EN Official Journal of the European Union L 275/1

DIRECTIVE 2005/55/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

of 28 September 2005

on the approximation of the laws of the Member States relating to the measures to be taken against the emission of gaseous and particulate pollutants from compression-ignition engines for use in vehicles, and the emission of gaseous pollutants from positive-ignition engines fuelled with natural gas or liquefied petroleum gas for use in vehicles

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 95 thereof,

Having regard to the proposal from the Commission,

Having regard to the opinion of the European Economic and Social Committee (1),

Acting in accordance with the procedure laid down in Article 251 of the Treaty (2),

Whereas:

(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 and particulate pollutants from compression ignition engines for use in vehicles, and the emission of gaseous pollutants from positive ignition engines fuelled with natural gas or liquefied petroleum gas for use in vehicles (3) is one of the separate Directives under the type-approval procedure laid down by Council Directive 70/156/EEC of 6 February 1970 on the approximation of the laws of the Member States relating to the type-approval of motor vehicles and their trailers (4). Directive 88/77/EEC has been substantially amended several times to introduce successively more stringent pollutant emission limits. Since further amendments are to be made, it should be recast in the interests of clarity.

(2) Council Directive 91/542/EEC (5) amending Directive 88/77/EEC, Directive 1999/96/EC of the European Parliament and of the Council of 13 December 1999 on the approximation of the laws of the Member States relating to measures to be taken against the emission of gaseous and particulate pollutants from compression ignition engines for use in vehicles, and the emission of gaseous pollutants from positive ignition engines fuelled with natural gas or liquefied petroleum gas for use in vehicles and amending Council Directive 88/77/EEC (6), and Commission Directive 2001/27/EC (7) adapting to technical progress Council Directive 88/77/EEC have introduced provisions which, while being autonomous, are closely linked to the scheme established under Directive 88/77/EEC. Those autonomous provisions should be fully integrated into the recast of Directive 88/77/EEC in the interests of clarity and legal certainty.

(3) It is necessary that all the Member States adopt the same requirements, in order, in particular, to permit the implementation, for each vehicle type, of the EC type-approval system which is the subject of Directive 70/156/EEC.

(4) The Commission’s programme on air quality, road transport emissions, fuels and emission abatement technologies, hereinafter ‘the first Auto-Oil programme’, showed that further reductions in pollutant emissions from heavy-duty vehicles were necessary with a view to achieving future air quality standards.

(5) Reductions in emission limits applicable from the year 2000, corresponding to abatements of 30 % in emissions of carbon monoxide, total hydrocarbons, oxides of nitrogen and particulate matter were identified by the first Auto-Oil programme as key measures for the achievement of medium-term air quality. A reduction of 30 % in exhaust smoke opacity should additionally contribute to the reduction of particulate matter. Additional reductions in emission limits applicable from the year 2005, corresponding to additional abatements of 30 % in carbon monoxide, total hydrocarbons and oxides of nitrogen and 80 % in particulate matter should greatly contribute to air quality improvement in the medium to longer term. The additional limit for oxides of nitrogen applicable in the year 2008 should result in a further 43 % reduction in the emission limit for this pollutant.

(6) Type-approval tests for gaseous and particulate pollutants and smoke opacity are applicable to allow for a more representative evaluation of the emissions performance of engines under test conditions that more closely resemble those encountered by vehicles in-service. Since 2000 conventional compression-ignition engines and those compression-ignition engines fitted with certain types of emission control equipment have been tested over a steady-state test cycle and using a new load response test for smoke opacity. Compression-ignition engines fitted with advanced emission control systems have, in addition, been tested over a new transient test cycle. From 2005, all compression-ignition engines should be tested on all those test cycles. Gas fuelled engines are only tested on the new transient test cycle.

(7) Under all randomly selected load conditions within a defined operating range, the limit values may not be exceeded by more than an appropriate percentage.

(8) In laying down new standards and test procedures, it is necessary to take account of the impact on air quality of future traffic growth in the Community. The work undertaken by the Commission in this sphere has shown that the motor industry in the Community has made great strides in the perfection of the technology allowing a considerable reduction in emissions of gaseous and particulate pollutants. However, it is still necessary to press for further improvements in emission limits and other technical requirements in the interests of environmental protection and public health. In particular, the results of ongoing research into the characteristics of ultra-fine particulates should be taken into account in any future measures.

(9) It is necessary that further improvements be made to the quality of motor fuels to enable the efficient and durable performance of emission control systems in service.

(10) New provisions for on-board diagnostics (OBD) should be introduced from 2005 with a view to facilitating the immediate detection of the deterioration or failure of engine emission control equipment. This should enhance diagnostic and repair capability, significantly improving the sustainable emission performance of in-service heavy-duty vehicles. Since, on the worldwide stage, OBD for heavy-duty diesel engines is in its infancy, it should be introduced in the Community in two stages to allow for system development so that the OBD system does not give false indications. In order to assist the Member States in ensuring that the owners and operators of heavy-duty vehicles meet their obligation to repair faults indicated by the OBD system, the distance covered or the time that has elapsed after a fault has been indicated to the driver should be recorded.

(11) Compression-ignition engines are inherently durable and have demonstrated that, with proper and effective maintenance, they can retain a high level of emissions performance over the significantly high distances travelled by heavy-duty vehicles in the course of commercial operations. However, future emission standards will push the introduction of emission control systems downstream of the engine, such as deNOx systems, diesel particulate filters and systems that are a combination of both and, perhaps, other systems yet to be defined. It is therefore necessary to establish a useful life requirement on which to base procedures for ensuring the compliance of an engine’s emission control system throughout that reference period. In establishing such a requirement, due account should be taken of the considerable distances covered by heavy-duty vehicles, of the need to incorporate appropriate and timely maintenance and of the possibility of type-approving category N1 vehicles in accordance with either this Directive or Council Directive 70/220/EEC of 20 March 1970 on the approximation of the laws of the Member States on measures to be taken against air pollution by emissions from motor vehicles (8).

(12) Member States should be allowed, by means of tax incentives, to expedite the placing on the market of vehicles that satisfy the requirements adopted at Community level, provided that such incentives comply with the provisions of the Treaty and satisfy certain conditions intended to prevent distortion of the internal market. This Directive does not affect the right of the Member States to include emissions of pollutants and other substances in the basis for calculating road traffic taxes on motor vehicles.

(13) Since some of those tax incentives are State aids under Article 87(1) of the Treaty, they would have to be notified to the Commission under Article 88(3) of the Treaty for evaluation in accordance with the relevant criteria of compatibility. The notification of such measures in accordance with this Directive should be without prejudice to the obligation to notify under Article 88(3) of the Treaty.

(14) With the aim of simplifying and accelerating the procedure, the Commission should be entrusted with the task of adopting measures implementing the fundamental provisions laid down in this Directive as well as the measures for adapting the annexes of this Directive to scientific and technical progress.

(15) The measures necessary for the implementation of this Directive and its adaptation to scientific and technical progress should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission (9).

(16) The Commission should keep under review the need to introduce emission limits for pollutants which are as yet unregulated and which arise as a consequence of the wider use of new alternative fuels and new exhaust emission control systems.

(17) The Commission should submit proposals it may deem appropriate for a further stage for limit values for NOx and particulate emissions as soon as possible.

(18) Since the objective of this Directive, namely the realisation of the internal market through the introduction of common technical requirements concerning gaseous and particulate emissions for all types of vehicles, cannot be sufficiently achieved by the Member States and can therefore, by reason of the scale of the action, be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity, as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve this objective.

(19) The obligation to transpose this Directive into national law should be confined to those provisions which represent a substantive change as compared with the earlier Directives. The obligation to transpose the provisions which are unchanged arises under the earlier Directives.

(20) This Directive should be without prejudice to the obligations of the Member States relating to the time limits for transposition into national law and application of the Directives set out in Annex IX, Part B.

HAVE ADOPTED THIS DIRECTIVE:

Article 1

Definitions

For the purposes of this Directive the following definitions shall apply:

(a) ‘vehicle’ means any vehicle as defined in Article 2 of Directive 70/156/EEC and propelled by a compression-ignition or gas engine, with the exception of vehicles of category M1 with a technically permissible maximum laden mass less than or equal to 3,5 tonnes;

(b) ‘compression-ignition or gas engine’ means the motive propulsion source of a vehicle for which type-approval as a separate technical unit, as defined in Article 2 of Directive 70/156/EEC, may be granted;

(c) ‘enhanced environment-friendly vehicle (EEV)’ means a vehicle propelled by an engine which complies with the permissive emission limit values set out in row C of the tables in Section 6.2.1 of Annex I.

Article 2

Obligations of the Member States

1. For types of compression-ignition or gas engines and types of vehicle propelled by compression-ignition or gas engines, where the requirements set out in Annexes I to VIII are not met and in particular where the emissions of gaseous and particulate pollutants and opacity of smoke from the engine do not comply with the limit values set out in row A of the tables in Section 6.2.1 of Annex I, Member States:

(a) shall refuse to grant EC type-approval pursuant to Article 4(1) of Directive 70/156/EEC; and

(b) shall refuse national type-approval.

2. Except in the case of vehicles and engines intended for export to third countries or replacement engines for in-service vehicles, Member States shall, where the requirements set out in Annexes I to VIII are not met and in particular where the emissions of gaseous and particulate pollutants and opacity of smoke from the engine do not comply with the limit values set out in row A of the tables in Section 6.2.1 of Annex I:

(a) consider certificates of conformity which accompany new vehicles or new engines pursuant to Directive 70/156/EEC as no longer valid for the purposes of Article 7(1) of that Directive; and

(b) prohibit the registration, sale, entry into service or use of new vehicles propelled by a compression-ignition or gas engine and the sale or use of new compression-ignition or gas engines.

3. Without prejudice to paragraphs 1 and 2, with effect from 1 October 2003 and except in the case of vehicles and engines intended for export to third countries or replacement engines for in-service vehicles, Member States shall, for types of gas engines and types of vehicles propelled by a gas engine which do not comply with the requirements set out in Annexes I to VIII:

(a) consider certificates of conformity which accompany new vehicles or new engines pursuant to Directive 70/156/EEC as no longer valid for the purposes of Article 7(1) of that Directive; and

(b) prohibit the registration, sale, entry into service or use of new vehicles and the sale or use of new engines.

