2001 — 001.001 — 50
(1) In the case of NOx,t heN Oxconcentration (NOxconc or NOxconcc) has to be multiplied
by KHNOX(humidity correction factor for NOxquoted in the previous section 1.3.3) as
follows: K HNOX /C2conc or K HNOX /C2concc
▼B
Individual gas ¼Xn
i¼1Gasmassi/C2WFi
Xn
i¼1Pi/C2WFi
where
Pi¼Pm;iþPAE ;i:
The weighting factors and the number of modes (n) used in the above
calculation are according to Annex III, section 3.6.1.
1.4.Calculationoftheparticulateemission
The particulate emission shall be calculated in the following way:
1.4.1.Humidity correction factor for particulates
As the particulate emission of diesel engines depends on ambient air
conditions, the particulate mass flow rate shall be corrected for ambient
air humidity with the factor Kpgiven in the following formula:
Kp¼1=1þ0;0133 /C2Ha/C010;71 ðÞ ðÞ
Ha: humidity of the intake air, grammes of water per kg dry air
Ha¼6;22/C2Ra/C2pa
pB/C0pa/C2Ra/C210/C02
Ra: relative humidity of the intake air, %
pa: saturation vapour pressure of the intake air, kPa
pb: total barometric pressure, kPa
1.4.2.Partial flow dilution system
The final reported test results of the particulate emission shall be
derived through the following steps. Since various types of dilution
rate control may be used, different calculation methods for equivalent
diluted exhaust gas mass flow rate GEDFor equivalent diluted exhaust
gas volume flow rate VEDFapply. All calculations shall be based upon
the average values of the individual modes (i) during the sampling
period.
1.4.2.1. Isokinetic systems
GEDFW ;i¼GEXHW ;i/C2qi
or:
VEDFW ;i¼VEXHW ;i/C2qi
qi¼GDILW ;iþGEXHW ;i/C2r/C0/C1
GEXHW ;i/C2r/C0/C1
or:
qi¼VDILW ;iþVEXHW ;i/C2r/C0/C1
VEXHW ;i/C2r/C0/C1
where r corresponds to the ratio of the cross sectional areas of the isoki-
netic probe Apand exhaust pipe AT:
r¼Ap
AT1997L0068 — EN — 12.09.2001 — 001.001 — 51
▼B
1.4.2.2. Systems withmeasurement of CO2or NOxconcentration
GEDFW ;i¼GEXHW ;i/C2qi
or:
VEDFW ;i¼VEXHW ;i/C2qi
qi¼ConcE;i/C0ConcA;i
ConcD;i/C0ConcA;i
where:
ConcE= wet concentration of the tracer gas in raw exhaust
ConcD= wet concentration of the tracer gas in the diluted exhaust
ConcA= wet concentration of the tracer gas in the dilution air
Concentrations measured on a dry basis shall be converted to a wet
basis according to section 1.3.2 of this Appendix.
1.4.2.3. Systems withCO2measurement and carbon balance method
GEDFW ;i¼206 ;6/C2GFUEL ;i
CO2D;i/C0CO2A;i
where:
CO2D=C O2concentration of the diluted exhaust
CO2A=C O2concentration of the dilution air
(concentrations in volume % on wet basis)This equation is based upon the carbon balance assumption (carbon
atoms supplied to the engine are emitted as CO
2) and derived through
the following steps:
GEDFW ;i¼GEXHW ;i/C2qi
and:
qi¼206 ;6/C2GFUEL ;i
GEXHW ;i/C2CO2D;i/C0CO2A;i/C0/C1
1.4.2.4. Systems withflow measurement
GEDFW ;i¼GEXHW ;i/C2qi
qi¼GTOTW ;i
GTOTW ;i/C0GDILW ;i/C0/C1
1.4.3.Full flow dilution system
The final reported test results of the particulate emission shall be
derived through the following steps.
All calculations shall be based upon the average values of the indivi-
dual modes (i) during the sampling period.
GEDFW ;i¼GTOTW ;i
or:
VEDFW ;i¼VTOTW ;i1997L0068 — EN — 12.09.2001 — 001.001 — 52
▼B
1.4.4.Calculation of the particulate mass flow rate
The particulate mass flow rate shall be calculated as follows:For the single filter method:
PT
mass¼Mf
MSAM/C2GEDFWðÞaver
1000
or:
PTmass¼Mf
VSAM/C2VEDFWðÞaver
1000
where:
(GEDFW)aver,( VEDFW)aver,( MSAM)aver,( VSAM)averover the test cycle shall be
determined by summation of the average values of the individual modes
during the sampling period:
GEDFWðÞaver¼Xn
i¼1GEDFW ;i/C2WFi
VEDFWðÞaver¼Xn
i¼1VEDFW ;i/C2WFi
MSAM¼Xn
i¼1MSAM ;i
VSAM¼Xn
i¼1VSAM ;i
where i = 1, … n
For the multiple filter method:
PTmass ;i¼Mf;i
MSAM ;i/C2GEDFW ;i/C0/C1
1000
or:
PTmass ;i¼Mf;i
VSAM ;i/C2VEDFW ;i/C0/C1
1000
where i = 1, … n
The particulate mass flow rate may be background corrected as follows:
For single filter method:
If more than one measurement is made, (Md/MDIL)o r( Md/VDIL) shall be
replaced with(Md/MDIL)averor (Md/VDIL)aver, respectively.
DF¼13;4
concCO 2þconcCO þconcHC ðÞ /C2 10/C041997L0068 — EN — 12.09.2001 — 001.001 — 53
▼M1
▼B
▼B
or:
DF¼13;4=concCO 2
For multiple filter method:
PTmass ;i¼Mf;i
MSAM ;i/C0Md
MDIL/C21/C01
DF/C18/C19 /C18/C19 /C20/C21
/C2GEDFW ;i
1000/C20/C21
or:
PTmass ;i¼Mf;i
VSAM ;i/C0Md
VDIL/C21/C01
DF/C18/C19 /C18/C19 /C20/C21
/C2VEDFW ;i
1000/C20/C21
If more than one measurement is made, (Md/MDIL)o r( Md/VDIL) shall be
replaced with(Md/MDIL)averor (Md/VDIL)aver, respectively.
DF¼13;4
concCO 2þconcCO þconcHC ðÞ /C2 10/C04
or:
DF¼13;4=concCO 2
1.4.5.Calculation of the specific emissions
The specific emission of particulates PT (g/kWh) shall be calculated in
the following way(1):
For the single filter method:
PT¼PTmass
Xn
i¼1Pi/C2WFi
For the multiple filter method:
PT¼Xn
i¼1PTmass ;i/C2WFi
Xn
i¼1Pi/C2WFi
Pi¼Pm;iþPAE ;i
1.4.6.Effective weighting factor
For the single filter method, the effective weighting factor WFE,ifor
each mode shall be calculated in the following way:
WFE;i¼MSAM ;i/C2GEDFWðÞaver
MSAM/C2GEDFW ;i/C0/C1
or:
WFE;i¼VSAM ;i/C2VEDFWðÞaver
VSAM/C2VEDFW ;i/C0/C1
where i = l, … n.1997L0068 — EN — 12.09.2001 — 001.001 — 54
(1) The particulate mass flow rate PTmasshas to be multiplied by Kp(humidity correction
factor for particulates quoted in section 1.4.1).