4. If the requirements set out in Annexes I to VIII and in Articles 3 and 4 are satisfied, in particular where the emissions of gaseous and particulate pollutants and opacity of smoke from the engine comply with the limit values set out in row B1 or row B2 or with the permissive limit values set out in row C of the tables in Section 6.2.1 of Annex I, no Member State may, on grounds relating to the gaseous and particulate pollutants and opacity of smoke emissions from an engine:

(a) refuse to grant EC type-approval pursuant to Article 4(1) of Directive 70/156/EEC or to grant national type-approval for a type of vehicle propelled by a compression-ignition or gas engine;

(b) prohibit the registration, sale, entry into service or use of new vehicles propelled by a compression-ignition or gas engine;

(c) refuse to grant EC type-approval for a type of compression-ignition or gas engine;

(d) prohibit the sale or use of new compression-ignition or gas engines.

5. With effect from 1 October 2005, for types of compression-ignition or gas engines and types of vehicle propelled by compression-ignition or gas engines which do not meet the requirements set out in Annexes I to VIII and in Articles 3 and 4 and in particular where the emissions of gaseous and particulate pollutants and opacity of smoke from the engine do not comply with the limit values set out in row B1 of the tables in Section 6.2.1 of Annex I, Member States:

(a) shall refuse to grant EC type-approval pursuant to Article 4(1) of Directive 70/156/EEC; and

(b) shall refuse national type-approval.

6. With effect from 1 October 2006 and except in the case of vehicles and engines intended for export to third countries or replacement engines for in-service vehicles, Member States shall, where the requirements set out in Annexes I to VIII and in Articles 3 and 4 are not met and in particular where the emissions of gaseous and particulate pollutants and opacity of smoke from the engine do not comply with the limit values set out in row B1 of the tables in Section 6.2.1 of Annex I:

(a) consider certificates of conformity which accompany new vehicles or new engines pursuant to Directive 70/156/EEC as no longer valid for the purposes of Article 7(1) of that Directive; and

(b) prohibit the registration, sale, entry into service or use of new vehicles propelled by a compression-ignition or gas engine and the sale or use of new compression-ignition or gas engines.

7. With effect from 1 October 2008, for types of compression-ignition or gas engines and types of vehicle propelled by compression-ignition or gas engines which do not meet the requirements set out in Annexes I to VIII and in Articles 3 and 4 and in particular where the emissions of gaseous and particulate pollutants and opacity of smoke from the engine do not comply with the limit values set out in row B2 of the tables in Section 6.2.1 of Annex I, Member States:

(a) shall refuse to grant EC type-approval pursuant to Article 4(1) of Directive 70/156/EEC; and

(b) shall refuse national type-approval.

8. With effect from 1 October 2009 and except in the case of vehicles and engines intended for export to third countries or replacement engines for in-service vehicles, Member States shall, where the requirements set out in Annexes I to VIII and in Articles 3 and 4 are not met and in particular where the emissions of gaseous and particulate pollutants and opacity of smoke from the engine do not comply with the limit values set out in row B2 of the tables in Section 6.2.1 of Annex I:

(a) consider certificates of conformity which accompany new vehicles or new engines pursuant to Directive 70/156/EEC as no longer valid for the purposes of Article 7(1) of that Directive; and

(b) prohibit the registration, sale, entry into service or use of new vehicles propelled by a compression-ignition or gas engine and the sale or use of new compression-ignition or gas engines.

9. In accordance with paragraph 4 an engine that satisfies the requirements set out in Annexes I to VIII, and, in particular, complies with the limit values set out in row C of the tables in Section 6.2.1 of Annex I shall be considered as complying with the requirements set out in paragraphs 1, 2 and 3.

In accordance with paragraph 4 an engine that satisfies the requirements set out in Annexes I to VIII and in Articles 3 and 4 and, in particular, complies with the limit values set out in row C of the tables in Section 6.2.1 of Annex I shall be considered as complying with the requirements set out in paragraphs 1 to 3 and 5 to 8.

10. For compression-ignition or gas engines that must comply with the limit values set out in Section 6.2.1 of Annex I under the type-approval system, the following shall apply:

under all randomly selected load conditions, belonging to a definite control area and with the exception of specified engine operating conditions which are not subject to such a provision, the emissions sampled during a time duration as small as 30 seconds shall not exceed by more than 100 % the limit values in rows B2 and C of the tables in Section 6.2.1 of Annex I. The control area to which the percentage not to be exceeded shall apply, the excluded engine operating conditions and other appropriate conditions shall be defined in accordance with the procedure referred to in Article 7(1).

Article 3

Durability of emission control systems

1. From 1 October 2005 for new type-approvals and from 1 October 2006 for all type-approvals, the manufacturer shall demonstrate that a compression-ignition or gas engine type-approved by reference to the limit values set out in row B1 or row B2 or row C of the tables in Section 6.2.1 of Annex I will comply with those limit values for a useful life of:

(a) 100 000 km or five years, whichever is the sooner, in the case of engines to be fitted to vehicles of category N1 and M2;

(b) 200 000 km or six years, whichever is the sooner, in the case of engines to be fitted to vehicles of category N2, N3 with a maximum technically permissible mass not exceeding 16 tonnes and M3 Class I, Class II and Class A, and Class B with a maximum technically permissible mass not exceeding 7,5 tonnes;

(c) 500 000 km or seven years, whichever is the sooner, in the case of engines to be fitted to vehicles of category N3 with a maximum technically permissible mass exceeding 16 tonnes and M3, Class III and Class B with a maximum technically permissible mass exceeding 7,5 tonnes.

From 1 October 2005, for new types, and from 1 October 2006, for all types, type-approvals granted to vehicles shall also require confirmation of the correct operation of the emission control devices during the normal life of the vehicle under normal conditions of use (conformity of in-service vehicles properly maintained and used).

2. The measures for the implementation of paragraph 1 shall be adopted by 28 December 2005 at the latest.

Article 4

On-board diagnostic systems

1. From 1 October 2005 for new type-approvals of vehicles and from 1 October 2006 for all type-approvals, a compression-ignition engine type-approved by reference to the emission limit values set out in row B1 or row C of the tables in Section 6.2.1 of Annex I or a vehicle propelled by such an engine shall be fitted with an on-board diagnostic (OBD) system that signals the presence of a fault to the driver if the OBD threshold limits set out in row B1 or row C of the table in paragraph 3 are exceeded.

In the case of exhaust after-treatment systems, the OBD system may monitor for major functional failure any of the following:

(a) a catalyst, where fitted as a separate unit, whether or not it is part of a deNOx system or a diesel particulate filter;

(b) a deNOx system, where fitted;

(c) a diesel particulate filter, where fitted;

(d) a combined deNOx-diesel particulate filter system.

2. From 1 October 2008 for new type-approvals and from 1 October 2009 for all type-approvals, a compression-ignition or a gas engine type-approved by reference to the emission limit values set out in row B2 or row C of the tables in Section 6.2.1 of Annex I, or a vehicle propelled by such an engine shall be fitted with an OBD system that signals the presence of a fault to the driver if the OBD threshold limits set out in row B2 or row C of the table in paragraph 3 are exceeded.

The OBD system shall also include an interface between the engine electronic control unit (EECU) and any other engine or vehicle electrical or electronic systems that provide an input to or receive an output from the EECU and which affect the correct functioning of the emission control system, such as the interface between the EECU and a transmission electronic control unit.

3. The OBD threshold limits shall be as follows:

Row Compression-ignition engines Mass of oxides of nitrogen (NOx) g/kWh Mass of particulate (PT) g/kWh B1 (2005) 7,0 0,1 B2 (2008) 7,0 0,1 C (EEV) 7,0 0,1

4. Full and uniform access to OBD information must be provided for the purposes of testing, diagnosis, servicing and repair in keeping with the relevant provisions of Directive 70/220/EEC and provisions regarding replacement components ensuring compatibility with OBD systems.

5. The measures for the implementation of paragraphs 1, 2 and 3 shall be adopted by 28 December 2005 at the latest.

Article 5

Emission control systems using consumable reagents

In defining the measures necessary to implement Article 4, as provided for by Article 7(1), the Commission shall, if appropriate, include technical measures to minimise the risk of emission control systems using consumable reagents being inadequately maintained in service. In addition, and if appropriate, measures shall be included to ensure that emissions of ammonia due to the use of consumable reagents are minimised.

Article 6

Tax incentives

1. Member States may make provision for tax incentives only in respect of vehicles which comply with this Directive. Such incentives shall comply with the provisions of the Treaty, as well as with either paragraph 2 or paragraph 3 of this Article.

2. The incentives shall apply to all new vehicles offered for sale on the market of a Member State which comply in advance with the limit values set out in row B1 or B2 of the tables in Section 6.2.1 of Annex I.

They shall be terminated with effect from the mandatory application of the limit values in row B1, as laid down in Article 2(6), or from the mandatory application of the limit values in row B2, as laid down in Article 2(8).

3. The incentives shall apply to all new vehicles offered for sale on the market of a Member State which comply with the permissive limit values set out in row C of the tables in Section 6.2.1 of Annex I.

4. In addition to the conditions referred to in paragraph 1, for each type of vehicle, the incentives shall not exceed the additional cost of the technical solutions introduced to ensure compliance with the limit values set out in row B1 or row B2 or with the permissive limit values set out in row C of the tables in Section 6.2.1 of Annex I, and of their installation on the vehicle.

5. Member States shall inform the Commission in sufficient time of plans to institute or change the tax incentives referred to in this Article, so that it can submit its observations.

Article 7

Implementation measures and amendments

1. The measures necessary for the implementation of Articles 2(10), 3 and 4 of this Directive shall be adopted by the Commission, assisted by the Committee established by Article 13(1) of Directive 70/156/EEC, in accordance with the procedure referred to in Article 13(3) of that Directive.

2. Amendments to this Directive which are necessary to adapt it to scientific and technical progress shall be adopted by the Commission, assisted by the committee established by Article 13(1) of Directive 70/156/EEC, in accordance with the procedure referred to in Article 13(3) of that Directive.

Article 8

Review and reports

1. The Commission shall review the need to introduce new emission limits applicable to heavy-duty vehicles and engines in respect of pollutants that are as yet unregulated. The review shall be based on the wider market introduction of new alternative fuels and on the introduction of new additive-enabled exhaust emission control systems to meet future standards laid down in this Directive. Where appropriate, the Commission shall submit a proposal to the European Parliament and the Council.

2. The Commission should submit to the European Parliament and the Council legislative proposals on further limits on NOx and particulate emissions for heavy-duty vehicles.

If appropriate, it shall investigate whether setting an additional limit for particulate levels and size is necessary, and, if so, include it in the proposals.