▼B
The value of the effective weighting factors shall be within ± 0,005
(absolute value) of the weighting factors listed in Annex III, section
3.6.1.1997L0068 — EN — 12.09.2001 — 001.001 — 55
▼B
ANNEX IV
TECHNICAL CHARACTERISTICS OF REFERENCE FUEL PRESCRIBED FOR
APPROVALTESTSANDTOVERIFYCONFORMITYOFPRODUCTION
NON-ROAD MOBILE MACHINERY REFERENCE FUEL (1)
Note:Key properties for engine performance/exhaust emissions are highlighted.
Limits and units (2) Test method
Cetanenumber (4) minimum 45 (7)
maximum 50ISO 5165
Densityat15ºC minimum 835 kg/m3
maximum 845 kg/m3(10)ISO 3 675, ASTM D 4 052
Distillation (3)
— 95 % pointMaximum 370 ºC ISO 3405
Viscosityat40ºC Minimum 2,5 mm2/s
Maximum 3,5 mm2/sISO 3104
Sulphurcontent Minimum 0,1 % mass (9)
Maximum 0,2 % mass (8)ISO 8754, EN 24260
Flashpoint Minimum 55 ºC ISO 2719
CFPP Minimum —
Maximum + 5 ºCEN 116
Copper corrosion Maximum 1 ISO 2160
Conradson carbon residue (10 %
DR)Maximum 0,3 % mass ISO 10370
Ashcontent Maximum 0,01 % mass ASTM D 482 (12)
Water content Maximum 0,05 % mass ASTM D 95, D 1744
Neutralization (strong acid)
number►M1Maximum 0,20 mg
KOH/g◄
Oxidation stability (5) Maximum 2,5 mg/100 ml ASTM D 2274
Additives (6)
Note 1: If it is required to calculate thermal efficiency of an engine or vehicle, the calorific value of the fuel can
be calculated from:
Specific energy calorific value ðÞ netðÞMJ=kg¼
46;423/C08;792/C1d2þ3;17/C1d/C0/C1
/C21/C0xþyþs ðÞðÞ þ 9;42/C1s/C02;499/C1x
where:
d = is the density at 288 K (15 ºC)
x = is the proportion by mass of water (%/100)y = is the proportion by mass of ash (%/100)
s = is the proportion by mass of sulphur (%/100).
Note 2: The values quoted in the specification are ‘true values’. In establishment of their limit values the terms of
ASTM D 3244 ‘Defining a basis for petroleum produce quality disputes’ have been applied and in fixing a
minimum value, a minimum difference of 2R above zero has been taken into account; in fixing amaximum and minimum value, the minimum difference is 4R (R = reproducibility).
Notwithstanding this measure, which is necessary for statistical reasons, the manufacturer of fuel should
nevertheless aim at a zero value where the stipulated maximum value is 2R and the mean value in thecase of quotations of maximum and minimum limits. Should it be necessary to clarify the question as towhether a fuel meets the requirements of the specifications, the terms of ASTM D 3244 should be applied.
Note 3: The figures quoted show the evaporated quantities (percentage recovered + percentage loss).
Note 4: The range of cetane is not in accordance with the requirement of a minimum range of 4R. Hovever, in
cases of dispute between fuel supplier and fuel user, the terms in ASTM D 3244 can be used to resolve
such disputes provided replicate measurements, of sufficient number to achieve the necessary precision, are
made in preference to single determinations.
Note 5: Even though oxidation stability is controlled, it is likely that shelf life will be limited. Advice should be
sought from the supplier as to storage conditions and life.
Note 6: This fuel should be based straight run and cracked hydrocarbon distillate components only; desulphuriza-
tion is allowed. It must not contain any metallic additives or cetane improver additives.
Note 7: Lower values are permitted, in which case the cetane number of the reference fuel used is to be reported.
Note 8: Higher values are permitted, in which case the sulphur content of the reference fuel used is to be reported.
Note 9: To be kept under constant review in the light of trends in the markets. ►
M1 For the purpose of the
initial approval of an engine with no exhaust gas after treatment on the request of the applicant a0,05 % mass nominal sulphur level (minimum 0,03 % mass) is permissible, in which case the
measuredparticulatelevelmustbecorrectedupwardtotheaveragevaluethatisnominallyspecified1997L0068 — EN — 12.09.2001 — 001.001 — 56
▼B
forfuelsulphurcontent(0,15%mass)pertheequationbelow: ◄
PTadj¼PTþSFC/C20;0917 /C2NSLF /C0FSF ðÞ ½/C138
where:
PTadj= adjustedPTvalue(g/kWh)
PT = measuredweightedspecific emissionvalueforparticulateemission(g/kWh)SFC = weightedspecific fuelconsumption(g/kWh)calculatedaccordingtotheformulaasbelow
NSLF = average ofthenominalspecificationofsulphurcontentmassfraction(i.e.0,15%/100)
FSF = fuelsulphurcontentmassfraction(%/100)
Equationforthecalculation oftheweightedspecific fuelconsumption:
SFC¼Xn
i¼1Gfuel ;i/C2WFi
Xn
i¼1Pi/C2WFi
where:
Pi=Pm,i+PAE,i
For thepurposeofconformity ofproduction assessmentsinaccordance withsection 5.3.2. of AnnexI,therequirementsmustbemetusingreferencefuelwithasulphurcontentwhichcomplieswiththeminimum/maximumlevel of0,1/0,2%mass.
Note 10: Higher values are permitted up to 855 kg/m
3, in which case the density of the reference fuel used is to be
reported.For the purpose of conformity of production assessments in accordance with section 5.3.2.
of Annex I, the requirements must be met using reference fuel which complies with the minimum/
maximumlevelof835/845kg/m3.
Note 11: All fuel characteristics and limit values are to be kept under review in light of trends in the markets.
Note 12: To be replaced by EN/ISO 6245 witheffect of th e date of implementation.1997L0068 — EN — 12.09.2001 — 001.001 — 57
▼B
ANNEX V
1.ANALYTICALANDSAMPLINGSYSTEM
GASEOUS AND PARTICULATE SAMPLING SYSTEMS
Figure
NumberDescription
2 Exhaust gas analysis system for raw exhaust
3 Exhaust gas analysis system for dilute exhaust
4 Partial flow, isokinetic flow, suction blower control,
fractional sampling
5 Partial flow, isokinetic flow, pressure blower control,
fractional sampling
6 Partial flow, CO2or NOxcontrol, fractional sampling
7 Partial flow, CO2and carbon balance, total sampling
8 Partial flow, single venturi and concentration measure-
ment, fractional sampling
9 Partial flow, twin venturi or orifice and concentration
measurement, fractional sampling
10 Partial flow, multiple tube splitting and concentration
measurement, fractional sampling
11 Partial flow, flow control, total sampling
12 Partial flow, flow control, fractional sampling
13 Full flow, positive displacement pump or critical flow
venturi, fractional sampling
14 Particulate sampling system15 Dilution system for full flow system
1.1.Determinationofthegaseousemissions
Section 1.1.1 and Figures 2 and 3 contain detailed descriptions of the
recommended sampling and analysing systems. Since various config-
urations can produce equivalent results, exact conformance withth ese
figures is not required. Additional components suchas instruments,
valves, solenoids, pumps and switches may be used to provide addi-
tional information and coordinate the functions of the component
systems. Other components which are not needed to maintain the accu-
racy on some systems, may be excluded if their exclusion is based upon
good engineering judgement.