3. The Commission shall report to the European Parliament and to the Council on the progress in negotiations for a worldwide harmonised duty cycle (WHDC).

4. The Commission shall submit a report to the European Parliament and to the Council on requirements for the operation of an on-board measurement (OBM) system. On the basis of that report, the Commission shall, where appropriate, submit a proposal for measures to include the technical specifications and corresponding annexes in order to provide for the type-approval of OBM systems which ensure at least equivalent levels of monitoring to OBD systems and which are compatible therewith.

Article 9

Transposition

1. Member States shall adopt and publish, before 9 November 2006 at the latest, the laws, regulations and administrative provisions necessary to comply with this Directive. If the adoption of the implementing measures referred to in Article 7 is delayed beyond 28 December 2005, Member States shall comply with this obligation by the transposition date provided in the Directive containing these implementing measures. They shall forthwith communicate to the Commission the text of those provisions and a correlation table between those provisions and this Directive.

They shall apply those provisions from 9 November 2006 or, if the adoption of the implementing measures referred to in Article 7 is delayed beyond 28 December 2005, from the transposition date specified in the Directive containing these implementing measures.

When Member States adopt those provisions, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. They shall also include a statement that references in existing laws, regulations and administrative provisions to the Directives repealed by this Directive shall be construed as references to this Directive. Member States shall determine how such reference is to be made and how that statement is to be formulated.

2. Member States shall communicate to the Commission the text of the main provisions of national law which they adopt in the field covered by this Directive.

Article 10

Repeal

The Directives listed in Annex IX, Part A, are repealed with effect from 9 November 2006 without prejudice to the obligations of the Member States relating to the time limits for transposition into national law and application of the Directives set out in Annex IX, Part B.

References to the repealed Directives shall be construed as references to this Directive and shall be read in accordance with the correlation table in Annex X.

Article 11

Entry into force

This Directive shall enter into force on the 20th day following its publication in the Official Journal of the European Union.

Article 12

Addressees

This Directive is addressed to the Member States.

Done at Strasbourg, 28 September 2005. For the European Parliament The President J. BORRELL FONTELLES For the Council The President D. ALEXANDER

(1) OJ C 108, 30.4.2004, p. 32.

(2) Opinion of the European Parliament of 9 March 2004 (OJ C 102 E, 28.4.2004, p. 272) and Council Decision of 19 September 2005.

(3) OJ L 36, 9.2.1988, p. 33. Directive as last amended by the 2003 Act of Accession.

(4) OJ L 42, 23.2.1970, p. 1. Directive as last amended by Commission Directive 2005/49/EC (OJ L 194, 26.7.2005, p. 12).

(5) OJ L 295, 25.10.1991, p. 1.

(6) OJ L 44, 16.2.2000, p. 1.

(7) OJ L 107, 18.4.2001, p. 10.

(8) OJ L 76, 6.4.1970, p. 1. Directive as last amended by Commission Directive 2003/76/EC (OJ L 206, 15.8.2003, p. 29).

(9) OJ L 184, 17.7.1999, p. 23.

ANNEX I SCOPE, DEFINITIONS AND ABBREVIATIONS, APPLICATION FOR EC TYPE-APPROVAL, SPECIFICATIONS AND TESTS AND CONFORMITY OF PRODUCTION 1. SCOPE This Directive applies to the gaseous and particulate pollutants from all motor vehicles equipped with compression-ignition engines and to the gaseous pollutants from all motor vehicles equipped with positive ignition engines fuelled with natural gas or LPG, and to compression-ignition and positive ignition engines as specified in Article 1 with the exception of those vehicles of category N1, N2 and M2 for which type-approval has been granted under Council Directive 70/220/EEC of 20 March 1970 on the approximation of the laws of the Member States on measures to be taken against air pollution by emissions from motor vehicles (1). 2. DEFINITIONS AND ABBREVIATIONS For the purposes of this Directive: 2.1. ‘test cycle’ means a sequence of test points each with a defined speed and torque to be followed by the engine under steady state (ESC test) or transient operating conditions (ETC, ELR test); 2.2. ‘approval of an engine (engine family)’ means the approval of an engine type (engine family) with regard to the level of the emission of gaseous and particulate pollutants; 2.3. ‘diesel engine’ means an engine which works on the compression-ignition principle; 2.4. ‘gas engine’ means an engine which is fuelled with natural gas (NG) or liquid petroleum gas (LPG); 2.5. ‘engine type’ means a category of engines which do not differ in such essential respects as engine characteristics as defined in Annex II to this Directive; 2.6. ‘engine family’ means a manufacturers grouping of engines which, through their design as defined in Annex II, Appendix 2 to this Directive, have similar exhaust emission characteristics; all members of the family must comply with the applicable emission limit values; 2.7. ‘parent engine’ means an engine selected from an engine family in such a way that its emissions characteristics will be representative for that engine family; 2.8. ‘gaseous pollutants’ means carbon monoxide, hydrocarbons (assuming a ratio of CH1,85 for diesel, CH2,525 for LPG and CH2,93 for NG (NMHC), and an assumed molecule CH3O0,5 for ethanol-fuelled diesel engines), methane (assuming a ratio of CH4 for NG) and oxides of nitrogen, the last named being expressed in nitrogen dioxide (NO2) equivalent; 2.9. ‘particulate pollutants’ means any material collected on a specified filter medium after diluting the exhaust with clean filtered air so that the temperature does not exceed 325 K (52 oC); 2.10. ‘smoke’ means particles suspended in the exhaust stream of a diesel engine which absorb, reflect, or refract light; 2.11. ‘net power’ means the power in EC kW obtained on the test bench at the end of the crankshaft, or its equivalent, measured in accordance with the EC method of measuring power as set out in Council Directive 80/1269/EEC of 16 December 1980on the approximation of the laws of the Member States relating to the engine power of motor vehicles (2); 2.12. ‘declared maximum power (Pmax)’ means the maximum power in EC kW (net power) as declared by the manufacturer in his application for type-approval; 2.13. ‘per cent load’ means the fraction of the maximum available torque at an engine speed; 2.14. ‘ESC test’ means a test cycle consisting of 13 steady state modes to be applied in accordance with Section 6.2 of this Annex; 2.15. ‘ELR test’ means a test cycle consisting of a sequence of load steps at constant engine speeds to be applied in accordance with Section 6.2 of this Annex; 2.16. ‘ETC test’ means a test cycle consisting of 1 800 second-by-second transient modes to be applied in accordance with Section 6.2 of this Annex; 2.17. ‘engine operating speed range’ means the engine speed range, most frequently used during engine field operation, which lies between the low and high speeds, as set out in Annex III to this Directive; 2.18. ‘low speed (nlo)’ means the lowest engine speed where 50 % of the declared maximum power occurs; 2.19. ‘high speed (nhi)’ means the highest engine speed where 70 % of the declared maximum power occurs; 2.20. ‘engine speeds A, B and C’ means the test speeds within the engine operating speed range to be used for the ESC test and the ELR test, as set out in Annex III, Appendix 1 to this Directive; 2.21. ‘control area’ means the area between the engine speeds A and C and between 25 to 100 per cent load; 2.22. ‘reference speed (nref)’ means the 100 per cent speed value to be used for denormalising the relative speed values of the ETC test, as set out in Annex III, Appendix 2 to this Directive; 2.23. ‘opacimeter’ means an instrument designed to measure the opacity of smoke particles by means of the light extinction principle; 2.24. ‘NG gas range’ means one of the H or L range as defined in European Standard EN 437, dated November 1993; 2.25. ‘self adaptability’ means any engine device allowing the air/fuel ratio to be kept constant; 2.26. ‘recalibration’ means a fine tuning of an NG engine in order to provide the same performance (power, fuel consumption) in a different range of natural gas; 2.27. ‘Wobbe Index (lower Wl; or upper Wu)’ means the ratio of the corresponding calorific value of a gas per unit volume and the square root of its relative density under the same reference conditions: 2.28. ‘λ-shift factor (Sλ)’ means an expression that describes the required flexibility of the engine management system regarding a change of the excess-air ratio λ if the engine is fuelled with a gas composition different from pure methane (see Annex VII for the calculation of Sλ); 2.29. ‘defeat device’ means a device which measures, senses or responds to operating variables (e.g. vehicle speed, engine speed, gear used, temperature, intake pressure or any other parameter) for the purpose of activating, modulating, delaying or deactivating the operation of any component or function of the emission control system such that the effectiveness of the emission control system is reduced under conditions encountered during normal vehicle use unless the use of such a device is substantially included in the applied emission certification test procedures. 2.30. ‘auxiliary control device’ means a system, function or control strategy installed to an engine or on a vehicle, that is used to protect the engine and/or its ancillary equipment against operating conditions that could result in damage or failure, or is used to facilitate engine starting. An auxiliary control device may also be a strategy or measure that has been satisfactorily demonstrated not to be a defeat device; 2.31. ‘irrational emission control strategy’ means any strategy or measure that, when the vehicle is operated under normal conditions of use, reduces the effectiveness of the emission control system to a level below that expected on the applicable emission test procedures. 2.32. Symbols and abbreviations 2.32.1. Symbols for test parameters Symbol Unit Term AP m2 Cross sectional area of the isokinetic sampling probe AT m2 Cross sectional area of the exhaust pipe CEE — Ethane efficiency CEM — Methane efficiency C1 — Carbon 1 equivalent hydrocarbon conc ppm/vol. % Subscript denoting concentration D0 m3/s Intercept of PDP calibration function DF — Dilution factor D — Bessel function constant E — Bessel function constant EZ g/kWh Interpolated NOx emission of the control point fa — Laboratory atmospheric factor fc s-1 Bessel filter cut-off frequency FFH — Fuel specific factor for the calculation of wet concentration for dry concentration FS — Stoichiometric factor GAIRW kg/h Intake air mass flow rate on wet basis GAIRD kg/h Intake air mass flow rate on dry basis GDILW kg/h Dilution air mass flow rate on wet basis GEDFW kg/h Equivalent diluted exhaust gas mass flow rate on wet basis GEXHW kg/h Exhaust gas mass flow rate on wet basis GFUEL kg/h Fuel mass flow rate GTOTW kg/h Diluted exhaust gas mass flow rate on wet basis H MJ/m3 Calorific value HREF g/kg Reference value of absolute humidity (10,71g/kg) Ha g/kg Absolute humidity of the intake air Hd g/kg Absolute humidity of the dilution air HTCRAT mol/mol Hydrogen-to-Carbon ratio i — Subscript denoting an individual mode K — Bessel constant k m-1 Light absorption coefficient KH,D — Humidity correction factor for NOx for diesel engines KH,G — Humidity correction factor for NOx for gas engines KV CFV calibration function 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 engine La m Effective optical path length m Slope of PDP calibration function mass g/h or g Subscript denoting emissions mass flow (rate) MDIL kg Mass of the dilution air sample passed through the particulate sampling filters Md mg Particulate sample mass of the dilution air collected Mf mg Particulate sample mass collected Mf,p mg Particulate sample mass collected on primary filter Mf,b mg Particulate sample mass collected on back-up filter MSAM Mass of the diluted exhaust sample passed through the particulate sampling filters MSEC kg Mass of secondary dilution air MTOTW kg Total CVS mass over the cycle on wet basis MTOTW,i kg Instantaneous CVS mass on wet basis N % Opacity NP — Total revolutions of PDP over the cycle NP,i — Revolutions of PDP during a time interval n min-1 Engine speed np s-1 PDP speed nhi min-1 High engine speed nlo min-1 Low engine speed nref min-1 Reference engine speed for ETC test pa kPa Saturation vapour pressure of the engine intake air pA kPa Absolute pressure pB kPa Total atmospheric pressure pd kPa Saturation vapour pressure of the dilution air ps kPa Dry atmospheric pressure p1 kPa Pressure depression at pump inlet P(a) kW Power absorbed by auxiliaries to be fitted for test P(b) kW Power absorbed by auxiliaries to be removed for test P(n) kW Net power non-corrected P(m) kW Power measured on test bed Ω — Bessel constant Qs m3/s CVS volume flow rate q — Dilution ratio r — Ratio of cross sectional areas of isokinetic probe and exhaust pipe Ra % Relative humidity of the intake air Rd % Relative humidity of the dilution air Rf — FID response factor ρ kg/m3 Density S kW Dynamometer setting Si m-1 Instantaneous smoke value Sλ λ-shift factor T K Absolute temperature Ta K Absolute temperature of the intake air t s Measuring time te s Electrical response time tF s Filter response time for Bessel function tp s Physical response time Δt s Time interval between successive smoke data (= 1/sampling rate) Δti s Time interval for instantaneous CFV flow τ % Smoke transmittance V0 m3/rev PDP volume flow rate at actual conditions W — Wobbe index Wact kWh Actual cycle work of ETC Wref kWh Reference cycle work of ETC WF — Weighting factor WFE — Effective weighting factor X0 m3/rev Calibration function of PDP volume flow rate Yi m-1 1 s Bessel averaged smoke value 2.32.2. Symbols for chemical components CH4 Methane C2H6 Ethane C2H5OH Ethanol C3H8 Propane CO Carbon monoxide DOP Di-octylphtalate CO2 Carbon dioxide HC Hydrocarbons NMHC Non-methane hydrocarbons NOx Oxides of nitrogen NO Nitric oxide NO2 Nitrogen dioxide PT Particulates. 2.32.3. Abbreviations CFV Critical flow venturi CLD Chemiluminescent detector ELR European load response test ESC European steady state cycle ETC European transient cycle FID Flame ionisation detector GC Gas chromatograph HCLD Heated chemiluminescent detector HFID Heated flame ionisation detector LPG Liquefied petroleum gas NDIR Non-dispersive infrared analyser NG Natural gas NMC Non-methane cutter 3. APPLICATION FOR EC TYPE-APPROVAL 3.1. Application for EC type-approval for a type of engine or engine family as a separate technical unit 3.1.1. The application for approval of an engine type or engine family with regard to the level of the emission of gaseous and particulate pollutants for diesel engines and with regard to the level of the emission of gaseous pollutants for gas engines shall be submitted by the engine manufacturer or by a duly accredited representative. 3.1.2. It shall be accompanied by the undermentioned documents in triplicate and the following particulars: 3.1.2.1. A description of the engine type or engine family, if applicable, comprising the particulars referred to in Annex II to this Directive which conform to the requirements of Articles 3 and 4 of Directive 70/156/EEC of 6 February 1970 on the approximation of the laws of the Member States relating to the type-approval of motor vehicles and their trailers (3). 3.1.3. An engine conforming to the ‘engine type’ or ‘parent engine’ characteristics described in Annex II shall be submitted to the technical service responsible for conducting the approval tests defined in Section 6. 3.2. Application for EC type-approval for a vehicle type in respect of its engine 3.2.1. The application for approval of a vehicle with regard to emission of gaseous and particulate pollutants by its diesel engine or engine family and with regard to the level of the emission of gaseous pollutants by its gas engine or engine family shall be submitted by the vehicle manufacturer or a duly accredited representative. 