1.1.1.Gaseous exhaust components CO, CO
2, HC, NOx
An analytical system for the determination of the gaseous emissions in
the raw or diluted exhaust gas is described based on the use of:
— HFID analyser for the measurement of hydrocarbons,
— NDIR analysers for the measurement of carbon monoxide and
carbon dioxide,
— HCLD or equivalent analyser for the measurement of nitrogen
oxide.
For the raw exhaust gas (see Figure 2), the sample for all components
may be taken withone sampling probe or withtwo sampling probes
located in close proximity and internally split to the different analysers.
Care must be taken that no condensation of exhaust components
(including water and sulphuric acid) occurs at any point of the analy-
tical system.
For the diluted exhaust gas (see Figure 3), the sample for the hydrocar-
bons shall be taken with another sampling probe than the sample for the
other components. Care must be taken that no condensation of exhaust
components (including water and sulphuric acid) occurs at any point of
the analytical system.1997L0068 — EN — 12.09.2001 — 001.001 — 58
▼B
Figure 2
FlowdiagramofexhaustgasanalysissystemforCO,NOxandHC
1997L0068 — EN — 12.09.2001 — 001.001 — 59
▼B
Figure 3
Flow diagram of dilute exhaust gas analysis system for CO, CO2,
NOxandHC
Descriptions—Figures2and3
General statement:All components in the sampling gas path must be maintained at the
temperature specified for the respective systems.
—SP1 raw exhaust gas sampling probe (Figure 2 only)
A stainless steel straight closed and multihole probe is recom-
mended. The inside diameter shall not be greater than the inside
diameter of the sampling line. The wall thickness of the probe shall
not be greater than 1 mm. There shall be a minimum of three holes
in three different radial planes sized to sample approximately the
same flow. The probe must extend across at least 80 % of the
diameter of the exhaust pipe.
—SP2 dilute exhaust gas HC sampling probe (Figure 3 only)
The probe shall:
— be defined as the first 254 mm to 762 mm of the hydrocarbon
sampling line (HSL3),
— have a 5 mm minimum inside diameter,— be installed in the dilution tunnel DT (section 1.2.1.2) at a point
where the dilution air and exhaust gas are well mixed (i.e.
approximately 10 tunnel diameters downstream of the point
where the exhaust enters the dilution tunnel),
— be sufficiently distant (radially) from other probes and the tunnel
wall so as to be free from the influence of any wakes or eddies,
— be heated so as to increase the gas stream temperature to 463 K
(190 ºC) ± 10 K at the exit of the probe.
—SP3dilute exhaust gas CO, CO
2,N Oxsampling probe (Figure 3
only)1997L0068 — EN — 12.09.2001 — 001.001 — 60
▼B
The probe shall:
— be in the same plane as SP2,
— be sufficiently distant (radially) from other probes and the tunnel
wall so as to be free from the influence of any wakes or eddies,
— be heated and insulated over its entire length to a minimum
temperature of 328 K (55 ºC) to prevent water condensation.
—HSL1 heated sampling line
The sampling line provides gas sampling from a single probe to the
split point(s) and the HC analyser.
The sampling line shall:
— have a 5 mm minimum and a 13,5 mm maximum inside
diameter,
— be made of stainless steel or PTFE,
— maintain a wall temperature of 463 (190 ºC) ± 10 K as
measured at every separately controlled heated section, if the
temperature of the exhaust gas at the sampling probe is equal
or below 463 K (190 ºC),
— maintain a wall temperature greater than 453 K (180 ºC) if the
temperature of the exhaust gas at the sampling probe is above
463 K (190 ºC),
— maintain a gas temperature of 463 K (190 ºC) ± 10 K immedi-
ately before the heated filter (F2) and the HFID.
—HSL2 heated NOxsampling line
The sampling line shall:
— maintain a wall temperature of 328 to 473 K (55 to 200 ºC) up
to the converter when using a cooling bath, and up to the
analyser when a cooling bath is not used,
— be made of stainless steel or PTFE.
Since the sampling line need only be heated to prevent condensation
of water and sulphuric acid, the sampling line temperature will
depend on the sulphur content of the fuel.
—SL sampling line for CO (CO2)
The line shall be made of PTFE or stainless steel. It may be heated
or unheated.
—BK background bag (optional; Figure 3 only)
For the measurement of the background concentrations.
—BG sample bag (optional; Figure 3 CO and CO2only)
For the measurement of the sample concentrations.
—F1 heated pre-filter (optional)
The temperature shall be the same as HSL1.
—F2 heated filter
The filter shall extract any solid particles from the gas sample prior
to the analyser. The temperature shall be the same as HSL1. The
filter shall be changed as needed.
—P heated sampling pump
The pump shall be heated to the temperature of HSL1.
—HC
Heated flame ionization detector (HFID) for the determination of
the hydrocarbons. The temperature shall be kept at 453 to 473 K
(180 to 200 ºC).
—CO, CO2
NDIR analysers for the determination of carbon monoxide and
carbon dioxide.
—NO2
(H)CLD analyser for the determination of the oxides of nitrogen. If
a HCLD is used it shall be kept at a temperature of 328 to 473 K
(55 to 200 ºC).
—C converter
Aconverter shall be used for the catalytic reduction of NO2to NO
prior to analysis in the CLD or HCLD.
—B cooling bath
To cool and condense water from the exhaust sample. The bath
shall be maintained at a temperature of 273 to 277 K (0 to 4 ºC)
by ice or refrigeration. It is optional if the analyser is free from
water vapour interference as determined in Annex III, Appendix 3,
sections 1.9.1 and 1.9.2.
Chemical dryers are not allowed for removing water from the
sample.1997L0068 — EN — 12.09.2001 — 001.001 — 61
▼B
—T1, T2, T3temperature sensor
To monitor the temperature of the gas stream.
—T4 temperature sensor
Temperature of the NO2-NO converter.
—T5 temperature sensor
To monitor the temperature of the cooling bath.
—G1, G2, G3pressure gauge
To measure the pressure in the sampling lines.
—R1, R2 pressure regulator
To control the pressure of the air and the fuel, respectively, for the
HFID.
—R3, R4, R5 pressure regulator
To control the pressure in the sampling lines and the flow to the
analysers.
—FL1, FL2, FL3flow-meter
To monitor the sample bypass flow.
—FL4 to FL7 flowmeter (optional)
To monitor the flow rate through the analysers.
—V1 to V6 selector valve
Suitable valving for selecting sample, span gas or zero gas flow to
the analyser.
—V7, V8 solenoid valve
To bypass the NO2-NO converter.
—V9 needle valve
To balance the flow through the NO2-NO converter and the bypass.
—V10, V11 needle valve
To regulate the flows to the analysers.
—V12, V13toggle valve
To drain the condensate from the bath B.
—V14 selector valve
Selecting the sample or background bag.
1.2.Determinationoftheparticulates
1.2.1 and 1.2.2 and Figures 4 to 15 contain detailed descriptions of the
recommended dilution and sampling systems. Since various configura-
tions can produce equivalent results, exact conformance withth ese
figures is not required. Additional components suchas instruments,
valve, solenoids, pumps and switches may be used to provide additional
information and coordinate the functions of the component systems.
Other components which are not needed to maintain the accuracy on
some systems, may be excluded if their exclusion is based on good
engineering judgement.
1.2.1.Dilution system
1.2.1.1. Partial flow dilution system (Figures 4 to 12)
A dilution system is described based on the dilution of a part of the
exhaust stream. Splitting of the exhaust stream and the following dilu-
tion process may be done by different dilution system types. For
subsequent collection of the particulates, the entire dilute exhaust gas
or only a portion of the dilute exhaust gas may be passed to the parti-
culate sampling system (section 1.2.2, Figure 14). The first method is
referred to as total sampling type , the second method as fractional
sampling type .