3.2.2. It shall be accompanied by the undermentioned documents in triplicate and the following particulars: 3.2.2.1. A description of the vehicle type, of the engine-related vehicle parts and of the engine type or engine family, if applicable, comprising the particulars referred to in Annex II, along with the documentation required in application of Article 3 of Directive 70/156/EEC. 3.3. Application for EC type-approval for a vehicle type with an approved engine 3.3.1. The application for approval of a vehicle with regard to emission of gaseous and particulate pollutants by its approved diesel engine or engine family and with regard to the level of the emission of gaseous pollutants by its approved gas engine or engine family shall be submitted by the vehicle manufacturer or a duly accredited representative. 3.3.2. It shall be accompanied by the undermentioned documents in triplicate and the following particulars: 3.3.2.1. a description of the vehicle type and of engine-related vehicle parts comprising the particulars referred to in Annex II, as applicable, and a copy of the EC Type-Approval Certificate (Annex VI) for the engine or engine family, if applicable, as a separate technical unit which is installed in the vehicle type, along with the documentation required in application of Article 3 of Directive 70/156/EEC. 4. EC TYPE-APPROVAL 4.1. Granting of a universal fuel EC type-approval A universal fuel EC type-approval is granted subject to the following requirements. 4.1.1. In the case of diesel fuel the parent engine meets the requirements of this Directive on the reference fuel specified in Annex IV. 4.1.2. In the case of natural gas the parent engine should demonstrate its capability to adapt to any fuel composition that may occur across the market. In the case of natural gas there are generally two types of fuel, high calorific fuel (H-gas) and low calorific fuel (L-gas), but with a significant spread within both ranges; they differ significantly in their energy content expressed by the Wobbe Index and in their λ-shift factor (Sλ). The formulae for the calculation of the Wobbe index and Sλ are given in Sections 2.27 and 2.28. Natural gases with a λ-shift factor between 0,89 and 1,08 (0,89 ≤ Sλ ≤ 1,08) are considered to belong to H-range, while natural gases with a λ-shift factor between 1,08 and 1,19 (1,08 ≤ Sλ ≤ 1,19) are considered to belong to L-range. The composition of the reference fuels reflects the extreme variations of Sλ. The parent engine shall meet the requirements of this Directive on the reference fuels GR (fuel 1) and G25 (fuel 2), as specified in Annex IV, without any readjustment to the fuelling between the two tests. However, one adaptation run over one ETC cycle without measurement is permitted after the change of the fuel. Before testing, the parent engine shall be run-in using the procedure given in paragraph 3 of Appendix 2 to Annex III. 4.1.2.1. On the manufacturer's request the engine may be tested on a third fuel (fuel 3) if the λ-shift factor (Sλ) lies between 0,89 (i.e. the lower range of GR) and 1,19 (i.e. the upper range of G25) for example when fuel 3 is a market fuel. The results of this test may be used as a basis for the evaluation of the conformity of the production. 4.1.3. In the case of an engine fuelled with natural gas which is self-adaptive for the range of H-gases on the one hand and the range of L-gases on the other hand, and which switches between the H-range and the L-range by means of a switch, the parent engine shall be tested on the relevant reference fuel as specified in Annex IV for each range, at each position of the switch. The fuels are GR (fuel 1) and G23 (fuel 3) for the H-range of gases and G25 (fuel 2) and G23 (fuel 3) for the L-range of gases. The parent engine shall meet the requirements of this Directive at both positions of the switch without any readjustment to the fuelling between the two tests at each position of the switch. However, one adaptation run over one ETC cycle without measurement is permitted after the change of the fuel. Before testing the parent engine shall be run-in using the procedure given in paragraph 3 of Appendix 2 to Annex III. 4.1.3.1. At the manufacturer's request the engine may be tested on a third fuel instead of G23 (fuel 3) if the λ-shift factor (Sλ) lies between 0,89 (i.e. the lower range of GR) and 1,19 (i.e. the upper range of G25), for example when fuel 3 is a market fuel. The results of this test may be used as a basis for the evaluation of the conformity of the production. 4.1.4. In the case of natural gas engines, the ratio of the emission results ‘r’ shall be determined for each pollutant as follows: or, and, 4.1.5. In the case of LPG the parent engine should demonstrate its capability to adapt to any fuel composition that may occur across the market. In the case of LPG there are variations in C3/C4 composition. These variations are reflected in the reference fuels. The parent engine should meet the emission requirements on the reference fuels A and B as specified in Annex IV without any readjustment to the fuelling between the two tests. However, one adaptation run over one ETC cycle without measurement is permitted after the change of the fuel. Before testing, the parent engine shall be run-in using the procedure defined in paragraph 3 of Appendix 2 to Annex III. 4.1.5.1. The ratio of emission results ‘r’ shall be determined for each pollutant as follows: 4.2. Granting of a fuel range restricted EC type-approval Fuel range restricted EC type-approval is granted subject to the following requirements: 4.2.1. Exhaust emissions approval of an engine running on natural gas and laid out for operation on either the range of H-gases or on the range of L-gases The parent engine shall be tested on the relevant reference fuel, as specified in Annex IV, for the relevant range. The fuels are GR (fuel 1) and G23 (fuel 3) for the H-range of gases and G25 (fuel 2) and G23 (fuel 3) for the L-range of gases. The parent engine shall meet the requirements of this Directive without any readjustment to the fuelling between the two tests. However, one adaptation run over one ETC cycle without measurement is permitted after the change of the fuel. Before testing the parent engine shall be run-in using the procedure defined in paragraph 3 of Appendix 2 to Annex III. 4.2.1.1. At the manufacturer's request the engine may be tested on a third fuel instead of G23 (fuel 3) if the λ-shift factor (Sλ) lies between 0,89 (i.e. the lower range of GR) and 1,19 (i.e. the upper range of G25), for example when fuel 3 is a market fuel. The results of this test may be used as a basis for the evaluation of the conformity of the production. 4.2.1.2. The ratio of emission results ‘r’ shall be determined for each pollutant as follows: or, and, 4.2.1.3. On delivery to the customer the engine shall bear a label (see paragraph 5.1.5) stating for which range of gases the engine is approved. 4.2.2. Exhaust emissions approval of an engine running on natural gas or LPG and laid out for operation on one specific fuel composition 4.2.2.1. The parent engine shall meet the emission requirements on the reference fuels GR and G25 in the case of natural gas, or the reference fuels A and B in the case of LPG, as specified in Annex IV. Between the tests fine-tuning of the fuelling system is allowed. This fine-tuning will consist of a recalibration of the fuelling database, without any alteration to either the basic control strategy or the basic structure of the database. If necessary the exchange of parts that are directly related to the amount of fuel flow (such as injector nozzles) is allowed. 4.2.2.2. At the manufacturer's request the engine may be tested on the reference fuels GR and G23, or on the reference fuels G25 and G23, in which case the type-approval is only valid for the H-range or the L-range of gases respectively. 4.2.2.3. On delivery to the customer the engine shall bear a label (see paragraph 5.1.5) stating for which fuel composition the engine has been calibrated. 4.3. Exhaust emissions approval of a member of a family 4.3.1. With the exception of the case mentioned in paragraph 4.3.2, the approval of a parent engine shall be extended to all family members without further testing, for any fuel composition within the range for which the parent engine has been approved (in the case of engines described in paragraph 4.2.2) or the same range of fuels (in the case of engines described in either paragraphs 4.1 or 4.2) for which the parent engine has been approved. 4.3.2. Secondary test engine In case of an application for type-approval of an engine, or a vehicle in respect of its engine, that engine belonging to an engine family, if the technical service determines that, with regard to the selected parent engine the submitted application does not fully represent the engine family defined in Annex I, Appendix 1, an alternative and if necessary an additional reference test engine may be selected by the technical service and tested. 4.4. Type-approval certificate A certificate conforming to the model specified in Annex VI shall be issued for approval referred to under Sections 3.1, 3.2 and 3.3. 5. ENGINE MARKINGS 5.1. The engine approved as a technical unit must bear: 5.1.1. the trademark or trade name of the manufacturer of the engine; 5.1.2. the manufacturer's commercial description; 5.1.3. the EC type-approval number preceded by the distinctive letter(s) or number(s) of the country granting EC type-approval (4); 5.1.4. in case of an NG engine one of the following markings to be placed after the EC type approval number: — H in case of the engine being approved and calibrated for the H-range of gases; — L in case of the engine being approved and calibrated for the L-range of gases; — HL in case of the engine being approved and calibrated for both the H-range and L-range of gases; — Ht in case of the engine being approved and calibrated for a specific gas composition in the H-range of gases and transformable to another specific gas in the H-range of gases by fine tuning of the engine fuelling; — Lt in case of the engine being approved and calibrated for a specific gas composition in the L-range of gases and transformable to another specific gas in the L-range of gases after fine tuning of the engine fuelling; — HLt in the case of the engine being approved and calibrated for a specific gas composition in either the H-range or the L-range of gases and transformable to another specific gas in either the H-range or the L-range of gases by fine tuning of the engine fuelling. 5.1.5. Labels In the case of NG and LPG fuelled engines with a fuel range restricted type approval, the following labels are applicable: 5.1.5.1. Content The following information must be given: In the case of paragraph 4.2.1.3, the label shall state ‘ONLY FOR USE WITH NATURAL GAS RANGE H’. If applicable, ‘H’ is replaced by ‘L’. In the case of paragraph 4.2.2.3, the label shall state ‘ONLY FOR USE WITH NATURAL GAS SPECIFICATION …’ or ‘ONLY FOR USE WITH LIQUEFIED PETROLEUM GAS SPECIFICATION …’, as applicable. All the information in the appropriate table(s) in Annex IV shall be given with the individual constituents and limits specified by the engine manufacturer. The letters and figures must be at least 4 mm in height. Note: If lack of space prevents such labelling, a simplified code may be used. In this event, explanatory notes containing all the above information must be easily accessible to any person filling the fuel tank or performing maintenance or repair on the engine and its accessories, as well as to the authorities concerned. The site and content of these explanatory notes will be determined by agreement between the manufacturer and the approval authority. 5.1.5.2. Properties Labels must be durable for the useful life of the engine. Labels must be clearly legible and their letters and figures must be indelible. Additionally, labels must be attached in such a manner that their fixing is durable for the useful life of the engine, and the labels cannot be removed without destroying or defacing them. 5.1.5.3. Placing Labels must be secured to an engine part necessary for normal engine operation and not normally requiring replacement during engine life. Additionally, these labels 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. 5.2. In case of an application for EC type-approval for a vehicle type in respect of its engine, the marking specified in Section 5.1.5 shall also be placed close to fuel filling aperture. 5.3. In case of an application for EC type-approval for a vehicle type with an approved engine, the marking specified in Section 5.1.5 shall also be placed close to the fuel filling aperture. 6. SPECIFICATIONS AND TESTS 6.1. General 6.1.1. Emission control equipment 6.1.1.1. The components liable to affect the emission of gaseous and particulate pollutants from diesel engines and the emission of gaseous pollutants from gas engines shall be so designed, constructed, assembled and installed as to enable the engine, in normal use, to comply with the provisions of this Directive. 6.1.2. Functions of emission control equipment 6.1.2.1. The use of a defeat device and/or an irrational emission control strategy is forbidden. 6.1.2.2. An auxiliary control device may be installed to an engine, or on a vehicle, provided that the device: — operates only outside the conditions specified in paragraph 6.1.2.4, or — is activated only temporarily under the conditions specified in paragraph 6.1.2.4 for such purposes as engine damage protection, air-handling device protection, smoke management, cold start or warming-up, or — is activated only by on-board signals for purposes such as operational safety and limp-home strategies. 6.1.2.3. An engine control device, function, system or measure that operates during the conditions specified in Section 6.1.2.4 and which results in the use of a different or modified engine control strategy to that normally employed during the applicable emission test cycles will be permitted if, in complying with the requirements of Sections 6.1.3 and/or 6.1.4, it is fully demonstrated that the measure does not reduce the effectiveness of the emission control system. In all other cases, such devices shall be considered to be a defeat device. 6.1.2.4. For the purposes of point 6.1.2.2, the defined conditions of use under steady state and transient conditions are: — an altitude not exceeding 1 000 metres (or equivalent atmospheric pressure of 90 kPa), — an ambient temperature within the range 283 to 303 K (10 to 30 °C), — engine coolant temperature within the range 343 to 368 K (70 to 95 °C). 6.1.3. Special requirements for electronic emission control systems 6.1.3.1. Documentation requirements The manufacturer shall provide a documentation package that gives access to the basic design of the system and the means by which it controls its output variables, whether that control is direct or indirect. The documentation shall be made available in two parts: (a) the formal documentation package, which shall be supplied to the technical service at the time of submission of the type-approval application, shall include a full description of the system. This documentation may be brief, provided that it exhibits evidence that all outputs permitted by a matrix obtained from the range of control of the individual unit inputs have been identified. This information shall be attached to the documentation required in Annex I, Section 3; (b) additional material that shows the parameters that are modified by any auxiliary control device and the boundary conditions under which the device operates. The additional material shall include a description of the fuel system control logic, timing strategies and switch points during all modes of operation. The additional material shall also contain a justification for the use of any auxiliary control device and include additional material and test data to demonstrate the effect on exhaust emissions of any auxiliary control device installed to the engine or on the vehicle. This additional material shall remain strictly confidential and be retained by the manufacturer, but be made open for inspection at the time of type-approval or at any time during the validity of the type-approval. 6.1.4. To verify whether any strategy or measure should be considered a defeat device or an irrational emission control strategy according to the definitions given in Sections 2.29 and 2.31, the type-approval authority and/or the technical service may additionally request a NOx screening test using the ETC which may be carried out in combination with either the type-approval test or the procedures for checking the conformity of production. 6.1.4.1. As an alternative to the requirements of Appendix 4 to Annex III the emissions of NOx during the ETC screening test may be sampled using the raw exhaust gas and the technical prescriptions of ISO DIS 16183, dated 15 October 2000, shall be followed. 6.1.4.2. In verifying whether any strategy or measure should be considered a defeat device or an irrational emission control strategy according to the definitions given in Sections 2.29 and 2.31, an additional margin of 10 %, related to the appropriate NOx limit value, shall be accepted. 6.1.5. Transitional provisions for extension of type-approval 6.1.5.1. This section shall only be applicable to new compression-ignition engines and new vehicles propelled by a compression-ignition engine that have been type-approved to the requirements of row A of the tables in Section 6.2.1. 6.1.5.2. As an alternative to Sections 6.1.3 and 6.1.4, the manufacturer may present to the technical service the results of a NOx screening test using the ETC on the engine conforming to the characteristics of the parent engine described in Annex II, and taking into account the provisions of Sections 6.1.4.1 and 6.1.4.2. The manufacturer shall also provide a written statement that the engine does not employ any defeat device or irrational emission control strategy as defined in Section 2 of this Annex. 6.1.5.3. The manufacturer shall also provide a written statement that the results of the NOx screening test and the declaration for the parent engine, as referred to in Section 6.1.4, are also applicable to all engine types within the engine family described in Annex II. 6.2. Specifications concerning the emission of gaseous and particulate pollutants and smoke For type approval to row A of the tables in Section 6.2.1, the emissions shall be determined on the ESC and ELR tests with conventional diesel engines including those fitted with electronic fuel injection equipment, exhaust gas recirculation (EGR), and/or oxidation catalysts. Diesel engines fitted with advanced exhaust aftertreatment systems including the NOx catalysts and/or particulate traps, shall additionally be tested on the ETC test. For type approval testing to either row B1 or B2 or row C of the tables in Section 6.2.1 the emissions shall be determined on the ESC, ELR and ETC tests. For gas engines, the gaseous emissions shall be determined on the ETC test. The ESC and ELR test procedures are described in Annex III, Appendix 1, the ETC test procedure in Annex III, Appendices 2 and 3. The emissions of gaseous pollutants and particulate pollutants, if applicable, and smoke, if applicable, by the engine submitted for testing shall be measured by the methods described in Annex III, Appendix 4. Annex V describes the recommended analytical systems for the gaseous pollutants, the recommended particulate sampling systems, and the recommended smoke measurement system. Other systems or analysers may be approved by the Technical Service if it is found that they yield equivalent results on the respective test cycle. The determination of system equivalency shall be based upon a 7 sample pair (or larger) correlation study between the system under consideration and one of the reference systems of this Directive. For particulate emissions only the full flow dilution system is recognised as the reference system. ‘Results’ refer to the specific cycle emissions value. The correlation testing shall be performed at the same laboratory, test cell, and on the same engine, and is preferred to be run concurrently. The equivalency criterion is defined as a ± 5 % agreement of the sample pair averages. 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. 6.2.1. Limit values The specific mass of the carbon monoxide, of the total hydrocarbons, of the oxides of nitrogen and of the particulates, as determined on the ESC test, and of the smoke opacity, as determined on the ELR test, shall not exceed the amounts shown in Table 1. Table 1 Limit values — ESC and ELR tests Row Mass of carbon monoxide (CO) g/kWh Mass of hydrocarbons (HC) g/kWh Mass of nitrogen oxides (NOx) g/kWh Mass of particulates (PT) g/kWh Smoke m–1 A (2000) 2,1 0,66 5,0 0,10 0,13 (5) 0,8 B1 (2005) 1,5 0,46 3,5 0,02 0,5 B2 (2008) 1,5 0,46 2,0 0,02 0,5 C (EEV) 1,5 0,25 2,0 0,02 0,15 For diesel engines that are additionally tested on the ETC test, and specifically for gas engines, the specific masses of the carbon monoxide, of the non-methane hydrocarbons, of the methane (where applicable), of the oxides of nitrogen and of the particulates (where applicable) shall not exceed the amounts shown in Table 2. Table 2 Limit values — ETC tests Row Mass of carbon monoxide (CO) g/kWh Mass of non-methane hydrocarbons (NMHC) g/kWh Mass of methane (CH4) (6) g/kWh Mass of nitrogen oxides (NOx) g/kWh Mass of particulates (PT) (7) g/kWh A (2000) 5,45 0,78 1,6 5,0 0,16 0,21 (8) B1 (2005) 4,0 0,55 1,1 3,5 0,03 B2 (2008) 4,0 0,55 1,1 2,0 0,03 C (EEV) 3,0 0,40 0,65 2,0 0,02 6.2.2. Hydrocarbon measurement for diesel and gas fuelled engines 6.2.2.1. A manufacturer may choose to measure the mass of total hydrocarbons (THC) on the ETC test instead of measuring the mass of non-methane hydrocarbons. In this case, the limit for the mass of total hydrocarbons is the same as shown in Table 2 for the mass of non-methane hydrocarbons. 6.2.3. Specific requirements for diesel engines 6.2.3.1. The specific mass of the oxides of nitrogen measured at the random check points within the control area of the ESC test must not exceed by more than 10 per cent the values interpolated from the adjacent test modes (reference Annex III, Appendix 1, Sections 4.6.2 and 4.6.3). 6.2.3.2. The smoke value on the random test speed of the ELR must not exceed the highest smoke value of the two adjacent test speeds by more than 20 per cent, or by more than 5 per cent of the limit value, whichever is greater. 7. INSTALLATION ON THE VEHICLE 7.1. The engine installation on the vehicle shall comply with the following characteristics in respect to the type-approval of the engine: 7.1.1. intake depression shall not exceed that specified for the type-approved engine in Annex VI; 7.1.2. exhaust back pressure shall not exceed that specified for the type-approved engine in Annex VI; 7.1.3. the exhaust system volume shall not differ by more than 40 % of that specified for the type-approved engine in Annex VI; 7.1.4. power absorbed by the auxiliaries needed for operating the engine shall not exceed that specified for the type-approved engine in Annex VI. 8. ENGINE FAMILY 8.1. Parameters defining the engine family The engine family, as determined by the engine manufacturer, may be defined by basic characteristics 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: 8.1.1. Combustion cycle: — 2 cycle — 4 cycle 8.1.2. Cooling medium: — air — water — oil 8.1.3. For gas engines and engines with aftertreatment: — number of cylinders (other diesel engines with fewer cylinders than the parent engine may be considered to belong to the same engine family provided the fuelling system meters fuel for each individual cylinder) 8.1.4. Individual cylinder displacement: — engines to be within a total spread of 15 % 8.1.5. Method of air aspiration: — naturally aspirated — pressure charged — pressure charged with charge air cooler 8.1.6. Combustion chamber type/design: — pre-chamber — swirl chamber — open chamber 8.1.7. Valve and porting — configuration, size and number: — cylinder head — cylinder wall — crankcase 8.1.8. Fuel injection system (diesel engines): — pump-line-injector — in-line pump — distributor pump — single element — unit injector 8.1.9. Fuelling system (gas engines): — mixing unit — gas induction/injection (single point, multi-point) — liquid injection (single point, multi-point) 8.1.10. Ignition system (gas engines) 8.1.11. Miscellaneous features: — exhaust gas recirculation — water injection/emulsion — secondary air injection — charge cooling system 8.1.12. Exhaust aftertreatment: — 3-way-catalyst — oxidation catalyst — reduction catalyst — thermal reactor — particulate trap 8.2. Choice of the parent engine 8.2.1. Diesel engines 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 circumstances, the approval authority may conclude that the worst case emission rate of the family can best be characterised 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 level of the engines within that family. If engines within the family incorporate other variable features which could be considered to affect exhaust emissions, these features shall also be identified and taken into account in the selection of the parent engine. 8.2.2. Gas engines The parent engine of the family shall be selected using the primary criteria of the largest displacement. In the event that two or more engines share this primary criteria, the parent engine shall be selected using the secondary criteria in the following order: — the highest fuel delivery per stroke at the speed of declared rated power; — the most advanced spark timing; — the lowest EGR rate; — no air pump or lowest actual air flow pump. Under certain circumstances, the approval authority may conclude that the worst case emission rate of the family can best be characterised 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 level of the engines within that family. 9. PRODUCTION CONFORMITY 9.1. Measures to ensure production conformity must be taken in accordance with the provisions of Article 10 of Directive 70/156/EEC. Production conformity is checked on the basis of the description in the type-approval certificates set out in Annex VI to this Directive. Sections 2.4.2 and 2.4.3 of Annex X to Directive 70/156/EEC are applicable where the competent authorities are not satisfied with the auditing procedure of the manufacturer. 