The calculation of the dilution ratio depends on the type of system
used.
The following types are recommended:
—isokinetic systems (Figures 4 and 5)
With these systems, the flow into the transfer tube is matched to the
bulk exhaust flow in terms of gas velocity and/or pressure, thus
requiring an undisturbed and uniform exhaust flow at the sampling
probe. This is usually achieved by using a resonator and a straight
approach tube upstream of the sampling point. The split ratio is then
calculated from easily measurable values like tube diameters. It
should be noted that isokinesis is only used for matching the flow
conditions and not for matching the size distribution. The latter is
typically not necessary, as the particles are sufficiently small as to
follow the fluid streamlines,1997L0068 — EN — 12.09.2001 — 001.001 — 62
▼B
—flow controlled systems with concentration measurement (Figures 6
to 10)
With these systems, a sample is taken from the bulk exhaust stream
by adjusting the dilution air flow and the total dilution exhaust flow.
The dilution ratio is determined from the concentrations of tracer
gases, suchas CO2or NOx, naturally occurring in the engine
exhaust. The concentrations in the dilution exhaust gas and in the
dilution air are measured, whereas the concentration in the raw
exhaust gas can be either measured directly or determined from
fuel flow and the carbon balance equation, if the fuel composition
is known. The systems may be controlled by the calculated dilution
ratio (Figures 6 and 7) or by the flow into the transfer tube (Figures
8, 9 and 10),
—flow controlled systems with flow measurement (Figures 11 and 12)
With these systems, a sample is taken from the bulk exhaust stream
by setting the dilution air flow and the total dilution exhaust flow.
The dilution ratio is determined from the difference of the two flow
rates. Accurate calibration of the flow-meters relative to one another
is required, since the relative magnitude of the two flow rates can
lead to significant errors at higher dilution ratios (Figures 9 and
above). Flow control is very straightforward by keeping the dilute
exhaust flow rate constant and varying the dilution air flow rate, if
needed.
In order to realize the advantages of the partial flow dilution
systems, attention must be paid to avoiding the potential problems
of loss of particulates in the transfer tube, ensuring that a represen-
tative sample is taken from the engine exhaust, and determination of
the split ratio.
The systems described pay attention to these critical areas.1997L0068 — EN — 12.09.2001 — 001.001 — 63
▼B
Figure 4
Partial flow dilution system with isokinetic probe and fractional
sampling(SBcontrol)
Raw exhaust gas is transferred from the exhaust pipe to EP to the dilu-
tion tunnel DT through the transfer tube TT by the isokinetic sampling
probe ISP. The differential pressure of the exhaust gas between exhaust
pipe and inlet to the probe is measured with the pressure transducer
DPT. This signal is transmitted to the flow controller FC1 that controls
the suction blower SB to maintain a differential pressure of zero at the
tip of the probe. Under these conditions, exhaust gas velocities in EP
and ISP are identical, and the flow through ISP and TT is a constant
fraction (split) of the exhaust gas flow. The split ratio is determined
from the cross sectional areas of EP and ISP. The dilution air flow
rate is measured with the flow measurement device FM1. The dilution
ratio is calculated from the dilution air flow rate and the split ratio.1997L0068 — EN — 12.09.2001 — 001.001 — 64
▼B
Figure 5
Partial flow dilution system with isokinetic probe and fractional
sampling(PBcontrol)
Raw exhaust gas is transferred from the exhaust pipe EP to the dilutiontunnel DT through the transfer tube TT by the isokinetic sampling
probe ISP. The differential pressure of the exhaust gas between exhaust
pipe and inlet to the probe is measured with the pressure transducer
DPT. This signal is transmitted to the flow controller FC1 that controls
the pressure blower PB to maintain a differential pressure of zero at the
tip of the probe. This is done by taking a small fraction of the dilution
air whose flow rate has already been measured with the flow measure-
ment device FM1, and feeding it to TT by means of a pneumatic
orifice. Under these conditions, exhaust gas velocities in EP and ISP
are identical, and the flow through ISP and TT is a constant fraction
(split) of the exhaust gas flow. The split ratio is determined from the
cross sectional areas of EP and ISP. The dilution air is sucked through
DT by the suction blower SB, and the flow rate is measured with FM1
at the inlet to DT. The dilution ratio is calculated from the dilution air
flow rate and the split ratio.1997L0068 — EN — 12.09.2001 — 001.001 — 65
▼B
Figure 6
Partial flow dilution system with CO2or NOxconcentration
measurementandfractionalsampling
Raw exhaust gas is transferred from the exhaust pipe EP to the dilution
tunnel DT through the sampling probe SP and the transfer tube TT. The
concentrations of a tracer gas (CO2or NOx) are measured in the raw
and diluted exhaust gas as well as in the dilution air with the exhaust
gas analyser(s) EGA. These signals are transmitted to the flow
controller FC2 that controls either the pressure blower PB or the suction
blower SB to maintain the desired exhaust split and dilution ratio in
DT. The dilution ratio is calculated from the tracer gas concentrations
in the raw exhaust gas, the diluted exhaust gas, and the dilution air.1997L0068 — EN — 12.09.2001 — 001.001 — 66
▼B
Figure 7
Partial flow dilution system with CO2concentration measurement,
carbonbalanceandtotalsampling
Raw exhaust gas is transferred from the exhaust pipe EP to the dilutiontunnel DT through the sampling probe SP and the transfer tube TT. The
CO
2concentrations are measured in the diluted exhaust gas and in the
dilution air with the exhaust gas analyser(s) EGA. The CO2and fuel
flow GFUELsignals are transmitted either to the flow controller FC2, or
to the flow controller FC3 of the particulate sampling system (see
Figure 14). FC2 controls the pressure blower PB, while FC3 controls
the particulate sampling system (see Figure 14), thereby adjusting the
flows into and out of the system so as to maintain the desired exhaust
split and dilution ratio in DT. The dilution ratio is calculated from the
CO2concentrations and GFUELusing the carbon balance assumption.1997L0068 — EN — 12.09.2001 — 001.001 — 67
▼B
Figure 8
Partial flow dilution system with single venturi, concentration
measurementandfractionalsampling
Raw exhaust gas is transferred from the exhaust pipe EP to the dilutiontunnel DT through the sampling probe SP and the transfer tube TT due
to the negative pressure created by the venturi VN in DT. The gas flow
rate through TT depends on the momentum exchange at the venturi
zone, and is therefore affected by the absolute temperature of the gas
at the exit of TT. Consequently, the exhaust split for a given tunnel
flow rate is not constant, and the dilution ratio at low load is slightly
lower than at high load. The tracer gas concentrations (CO
2or NOx)
are measured in the raw exhaust gas, the diluted exhaust gas, and the
dilution air with the exhaust gas analyser(s) EGA, and the dilution ratio
is calculated from the values so measured.1997L0068 — EN — 12.09.2001 — 001.001 — 68
▼B
Figure 9
Partialflowdilutionsystemtwinventuriortwinorifice, concentra-
tionmeasurementandfractionalsampling
Raw exhaust gas is transferred from the exhaust pipe EP to the dilutiontunnel DT through the sampling probe SP and the transfer tube TT by a
flow divider that contains a set of orifices or venturis. The first one
(FD1) is located in EP, the second one (FD2) in TT. Additionally, two
pressure control valves (PCV1 and PCV2) are necessary to maintain a
constant exhaust split by controlling the backpressure in EP and the
pressure in DT. PCV1 is located downstream of SP in EP, PCV2
between the pressure blower PB and DT. The tracer gas concentrations
(CO
2or NOx) are measured in the raw exhaust gas, the diluted exhaust
gas, and the dilution air with the exhaust gas analyser(s) EGA. They are
necessary for checking the exhaust split, and may be used to adjust
PCV1 and PCV2 for precise split control. The dilution ratio is calcu-
lated from the tracer gas concentrations.1997L0068 — EN — 12.09.2001 — 001.001 — 69
▼B
Figure 10
Partial flowdilutionsystemwithmultipletubesplitting,concentra-
tionmeasurementandfractionalsampling
Raw exhaust gas is transferred from the exhaust pipe EP to the dilutiontunnel DT through the transfer tube TT by the flow divider FD3 that
consists of a number of tubes of the same dimensions (same diameter,
length and bed radius) installed in EP. The exhaust gas through one of
these tubes is lead to DT, and the exhaust gas through the rest of the
tubes is passed through the damping chamber DC. Thus, the exhaust
split is determined by the total number of tubes. A constant split control
requires a differential pressure of zero between DC and the outlet of
TT, which is measured with the differential pressure transducer DPT.
A differential pressure of zero is achieved by injecting fresh air into
DT at the outlet of TT. The tracer gas concentrations (CO
2or NOx)
are measured in the raw exhaust gas, the diluted exhaust gas, and the
dilution air with the exhaust gas analyser(s) EGA. They are necessary
for checking the exhaust split and may be used to control the injection
air flow rate for precise split control. The dilution ratio is calculated
from the tracer gas concentrations.1997L0068 — EN — 12.09.2001 — 001.001 — 70
▼B
Figure 11
Partial flowdilutionsystemwithflowcontrolandtotalsampling
Raw exhaust gas is transferred from the exhaust pipe EP to the dilution
tunnel DT through the sampling probe SP and the transfer tube TT. The
total flow through the tunnel is adjusted with the flow controller FC3
and the sampling pump P of the particulate sampling system (see Figure
16). The dilution air flow is controlled by the flow controller FC2,
which may use GEXH,GAIRor GFUELas command signals, for the desired
exhaust split. The sample flow into DT is the difference of the total
flow and the dilution air flow. The dilution air flow rate is measured
with flow measurement device FM1, the total flow rate with the flow
measurement device FM3 of the particulate sampling system (see
Figure 14). The dilution ratio is calculated from these two flow rates.1997L0068 — EN — 12.09.2001 — 001.001 — 71
▼B
Figure 12
Partial flow dilution system with flow control and fractional
sampling
Raw exhaust gas is transferred from the exhaust pipe EP to the dilutiontunnel DT through the sampling probe SP and the transfer tube TT. The
exhaust split and the flow into DT is controlled by the flow controller
FC2 that adjusts the flows (or speeds) of the pressure blower PB and
the suction blower SB, accordingly. This is possible since the sample
taken withth e particulate sampling system is returned into DT. G
EXH,
GAIRor GFUELmay be used as command signals for FC2. The dilution
air flow rate is measured with the flow measurement device FM1, the
total flow with the flow measurement device FM2. The dilution ratio is
calculated from these two flow rates.
Description—Figures4to12
—EP exhaust pipe
The exhaust pipe may be insulated. To reduce the thermal inertia of
the exhaust pipe a thickness to diameter ratio of 0,015 or less is
recommended. The use of flexible sections shall be limited to a
lengthto diameter ratio of 12 or less. Bends will be minimized to
reduce inertial deposition. If the system includes a test bed silencer,
the silencer may also be insulated.
For an isokinetic system, the exhaust pipe must be free of elbows,
bends and sudden diameter changes for at least six pipe diameters
upstream and three pipe diameters downstream of the tip of the
probe. The gas velocity at the sampling zone must be higher than
10 m/s except at idle mode. Pressure oscillations of the exhaust
gas must not exceed ± 500 Pa on the average. Any steps to reduce
pressure oscillations beyond using a chassis-type exhaust system
(including silencer and after-treatment device) must not alter engine
performance nor cause the deposition of particulates.
For systems without isokinetic probes, it is recommended to have a
straight pipe of six pipe diameters upstream and three pipe
diameters downstream of the tip of the probe.
—SP sampling probe (Figures 6 to 12)1997L0068 — EN — 12.09.2001 — 001.001 — 72
▼B
The minimum inside diameter shall be 4 mm. The minimum
diameter ratio between exhaust pipe and probe shall be four. The
probe shall be an open tube facing upstream on the exhaust pipe
centre-line, or a multiple hole probe as described under SP1 in
section 1.1.1.
—ISP isokinetic sampling probe (Figures 4 and 5)
The isokinetic sampling probe must be installed facing upstream on
the exhaust pipe centre-line where the flow conditions in section EP
are met, and designed to provide a proportional sample of the raw
exhaust gas. The minimum inside diameter shall be 12 mm.
A control system is necessary for isokinetic exhaust splitting by
maintaining a differential pressure of zero between EP and ISP.
Under these conditions exhaust gas velocities in EP and ISP are
identical and the mass flow through ISP is a constant fraction of
the exhaust gas flow. The ISP has to be connected to a differential
pressure transducer. The control to provide a differential pressure of
zero between EP and ISP is done withblower speed or flow
controller.
—FD1, FD2 flow divider (Figure 9)
A set of venturis or orifices is installed in the exhaust pipe EP and
in the transfer tube TT, respectively, to provide a proportional
sample of the raw exhaust gas. A control system consisting of two
pressure control valves PCV1 and PCV2 is necessary for propor-
tional splitting by controlling the pressures in EP and DT.
—FD3flow divider (Figure 10)
A set of tubes (multiple tube unit) is installed in the exhaust pipe
EP to provide a proportional sample of the raw exhaust gas. One
of the tubes feeds exhaust gas to the dilution tunnel DT, whereas
the other tubes exit exhaust gas to a damping chamber DC. The
tubes must have the same dimensions (same diameter, length, bend
radius), so that the exhaust split depends on the total number of
tubes. A control system is necessary for proportional splitting by
maintaining a differential pressure of zero between the exit of the
multiple tube unit into DC and the exit of TT. Under these condi-
tions, exhaust gas velocities in EP and FD3 are proportional, and
the flow TT is a constant fraction of the exhaust gas flow. The
two points have to be connected to a differential pressure transducer
DPT. The control to provide a differential pressure of zero is done
withth e flow controller FC1.
—EGA exhaust gas analyser (Figures 6 to 10)
CO2or NOxanalysers may be used (withcarbon balance meth od
CO2only). The analysers shall be calibrated like the analysers for
the measurement of the gaseous emissions. One or several analysers
may be used to determine the concentration differences.
The accuracy of the measuring systems has to be such that the accu-
racy of GEDFW,ior VEDFW,iis within ± 4 %.
—TT transfer tube (Figures 4 to 12)
The particulate sample transfer tube shall be:
— as short as possible, but not more than 5 m in length,
— equal to or greater than the probe diameter, but not more than
25 mm in diameter,
— exiting on the centre-line of the dilution tunnel and pointing
down-stream.
If the tube is 1 metre or less in length, it is to be insulated with
material witha maximum th ermal conductivity of 0,05 W/(m · K)
with a radial insulation thickness corresponding to the diameter of
the probe. If the tube is longer than 1 metre, it must be insulated
and heated to a minimum wall temperature of 523 K (250 ºC).