9.1.1. If emissions of pollutants are to be measured and an engine type-approval has had one or several extensions, the tests will be carried out on the engine(s) described in the information package relating to the relevant extension. 9.1.1.1. Conformity of the engine subjected to a pollutant test: After submission of the engine to the authorities, the manufacturer shall not carry out any adjustment to the engines selected. 9.1.1.1.1. Three engines are randomly taken in the series. Engines that are subject to testing only on the ESC and ELR tests or only on the ETC test for type approval to row A of the tables in Section 6.2.1 are subject to those applicable tests for the checking of production conformity. With the agreement of the authority, all other engines type approved to row A, B1 or B2, or C of the tables in Section 6.2.1 are subjected to testing either on the ESC and ELR cycles or on the ETC cycle for the checking of the production conformity. The limit values are given in Section 6.2.1 of this Annex. 9.1.1.1.2. The tests are carried out according to Appendix 1 to this Annex, where the competent authority is satisfied with the production standard deviation given by the manufacturer, in accordance with Annex X to Directive 70/156/EEC, which applies to motor vehicles and their trailers. The tests are carried out according to Appendix 2 to this Annex, where the competent authority is not satisfied with the production standard deviation given by the manufacturer, in accordance with Annex X to Directive 70/156/EEC, which applies to motor vehicles and their trailers. At the manufacturer's request, the tests may be carried out in accordance with Appendix 3 to this Annex. 9.1.1.1.3. On the basis of a test of the engine by sampling, the production of a series is regarded as conforming where a pass decision is reached for all the pollutants and non-conforming where a fail decision is reached for one pollutant, in accordance with the test criteria applied in the appropriate Appendix. When a pass decision has been reached for one pollutant, this decision may not be changed by any additional tests made in order to reach a decision for the other pollutants. If no pass decision is reached for all the pollutants and if no fail decision is reached for one pollutant, a test is carried out on another engine (see Figure 2). If no decision is reached, the manufacturer may at any time decide to stop testing. In that case a fail decision is recorded. 9.1.1.2. The tests will be carried out on newly manufactured engines. Gas fuelled engines shall be run-in using the procedure defined in paragraph 3 of Appendix 2 to Annex III. 9.1.1.2.1. However, at the request of the manufacturer, the tests may be carried out on diesel or gas engines which have been run-in more than the period referred to in Section 9.1.1.2, up to a maximum of 100 hours. In this case, the running-in procedure will be conducted by the manufacturer who shall undertake not to make any adjustments to those engines. 9.1.1.2.2. When the manufacturer asks to conduct a running-in procedure in accordance with Section 9.1.1.2.1, it may be carried out on: — all the engines that are tested, or — the first engine tested, with the determination of an evolution coefficient as follows: — the pollutant emissions will be measured at zero and at ‘x’ hours on the first engine tested, — the evolution coefficient of the emissions between zero and ‘x’ hours will be calculated for each pollutant: emissions ‘x’ hours/emissions zero hours It may be less than one. The subsequent test engines will not be subjected to the running-in procedure, but their zero hour emissions will be modified by the evolution coefficient. In this case, the values to be taken will be: — the values at ‘x’ hours for the first engine, — the values at zero hour multiplied by the evolution coefficient for the other engines. 9.1.1.2.3. For diesel and LPG fuelled engines, all these tests may be conducted with commercial fuel. However, at the manufacturer's request, the reference fuels described in Annex IV may be used. This implies tests, as described in Section 4 of this Annex, with at least two of the reference fuels for each gas engine. 9.1.1.2.4. For NG fuelled engines, all these tests may be conducted with commercial fuel in the following way: — for H marked engines with a commercial fuel within the H-range (0,89 ≤ Sλ ≤ 1,00), — for L marked engines with a commercial fuel within the L-range (1,00 ≤ Sλ ≤ 1,19), — for HL marked engines with a commercial fuel within the extreme range of the λ-shift factor (0,89 ≤ Sλ ≤ 1,19). However, at the manufacturer's request, the reference fuels described in Annex IV may be used. This implies tests, as described in Section 4 of this Annex. 9.1.1.2.5. In the case of dispute caused by the non-compliance of gas fuelled engines when using a commercial fuel, the tests shall be performed with a reference fuel on which the parent engine has been tested, or with the possible additional fuel 3 as referred to in paragraphs 4.1.3.1 and 4.2.1.1 on which the parent engine may have been tested. Then, the result has to be converted by a calculation applying the relevant factor(s) ‘r’, ‘ra’ or ‘rb’ as described in paragraphs 4.1.4, 4.1.5.1 and 4.2.1.2. If r, ra or rb are less than 1 no correction shall take place. The measured results and the calculated results must demonstrate that the engine meets the limit values with all relevant fuels (fuels 1, 2 and, if applicable, fuel 3 in the case of natural gas engines and fuels A and B in the case of LPG engines). 9.1.1.2.6. Tests for conformity of production of a gas fuelled engine laid out for operation on one specific fuel composition shall be performed on the fuel for which the engine has been calibrated. (1) OJ L 76, 6.4.1970, p. 1. Directive as last amended by Commission Directive 2003/76/EC (OJ L 206, 15.8.2003, p. 29). (2) OJ L 375, 31.12.1980, p. 46. Directive as last amended by Commission Directive 1999/99/EC (OJ L 334, 28.12.1999, p. 32). (3) OJ L 42, 23.2.1970, p. 1. Directive as last amended by Commission Directive 2004/104/EC (OJ L 337, 13.11.2004, p. 13). (4) 1 = Germany, 2 = France, 3 = Italy, 4 = Netherlands, 5 = Sweden, 6 = Belgium, 7 = Hungary, 8 = Czech Republic, 9 = Spain, 11 = United Kingdom, 12 = Austria, 13 = Luxembourg, 17 = Finland, 18 = Denmark, 20 = Poland, 21 = Portugal, 23 = Greece, 24 = Ireland, 26 = Slovenia, 27 = Slovakia, 29 = Estonia, 32 = Latvia, 36 = Lithuania, 49 = Cyprus, 50 = Malta. (5) For engines having a swept volume of less than 0,75 dm3 per cylinder and a rated power speed of more than 3 000 min -1. (6) For NG engines only. (7) Not applicable for gas fuelled engines at stage A and stages B1 and B2. (8) For engines having a swept volume of less than 0,75 dm3 per cylinder and a rated power speed of more than 3 000 min-1. Appendix 1 PROCEDURE FOR PRODUCTION CONFORMITY TESTING WHEN STANDARD DEVIATION IS SATISFACTORY 1. This Appendix describes the procedure to be used to verify production conformity for the emissions of pollutants when the manufacturer's production standard deviation is satisfactory. 2. With a minimum sample size of three engines the sampling procedure is set so that the probability of a lot passing a test with 40 % of the engines defective is 0,95 (producer's risk = 5 %) while the probability of a lot being accepted with 65 % of the engines defective is 0,10 (consumer's risk = 10 %). 3. The following procedure is used for each of the pollutants given in Section 6.2.1 of Annex I (see Figure 2): Let: L = the natural logarithm of the limit value for the pollutant; χi = the natural logarithm of the measurement for the i-th engine of the sample; s = an estimate of the production standard deviation (after taking the natural logarithm of the measurements); n = the current sample number. 4. For each sample the sum of the standardised deviations to the limit is calculated using the following formula: 5. Then: — if the test statistic result is greater than the pass decision number for the sample size given in Table 3, a pass decision is reached for the pollutant; — if the test statistic result is less than the fail decision number for the sample size given in Table 3, a fail decision is reached for the pollutant; — otherwise, an additional engine is tested according to Section 9.1.1.1 of Annex I and the calculation procedure is applied to the sample increased by one more unit. Table 3 Pass and fail decision numbers of Appendix 1 sampling plan Minimum sample size: 3 Cumulative number of engines tested (sample size) Pass decision number An Fail decision number Bn 3 3,327 – 4,724 4 3,261 – 4,790 5 3,195 – 4,856 6 3,129 – 4,922 7 3,063 – 4,988 8 2,997 – 5,054 9 2,931 – 5,120 10 2,865 – 5,185 11 2,799 – 5,251 12 2,733 – 5,317 13 2,667 – 5,383 14 2,601 – 5,449 15 2,535 – 5,515 16 2,469 – 5,581 17 2,403 – 5,647 18 2,337 – 5,713 19 2,271 – 5,779 20 2,205 – 5,845 21 2,139 – 5,911 22 2,073 – 5,977 23 2,007 – 6,043 24 1,941 – 6,109 25 1,875 – 6,175 26 1,809 – 6,241 27 1,743 – 6,307 28 1,677 – 6,373 29 1,611 – 6,439 30 1,545 – 6,505 31 1,479 – 6,571 32 – 2,112 – 2,112 Appendix 2 PROCEDURE FOR PRODUCTION CONFORMITY TESTING WHEN STANDARD DEVIATION IS UNSATISFACTORY OR UNAVAILABLE 1. This Appendix describes the procedure to be used to verify production conformity for the emissions of pollutants when the manufacturer's production standard deviation is either unsatisfactory or unavailable. 2. With a minimum sample size of three engines the sampling procedure is set so that the probability of a lot passing a test with 40 % of the engines defective is 0,95 (producer's risk = 5 %) while the probability of a lot being accepted with 65 % of the engines defective is 0,10 (consumer's risk = 10 %). 3. The values of the pollutants given in Section 6.2.1 of Annex I are considered to be log normally distributed and should be transformed by taking their natural logarithms. Let m0 and m denote the minimum and maximum sample size respectively (m0 = 3 and m = 32) and let n denote the current sample number. 4. If the natural logarithms of the values measured in the series are χ1, χ2, … χi and L is the natural logarithm of the limit value for the pollutant, then, define and 5. Table 4 shows values of the pass (A n ) and fail (B n ) decision numbers against current sample number. The test statistic result is the ratio: and shall be used to determine whether the series has passed or failed as follows: for m0 ≤ n < m: — pass the series if , — fail the series if , — take another measurement if . 6. Remarks The following recursive formulae are useful for calculating successive values of the test statistic: Table 4 Pass and fail decision numbers of Appendix 2 sampling plan Minimum sample size: 3 Cumulative number of engines tested (sample size) Pass decision number An Fail decision number Bn 3 - 0,80381 16,64743 4 - 0,76339 7,68627 5 - 0,72982 4,67136 6 - 0,69962 3,25573 7 - 0,67129 2,45431 8 - 0,64406 1,94369 9 - 0,61750 1,59105 10 - 0,59135 1,33295 11 - 0,56542 1,13566 12 - 0,53960 0,97970 13 - 0,51379 0,85307 14 - 0,48791 0,74801 15 - 0,46191 0,65928 16 - 0,43573 0,58321 17 - 0,40933 0,51718 18 - 0,38266 0,45922 19 - 0,35570 0,40788 20 - 0,32840 0,36203 21 - 0,30072 0,32078 22 - 0,27263 0,28343 23 - 0,24410 0,24943 24 - 0,21509 0,21831 25 - 0,18557 0,18970 26 - 0,15550 0,16328 27 - 0,12483 0,13880 28 - 0,09354 0,11603 29 - 0,06159 0,09480 30 - 0,02892 0,07493 31 - 0,00449 0,05629 32 - 0,03876 0,03876 Appendix 3 PROCEDURE FOR PRODUCTION CONFORMITY TESTING AT MANUFACTURER'S REQUEST 1. This Appendix describes the procedure to be used to verify, at the manufacturer's request, production conformity for the emissions of pollutants. 2. With a minimum sample size of three engines the sampling procedure is set so that the probability of a lot passing a test with 30 % of the engines defective is 0,90 (producer's risk = 10 %) while the probability of a lot being accepted with 65 % of the engines defective is 0,10 (consumer's risk = 10 %). 3. The following procedure is used for each of the pollutants given in Section 6.2.1 of Annex I (see Figure 2): Let: L = the limit value for the pollutant, xi = the value of the measurement for the i-th engine of the sample, n = the current sample number. 4. Calculate for the sample the test statistic quantifying the number of non-conforming engines, i.e. xi ≥ L. 5. Then: — if the test statistic is less than or equal to the pass decision number for the sample size given in Table 5, a pass decision is reached for the pollutant; — if the test statistic is greater than or equal to the fail decision number for the sample size given in Table 5, a fail decision is reached for the pollutant; — otherwise, an additional engine is tested according to Section 9.1.1.1 of Annex I and the calculation procedure is applied to the sample increased by one more unit. In Table 5 the pass and fail decision numbers are calculated by means of the International Standard ISO 8422/1991. Table 5 Pass and fail decision numbers of Appendix 3 sampling plan Minimum sample size: 3 Cumulative number of engines tested (sample size) Pass decision number Fail decision number 3 — 3 4 0 4 5 0 4 6 1 5 7 1 5 8 2 6 9 2 6 10 3 7 11 3 7 12 4 8 13 4 8 14 5 9 15 5 9 16 6 10 17 6 10 18 7 11 19 8 9