Alternatively, the transfer tube wall temperatures required may be
determined through standard heat transfer calculations.
—DPT differential pressure transducer (Figures 4, 5 and 10)
The differential pressure transducer shall have a range of ± 500 Pa
or less.
—FC1 flow controller (Figures 4, 5 and 10)
For the isokinetic systems (Figures 4 and 5) a flow controller is
necessary to maintain a differential pressure of zero between EP
and ISP. The adjustment can be done by:
(a) controlling the speed or flow of the suction blower (SB) and
keeping the speed of the pressure blower (PB) constant during
eachmode (Figure 4);
or1997L0068 — EN — 12.09.2001 — 001.001 — 73
▼B
(b) adjusting the suction blower (SB) to a constant mass flow of the
diluted exhaust and controlling the flow of the pressure blower
PB, and therefore the exhaust sample flow in a region at the end
of the transfer tube (TT) (Figure 5).
In the case of a pressure controlled system the remaining error in
the control loop must not exceed ± 3 Pa. The pressure oscillations
in the dilution tunnel must not exceed ± 250 Pa on average.
For a multi-tube system (Figure 10) a flow controller is necessary
for proportional exhaust splitting to maintain a differential pressure
of zero between the outlet of the multi-tube unit and the exit of TT.
The adjustment can be done by controlling the injection air flow
rate into DT at the exit of TT.
—PCV1, PCV2 pressure control valve (Figure 9)
Two pressure control valves are necessary for the twin venturi/twin
orifice system for proportional flow splitting by controlling the
backpressure of EP and the pressure in DT. The valves shall belocated downstream of SP in EP and between PB and DT.
—DC damping chamber (Figure 10)
A damping chamber shall be installed at the exit of the multiple
tube unit to minimize the pressure oscillations in the exhaust pipe
EP.
—VN venturi (Figure 8)
A venturi is installed in the dilution tunnel DT to create a negative
pressure in the region of the exit of the transfer tube TT. The gas
flow rate through TT is determined by the momentum exchange at
the venturi zone, and is basically proportional to the flow rate of the
pressure blower PB leading to a constant dilution ratio. Since the
momentum exchange is affected by the temperature at the exit of
TT and the pressure difference between EP and DT, the actual dilu-
tion ratio is slightly lower at low load than at high load.
—FC2 flow controller (Figures 6, 7, 11 and 12; optional)
A flow controller may be used to control the flow of the pressure
blower PB and/or the suction blower SB. It may be connected to
the exhaust flow or fuel flow signal and/or to the CO
2or NOxdiffer-
ential signal.
When using a pressurized air supply (Figure 11) FC2 directly
controls the air flow.
—FM1 flow measurement device (Figures 6, 7, 11 and 12)
Gas meter or other flow instrumentation to measure the dilution air
flow. FM1 is optional if PB is calibrated to measure the flow.
—FM2 flow measurement device (Figure 12)
Gas meter or other flow instrumentation to measure the diluted
exhaust gas flow. FM2 is optional if the suction blower SB is cali-
brated to measure the flow.
—PB pressure blower (Figures 4, 5, 6, 7, 8, 9 and 12)
To control the dilution air flow rate, PB may be connected to the
flow controllers FC1 or FC2. PB is not required when using a
butterfly valve. PB may be used to measure the dilution air flow,
if calibrated.
—SB suction blower (Figures 4, 5, 6, 9, 10 and 12)
For fractional sampling systems only. SB may be used to measure
the dilute exhaust gas flow, if calibrated.
—DAF dilution air filter (Figures 4 to 12)
It is recommended that the dilution air be filtered and charcoal
scrubbed to eliminate background hydrocarbons. The dilution air
shall have a temperature of 298 K (25 ºC) ± 5 K.
At the manufacturer's request the dilution air shall be sampled
according to good engineering practice to determine the background
particulate levels, which can then be subtracted from the values
measured in the diluted exhaust.
—PSP particulate sampling probe (Figures 4, 5, 6, 8, 9, 10 and 12)
The probe is the leading section of PTT and
— shall be installed facing upstream at a point where the dilution
air and exhaust gas are well mixed, i.e. on the dilution tunnel
DT centre-line of the dilution systems approximately 10 tunnel
diameters downstream of the point where the exhaust enters the
dilution tunnel,
— shall be 12 mm in minimum inside diameter,— may be heated to no greater than 325 K (52 ºC) wall tempera-
ture by direct heating or by dilution air pre-heating, provided the1997L0068 — EN — 12.09.2001 — 001.001 — 74
▼B
air temperature does not exceed 325 K (52 ºC) prior to the intro-
duction of the exhaust in the dilution tunnel,
— may be insulated.
—DT dilution tunnel (Figures 4 to 12)
The dilution tunnel:
— shall be of a sufficient length to cause complete mixing of the
exhaust and dilution air under turbulent flow conditions,
— shall be constructed of stainless steel with:
— a thickness to diameter ratio of 0,025 or less for dilution
tunnels of greater than 75 mm inside diameter,
— a nominal wall thickness of not less than 1,5 mm for dilution
tunnels of equal to or less than 75 mm inside diameter,
— shall be at least 75 mm in diameter for the fractional sampling
type,
— is recommended to be at least 25 mm in diameter for the total
sampling type.
May be heated to no greater than 325 K (52 ºC) wall temperature by
direct heating or by dilution air pre-heating, provided the air
temperature does not exceed 325 K (52 ºC) prior to the introduction
of the exhaust in the dilution tunnel.
May be insulated.
The engine exhaust shall be thoroughly mixed with the dilution air.
For fractional sampling systems, the mixing quality shall be
checked after introduction into service by means of a CO2profile
of the tunnel with the engine running (at least four equally spaced
measuring points). If necessary, a mixing orifice may be used.
Note:If the ambient temperature in the vicinity of the dilution
tunnel (DT) is below 293 K (20 ºC), precautions should be
taken to avoid particle losses onto the cool walls of the dilu-
tion tunnel. Therefore, heating and/or insulating the tunnel
within the limits given above is recommended.
At high engine loads, the tunnel may be cooled by a non-aggressive
means such as a circulating fan, as long as the temperature of the
cooling medium is not below 293 K (20 ºC).
—HE heat exchanger (Figures 9 and 10)
The heat exchanger shall be of sufficient capacity to maintain the
temperature at the inlet to the suction blower SB within ± 11 K of
the average operating temperature observed during the test.
1.2.1.2. Full flow dilution system (Figure 13)
A dilution system is described based upon the dilution of the total
exhaust using the constant volume sampling (CVS) concept. The total
volume of the mixture of exhaust and dilution air must be measured.
Either a PDP or a CFV system may be used.
For subsequent collection of the particulates, a sample of the dilute
exhaust gas is passed to the particulate sampling system (section 1.2.2,
Figures 14 and 15). If this is done directly, it is referred to as single
dilution. If the sample is diluted once more in the secondary dilution
tunnel, it is referred to as double dilution. This is useful, if the filter
face temperature requirement cannot be met withsingle dilution.
Although partly a dilution system, the double dilution system is
described as a modification of a particulate sampling system in section
1.2.2, Figure 15, since it shares most of the parts with a typical particu-
late sampling system.
The gaseous emissions may also be determined in the dilution tunnel of
a full flow dilution system. Therefore, the sampling probes for the
gaseous components are shown in Figure 13 but do not appear in the
description list. The respective requirements are described in section
1.1.1.
Description:—Figure13—EP exhaust pipe
The exhaust pipe length from the exit of the engine exhaust mani-
fold, turbocharger outlet or after-treatment device to the dilution
tunnel is required to be not more than 10 m. If the system exceeds
4 m in length, then all tubing in excess of 4 m shall be insulated,
except for an in-line smoke-meter, if used. The radial thickness of
the insulation must be at least 25 mm. The thermal conductivity of
the insulating material must have a value no greater than 0,1 W/(m ·
K) measured at 673 K (400 ºC). To reduce the thermal inertia of the
exhaust pipe a thickness to diameter ratio of 0,015 or less is recom-1997L0068 — EN — 12.09.2001 — 001.001 — 75
▼B
mended. The use of flexible sections shall be limited to a length to
diameter ratio of 12 or less.1997L0068 — EN — 12.09.2001 — 001.001 — 76
▼B
Figure 13
Fullflowdilutionsystem
The total amount of raw exhaust gas is mixed in the dilution tunnel DT
withth e dilution air.
The diluted exhaust gas flow rate is measured either with a positive
displacement pump PDP or witha critical flow venturi CFV. A h eat
exchanger HE or electronic flow compensation EFC may be used for
proportional particulate sampling and for flow determination. Since
particulate mass determination is based on the total diluted exhaust gas
flow, the dilution ratio is not required to be calculated.
—PDP positive displacement pump
The PDP meters total diluted exhaust flow from the number of the
pump revolutions and the pump displacement. The exhaust system
back pressure must not be artificially lowered by the PDP or dilu-
tion air inlet system. Static exhaust back pressure measured with the
CVS system operating shall remain within ± 1,5 kPa of the static
pressure measured without connection to the CVS at identical
engine speed and load.
The gas mixture temperature immediately ahead of the PDP shall be
within ± 6 K of the average operating temperature observed during
the test, when no flow compensation is used.
Flow compensation can only be used if the temperature at the inlet
of the PDP does not exceed 50 ºC (323 K).
—CFV critical flow venturi
CFV measures total diluted exhaust flow by maintaining the flow at
choked conditions (critical flow). Static exhaust backpressure
measured with the CFV system operating shall remain within ± 1,5
kPa of the static pressure measured without connection to the CFV
at identical engine speed and load. The gas mixture temperature
immediately ahead of the CFV shall be within ± 11 K of the
average operating temperature observed during the test, when no
flow compensation is used.
—HE heat exchanger (optional if EFC is used)1997L0068 — EN — 12.09.2001 — 001.001 — 77
▼B
The heat exchanger shall be of sufficient capacity to maintain the
temperature within the limits required above.
—EFC electronic flow compensation (optional if HE is used)
If the temperature at the inlet to either the PDP or CFV is not kept
within the limits stated above, a flow compensation system is
required for continuous measurement of the flow rate and control
of the proportional sampling in the particulate system.
To that purpose, the continuously measured flow rate signals are
used to correct the sample flow rate through the particulate filters
of the particulate sampling system (see Figures 14 and 15), accord-ingly.
—DT dilution tunnel
The dilution tunnel:
— shall be small enough in diameter to cause turbulent flow
(Reynolds number greater than 4000) of sufficient length to
cause complete mixing of the exhaust and dilution air. A mixing
orifice may be used,
— shall be at least 75 mm in diameter,
— may be insulated.
The engine exhaust shall be directed downstream at the point where
it is introduced into the dilution tunnel, and thoroughly mixed.
When using single dilution , a sample from the dilution tunnel is
transferred to the particulate sampling system (section 1.2.2, Figure
14). The flow capacity of the PDP or CFV must be sufficient tomaintain the diluted exhaust at a temperature of less than or equal
to 325 K (52 ºC) immediately before the primary particulate filter.
When using double dilution , a sample from the dilution tunnel is
transferred to the secondary dilution tunnel where it is further
diluted, and then passed through the sampling filters (section 1.2.2,
Figure 15).
The flow capacity of the PDP or CFV must be sufficient to maintain
the diluted exhaust stream in the DT at a temperature of less than or
equal to 464 K (191 ºC) at the sampling zone. The secondary dilu-
tion system must provide sufficient secondary dilution air to
maintain the doubly-diluted exhaust stream at a temperature of less
than or equal to 325 K (52 ºC) immediately before the primary
particulate filter.
—DAF dilution air filter
It is recommended that the dilution air be filtered and charcoal
scrubbed to eliminate background hydrocarbons. The dilution air
shall have a temperature of 298 K (25 ºC) ± 5 K. At the manufac-
turer's request the dilution air shall be sampled according to good
engineering practice to determine the background particulate levels,
which can then be subtracted from the values measured in the
diluted exhaust.
—PSP particulate sampling probe
The probe is the leading section of PTT and
— shall be installed facing upstream at a point where the dilution
air and exhaust gas are well mixed, i.e. on the dilution tunnel
DT centre-line of the dilution systems approximately 10 tunnel
diameters downstream of the point where the exhaust enters the
dilution tunnel,
— shall be 12 mm in minimum inside diameter,
— may be heated to no greater than 325 K (52 ºC) wall tempera-
ture by direct heating or by dilution air pre-heating, provided the
air temperature does not exceed 325 K (52 ºC) prior to the intro-
duction of the exhaust in the dilution tunnel,
— may be insulated.
1.2.2.Particulate sampling system (Figures 14 and 15)
The particulate sampling system is required for collecting the particu-
lates on the particulate filter. In the case of total sampling partial flow
dilution, which consists of passing the entire dilute exhaust sample
through the filters, dilution (section 1.2.1.1, Figures 7 and 11) and
sampling system usually form an integral unit. In the case of fractional
sampling partial flow dilution or full flow dilution, which consists of
passing through the filters only a portion of the diluted exhaust, the
dilution (section 1.2.1.1, Figures 4, 5, 6, 8, 9, 10 and 12 and section
1.2.1.2, Figure 13) and sampling systems usually form different units.
In this Directive, the double dilution system DDS (Figure 15) of a full
flow dilution system is considered as a specific modification of a
typical particulate sampling system as shown in Figure 14. The double1997L0068 — EN — 12.09.2001 — 001.001 — 78
▼B
dilution system includes all important parts of the particulate sampling
system, like filter holders and sampling pump, and additionally some
dilution features, like a dilution air supply and a secondary dilution
tunnel.
In order to avoid any impact on the control loops, it is recommended
that the sample pump be running throughout the complete test proce-
dure. For the single filter method, a bypass system shall be used for
passing the sample through the sampling filters at the desired times.
Interference of the switching procedure on the control loops must be
minimized.
Descriptions—Figures14and15—PSP particulate sampling probe (Figures 14 and 15)
The particulate sampling probe shown in the figures is the leading
section of the particulate transfer tube PTT.