ANNEX III TEST PROCEDURE 1. INTRODUCTION 1.1. This Annex describes the methods of determining emissions of gaseous components, particulates and smoke from the engines to be tested. Three test cycles are described that shall be applied according to the provisions of Annex I, Section 6.2: — the ESC which consists of a steady state 13-mode cycle, — the ELR which consists of transient load steps at different speeds, which are integral parts of one test procedure, and are run concurrently, — the ETC which consists of a second-by-second sequence of transient modes. 1.2. The test shall be carried out with the engine mounted on a test bench and connected to a dynamometer. 1.3. Measurement principle The emissions to be measured from the exhaust of the engine include the gaseous components (carbon monoxide, total hydrocarbons for diesel engines on the ESC test only; non-methane hydrocarbons for diesel and gas engines on the ETC test only; methane for gas engines on the ETC test only and oxides of nitrogen), the particulates (diesel engines only) and smoke (diesel engines on the ELR test only). Additionally, carbon dioxide is often used as a tracer gas for determining the dilution ratio of partial and full flow dilution systems. Good engineering practice recommends the general measurement of carbon dioxide as an excellent tool for the detection of measurement problems during the test run. 1.3.1. ESC test During a prescribed sequence of warmed-up engine operating conditions the amounts of the above exhaust emissions shall be examined continuously by taking a sample from the raw exhaust gas. The test cycle consists of a number of speed and power modes which cover the typical operating range of diesel engines. During each mode the concentration of each gaseous pollutant, exhaust flow and power output shall be determined, and the measured values weighted. The particulate sample shall be diluted with conditioned ambient air. One sample over the complete test procedure shall be taken, and collected on suitable filters. The grams of each pollutant emitted per kilowatt hour shall be calculated as described in Appendix 1 to this Annex. Additionally, NOx shall be measured at three test points within the control area selected by the Technical Service (1) and the measured values compared to the values calculated from those modes of the test cycle enveloping the selected test points. The NOx control check ensures the effectiveness of the emission control of the engine within the typical engine operating range. 1.3.2. ELR test During a prescribed load response test, the smoke of a warmed-up engine shall be determined by means of an opacimeter. The test consists of loading the engine at constant speed from 10 % to 100 % load at three different engine speeds. Additionally, a fourth load step selected by the Technical Service (1) shall be run, and the value compared to the values of the previous load steps. The smoke peak shall be determined using an averaging algorithm, as described in Appendix 1 to this Annex. 1.3.3. ETC test During a prescribed transient cycle of warmed-up engine operating conditions, which is based closely on road-type-specific driving patterns of heavy-duty engines installed in trucks and buses, the above pollutants shall be examined after diluting the total exhaust gas with conditioned ambient air. Using the engine torque and speed feedback signals of the engine dynamometer, the power shall be integrated with respect to time of the cycle resulting in the work produced by the engine over the cycle. The concentration of NOx and HC shall be determined over the cycle by integration of the analyser signal. The concentration of CO, CO2, and NMHC may be determined by integration of the analyser signal or by bag sampling. For particulates, a proportional sample shall be collected on suitable filters. The diluted exhaust gas flow rate shall be determined over the cycle to calculate the mass emission values of the pollutants. The mass emission values shall be related to the engine work to get the grams of each pollutant emitted per kilowatt hour, as described in Appendix 2 to this Annex. 2. TEST CONDITIONS 2.1. Engine test conditions 2.1.1. The absolute temperature (Ta) of the engine air at the inlet to the engine expressed in Kelvin, and the dry atmospheric pressure (ps), expressed in kPa shall be measured and the parameter F shall be determined according to the following provisions: (a) for diesel engines: Naturally aspirated and mechanically supercharged engines: Turbocharged engines with or without cooling of the intake air: (b) for gas engines: 2.1.2. Test validity For a test to be recognised as valid, the parameter F shall be such that: 2.2. Engines with charge air cooling The charge air temperature shall be recorded and shall be, at the speed of the declared maximum power and full load, within ± 5 K of the maximum charge air temperature specified in Annex II, Appendix 1, Section 1.16.3. The temperature of the cooling medium shall be at least 293 K (20 °C). If a test shop system or external blower is used, the charge air temperature shall be within ± 5 K of the maximum charge air temperature specified in Annex II, Appendix 1, Section 1.16.3 at the speed of the declared maximum power and full load. The setting of the charge air cooler for meeting the above conditions shall be used for the whole test cycle. 2.3. Engine air intake system An engine air intake system shall be used presenting an air intake restriction within ± 100 Pa of the upper limit of the engine operating at the speed at the declared maximum power and full load. 2.4. Engine exhaust system An exhaust system shall be used presenting an exhaust back pressure within ± 1 000 Pa of the upper limit of the engine operating at the speed of declared maximum power and full load and a volume within ± 40 % of that specified by the manufacturer. A test shop system may be used, provided it represents actual engine operating conditions. The exhaust system shall conform to the requirements for exhaust gas sampling, as set out in Annex III, Appendix 4, Section 3.4 and in Annex V, Section 2.2.1, EP and Section 2.3.1, EP. If the engine is equipped with an exhaust aftertreatment device, the exhaust pipe must have the same diameter as found in-use for at least 4 pipe diameters upstream to the inlet of the beginning of the expansion section containing the aftertreatment device. The distance from the exhaust manifold flange or turbocharger outlet to the exhaust aftertreatment device shall be the same as in the vehicle configuration or within the distance specifications of the manufacturer. The exhaust backpressure or restriction shall follow the same criteria as above, and may be set with a valve. The aftertreatment container may be removed during dummy tests and during engine mapping, and replaced with an equivalent container having an inactive catalyst support. 2.5. Cooling system An engine cooling system with sufficient capacity to maintain the engine at normal operating temperatures prescribed by the manufacturer shall be used. 2.6. Lubricating oil Specifications of the lubricating oil used for the test shall be recorded and presented with the results of the test, as specified in Annex II, Appendix 1, Section 7.1. 2.7. Fuel The fuel shall be the reference fuel specified in Annex IV. The fuel temperature and measuring point shall be specified by the manufacturer within the limits given in Annex II, Appendix 1, Section 1.16.5. The fuel temperature shall not be lower than 306 K (33 °C). If not specified, it shall be 311 K ± 5 K (38 °C ± 5 °C) at the inlet to the fuel supply. For NG and LPG fuelled engines, the fuel temperature and measuring point shall be within the limits given in Annex II, Appendix 1, Section 1.16.5 or in Annex II, Appendix 3, Section 1.16.5 in cases where the engine is not a parent engine. 2.8. Testing of exhaust aftertreatment systems If the engine is equipped with an exhaust aftertreatment system, the emissions measured on the test cycle(s) shall be representative of the emissions in the field. If this cannot be achieved with one single test cycle (e.g. for particulate filters with periodic regeneration), several test cycles shall be conducted and the test results averaged and/or weighted. The exact procedure shall be agreed by the engine manufacturer and the Technical Service based upon good engineering judgement. (1) The test points shall be selected using approved statistical methods of randomisation. Appendix 1 ESC AND ELR TEST CYCLES 1. ENGINE AND DYNAMOMETER SETTINGS 1.1. Determination of engine speeds A, B and C The engine speeds A, B and C shall be declared by the manufacturer in accordance with the following provisions: The high speed nhi shall be determined by calculating 70 % of the declared maximum net power P(n), as determined in Annex II, Appendix 1, Section 8.2. The highest engine speed where this power value occurs on the power curve is defined as nhi. The low speed nlo shall be determined by calculating 50 % of the declared maximum net power P(n), as determined in Annex II, Appendix 1, Section 8.2. The lowest engine speed where this power value occurs on the power curve is defined as nlo. The engine speeds A, B and C shall be calculated as follows: The engine speeds A, B and C may be verified by either of the following methods: (a) additional test points shall be measured during engine power approval according to Directive 80/1269/EEC for an accurate determination of nhi and nlo. The maximum power, nhi and nlo shall be determined from the power curve, and engine speeds A, B and C shall be calculated according to the above provisions; b) the engine shall be mapped along the full load curve, from maximum no load speed to idle speed, using at least 5 measurement points per 1 000 rpm intervals and measurement points within ± 50 rpm of the speed at declared maximum power. The maximum power, nhi and nlo shall be determined from this mapping curve, and engine speeds A, B and C shall be calculated according to the above provisions. If the measured engine speeds A, B and C are within ± 3 % of the engine speeds as declared by the manufacturer, the declared engine speeds shall be used for the emissions test. If the tolerance is exceeded for any of the engine speeds, the measured engine speeds shall be used for the emissions test. 1.2. Determination of dynamometer settings The torque curve at full load shall be determined by experimentation to calculate the torque values for the specified test modes under net conditions, as specified in Annex II, Appendix 1, Section 8.2. The power absorbed by engine-driven equipment, if applicable, shall be taken into account. The dynamometer setting for each test mode shall be calculated using the formula: if tested under net conditions if not tested under net conditions where: s = dynamometer setting, kW P(n) = net engine power as indicated in Annex II, Appendix 1, Section 8.2, kW L = per cent load as indicated in Section 2.7.1, % P(a) = power absorbed by auxiliaries to be fitted as indicated in Annex II, Appendix 1, Section 6.1 P(b) = power absorbed by auxiliaries to be removed as indicated in Annex II, Appendix 1, Section 6.2 2. ESC TEST RUN At the manufacturers request, a dummy test may be run for conditioning of the engine and exhaust system before the measurement cycle. 2.1. Preparation of the sampling filters 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 stabilisation. At the end of the stabilisation 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 sealed 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 conditioned and reweighed before use. 2.2. Installation of the measuring equipment 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. 2.3. Starting the dilution system and the engine The dilution system and the engine shall be started and warmed up until all temperatures and pressures have stabilised at maximum power according to the recommendation of the manufacturer and good engineering practice. 2.4. Starting the particulate sampling system The particulate sampling system shall be started and running on by-pass. 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 prior to or after the test. If the dilution air is not filtered, measurements at the beginning and at the end of the cycle, may be done, and the values averaged. 2.5. Adjustment of the dilution ratio The dilution air shall be set such that the temperature of the diluted exhaust gas measured immediately prior to the primary filter shall not exceed 325 K (52 °C) at any mode. The dilution ratio (q) shall not be less than 4. For systems that use CO2 or NOx concentration measurement for dilution ratio control, the CO2 or NOx content of the dilution air must be measured at the beginning and at the end of each test. The pre- and post-test background CO2 or NOx concentration measurements of the dilution air must be within 100 ppm or 5 ppm of each other, respectively. 2.6. Checking the analysers The emission analysers shall be set at zero and spanned. 2.7. Test cycle 2.7.1. The following 13-mode cycle shall be followed in dynamometer operation on the test engine Mode number Engine speed Percent load Weighting factor Mode length 1 idle — 0,15 4 minutes 2 A 100 0,08 2 minutes 3 B 50 0,10 2 minutes 4 B 75 0,10 2 minutes 5 A 50 0,05 2 minutes 6 A 75 0,05 2 minutes 7 A 25 0,05 2 minutes 8 B 100 0,09 2 minutes 9 B 25 0,10 2 minutes 10 C 100 0,08 2 minutes 11 C 25 0,05 2 minutes 12 C 75 0,05 2 minutes 13 C 50 0,05 2 minutes 2.7.2. Test sequence The test sequence shall be started. The test shall be performed in the order of the mode numbers as set out in Section 2.7.1. The engine must be operated for the prescribed time in each mode, completing engine speed and load changes in the first 20 seconds. The specified speed shall be held to within ± 50 rpm and the specified torque shall be held to within ± 2 % of the maximum torque at the test speed. At the manufacturers request, the test sequence may be repeated a sufficient number of times for sampling more particulate mass on the filter. The manufacturer shall supply a detailed description of the data evaluation and calculation procedures. The gaseous emissions shall only be determined on the first cycle. 2.7.3. Analyser response The output of the analysers shall be recorded on a strip chart recorder or measured with an equivalent data acquisition system with the exhaust gas flowing through the analysers throughout the test cycle. 2.7.4. Particulate sampling One pair of filters (primary and bac