The probe:
— shall be installed facing upstream at a point where the dilution
air and exhaust gas are well mixed, i.e. on the dilution tunnel
DT centre-line of the dilution systems (see section 1.2.1),
approximately 10 tunnel diameters downstream of the point
where the exhaust enters the dilution tunnel),
— shall be 12 mm in minimum inside diameter,— may be heated to no greater than 325 K (52 ºC) wall tempera-
ture by direct heating or by dilution air pre-heating, provided the
air temperature does not exceed 325 K (52 ºC) prior to the intro-
duction of the exhaust in the dilution tunnel,
— may be insulated.1997L0068 — EN — 12.09.2001 — 001.001 — 79
▼B
Figure 14
Particulate samplingsystem
A sample of the diluted exhaust gas is taken from the dilution tunnel
DT of a partial flow or full flow dilution system through the particulate
sampling probe PSP and the particulate transfer tube PTT by means of
the sampling pump P. The sample is passed through the filter holders(s)
FH that contain the particulate sampling filters. The sample flow rate is
controlled by the flow controller FC3. If electronic flow compensation
EFC (see Figure 13) is used, the diluted exhaust gas flow is used as
command signal for FC3.1997L0068 — EN — 12.09.2001 — 001.001 — 80
▼B
Figure 15
Dilutionsystem(fullflowsystemonly)
A sample of the diluted exhaust gas is transferred from the dilution
tunnel DT of a full flow dilution system through the particulate
sampling probe PSP and the particulate transfer tube PTT to the
secondary dilution tunnel SDT, where it is diluted once more. The
sample is then passed through the filter holder(s) FH that contain the
particulate sampling filters. The dilution air flow rate is usuallyconstant whereas the sample flow rate is controlled by the flow
controller FC3. If electronic flow compensation EFC (see Figure 13) is
used, the total diluted exhaust gas flow is used as command signal for
FC3.
—PTT particulate transfer tube (Figures 14 and 15)
The particulate transfer tube must not exceed 1 020 mm in length,
and must be minimized in lengthwh enever possible.
The dimensions are valid for:
— the partial flow dilution fractional sampling type and the full
flow single dilution system from the probe tip to the filter
holder,
— the partial flow dilution total sampling type from the end of the
dilution tunnel to the filter holder,
— the full flow double dilution system from the probe tip to the
secondary dilution tunnel.
The transfer tube:
— may be heated to no greater than 325 K (52 ºC) wall tempera-
ture by direct heating or by dilution air pre-heating, provided the
air temperature does not exceed 325 K (52 ºC) prior to the intro-
duction of the exhaust in the dilution tunnel,
— may be insulated.
—SDT secondary dilution tunnel (Figure 15)
The secondary dilution tunnel should have a minimum diameter of
75 mm and should be sufficient length so as to provide a residence
time of at least 0,25 seconds for the doubly-diluted sample. The1997L0068 — EN — 12.09.2001 — 001.001 — 81
▼B
primary filter holder, FH, shall be located within 300 mm of the
exit of the SDT.
The secondary dilution tunnel:
— may be heated to no greater than 325 K (52 ºC) wall tempera-
ture by direct heating or by dilution air pre-heating, provided the
air temperature does not exceed 325 K (52 ºC) prior to the intro-
duction of the exhaust in the dilution tunnel,
— may be insulated.
—FH filter holder(s) (Figures 14 and 15)
For primary and back-up filters one filter housing or separate filter
housings may be used. The requirements of Annex III, Appendix 1,
section 1.5.1.3 have to be met.
The filter holder(s):
— may be heated to no greater than 325 K (52 ºC) wall tempera-
ture by direct heating or by dilution air pre-heating, provided the
air temperature does not exceed 325 K (52 ºC),
— may be insulated.
—P sampling pump (Figures 14 und 15)
The particulate sampling pump shall be located sufficiently distant
from the tunnel so that the inlet gas temperature is maintained
constant (± 3 K), if flow correction by FC3 is not used.
—DP dilution air pump (Figure 15) (full flow double dilution only)
The dilution air pump shall be located so that the secondary dilution
air is supplied at a temperature of 298 K (25 ºC) ± 5 K.
—FC3flow controller (Figures 14 und 15)
A flow controller shall be used to compensate the particulate sample
flow rate for temperature and backpressure variations in the sample
path, if no other means are available. The flow controller is required
if electronic flow compensation EFC (see Figure 13) is used.
—FM3flow measurement device (Figures 14 und 15) (particulate
sample flow)
The gas meter or flow instrumentation shall be located sufficiently
distant from the sample pump so that the inlet gas temperature
remains constant (± 3 K), if flow correction by FC3 is not used.
—FM4 flow measurement device (Figure 15) (dilution air, full flow
double dilution only)
The gas meter or flow instrumentation shall be located so that the
inlet gas temperature remains at 298 K (25 ºC) ± 5 K.
—BV ball valve (optional)
The ball valve shall have a diameter not less than the inside
diameter of the sampling tube and a switching time of less than
0,5 seconds.
Note:If the ambient temperature in the vicinity of PSP, PTT, SDT,
and FH is below 239 K (20 ºC), precautions should be taken
to avoid particle losses onto the cool wall of these parts.
Therefore, heating and/or insulating these parts within the
limits given in the respective descriptions is recommended.
It is also recommended that the filter face temperature during
sampling be not below 293 K (20 ºC).
At high engine loads, the above parts may be cooled by a non-
aggressive means suchas a circulating fan, as long as th e tempera-
ture of the cooling medium is not below 293 K (20 ºC).1997L0068 — EN — 12.09.2001 — 001.001 — 82
▼B
ANNEX VI
1997L0068 — EN — 12.09.2001 — 001.001 — 83
▼B
1997L0068 — EN — 12.09.2001 — 001.001 — 84
▼B
Appendix 1
1997L0068 — EN — 12.09.2001 — 001.001 — 85
▼B
1997L0068 — EN — 12.09.2001 — 001.001 — 86
▼B
ANNEX VII
APPROVALCERTIFICATENUMBERINGSYSTEM
(see Article 4 (2))
1. The number shall consist of five sections separated by the ‘*’ character.
Section 1: the lower case letter ‘e’followed by the distinguishing letter(s) or
number of the Member State issuing the approval:
1 for Germany
2 for France
3 for Italy
4 for the Netherlands5 for Sweden
6 for Belgium
9 for Spain11 for the United Kingdom12 for Austria
13 for Luxembourg
17 for Finland18 for Denmark
21 for Portugal
23 for GreeceIRL for Ireland
Section 2: the number of this Directive. As it contains different implemen-
tation dates and different technical standards, two alphabetical
characters are added. These characters refer to the different
application dates for the stages of severity and to the application
of the engine for different specification of mobile machinery, on
the basis of which type-approval was granted. The first character
is defined in Article 9. The second character is defined in Annex
I, section 1 withregard to th e test mode defined in Annex III,
section 3.6.
Section 3: the number of the latest amending Directive applicable to the
approval. If applicable two further alphabetical characters are to
be added depending on the conditions described in section 2,
even if as a result of the new parameters only one of the charac-
ters was to be changed. If no change of these characters apply
they shall be omitted.
Section 4: a four-digit sequential number (withleading zeros as applicable)
to denote the base approval number. The sequence shall start
from 0001.
Section 5: a two-digit sequential number (witha leading zero if applicable)
to denote the extension. The sequence shall start from 01 for
eachbase approval number.
2. Example for the third approval (with, as yet, no extension) corresponding to
application date A (stage I, upper powerband) and to the application of the
engine for specification A of mobile machinery, issued by the United
Kingdom:
e 11*98/…AA*00/000XX*0003*00
3. Example of the second extension to the fourth approval corresponding to
application date E (stage II, medium powerband) for the same specification
of machinery (A), issued by Germany:
e 1*01/…EA*00/000XX*0004*021997L0068 — EN — 12.09.2001 — 001.001 — 87
▼B
ANNEX VIII
1997L0068 — EN — 12.09.2001 — 001.001 — 88
▼B
ANNEX IX
1997L0068 — EN — 12.09.2001 — 001.001 — 89
▼B
ANNEX X
1997L0068 — EN — 12.09.2001 — 001.001 — 90