Proposal for a EUROPEAN PARLIAMENT AND COUNCIL DIRECTIVE 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 internal combustion engines to be installed in non-road mobile machinery
Date: 1995-09-06
Institutions: European Commission
Subjects: agricultural vehicle, approximation of laws, atmospheric pollutant, motor vehicle, pollution control measures, technical regulations

COMMISSION  OF THE  EUROPEAN  COMMUNITIES 

Brussels,  06.09.1995 
COM(95)  350  final 

95/0209  (COD) 

Proposal for a 

EUROPEAN PARLIAMENT A ND COUNCIL DIRECTIVE 

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 internal  combustion 
engines  to be installed  in non-road mobile  machinery 

(presented  by  the  Commission) 

SUMMARY 

of the Proposal for a Directive of the Council and the European 
Parliament 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  internal  combustion 
engines to be installed in non-road mobile machinery 

A. Content 

The proposal concerns the establishment of an approval process 
for  engines  installed  in  non-road  mobile  machinery  e.g. 
excavators,  fork  lift  trucks, or motor  graders.  The  approval 
criteria are based upon the emissions of atmospheric pollutants 
such as particulate matters, oxides of nitrogen, hydrocarbons, 
and carbonmonoxide. As emission standards for "on-road" vehicles 
becoming increasingly severe the relative contribution from non-
road vehicles is rising. It is therefore cost effective in terms 
of  tonne  of  pollution  abated  to  address  this  hitherto 
uncontrolled source. 

The  proposal  foresees  progressively  more  rigorous  emission 
standards to be introduced in two stages; Stage 1 being from June 
1997 to December 1998 and Stage 2 being phased in between January 
2001 and December 2003. This relatively long phasing-in of the 
emission standards will allow the industry the necessary time to 
adjust to the new regulations. 

The approval procedures which are  foreseen  are based  on those 
which currently exist under EU legislation for "on-road" vehicles 
and  engines.  However,  the  proposed  administrative  approval 
procedures  have  been  reduced  by  the  introduction  of  a self-
certification  by  manufacturers  in  respect  of  the  production 
meeting the required deadlines, and by a type-approval scheme, 
that  allows  the  formation  of  engine  families.  Administrative 
control  is  limited  to  the  evaluation  of  the  manufacturers' 
reports,  spot checks of the conformity  of production,  and the 
numbering of the engines. 

Given the compliance of all engines concerned, for Stage II it 
is  estimated  that  emissions  from  non-road  vehicles  will  be 
reduced  by  up  to  67%  for  particulate  matters,  29%  for 
hydrocarbons and 42% for oxides of nitrogen. 

B. Requested Decision 

In accordance with the 5th Environmental Action Programme(M  in 
particular  the  control  of  emissions  of  nitrogen  dioxide, 
particulate  matters,  and  with  regard  to  the  prevention  of 
tropospheric  ozone  formation,  the  emissions  of  the  ozone 
precursors nitrogenoxides and hydrocarbons must be reduced.'The 
environmental  damage  caused  by  acidification  also  requires 
reductions  inter  alia  of  the  emission  of  nitrogenoxides  and 
hydrocarbons. The proposed Directive appears to be an appropriate 
means complying with these requirements. 

The Commission is requested: 

to approve the proposal of the Directive; 
to  present  the  proposal  to  the  Council,  the  European 
Parliament and the Economic and Social Committee. 

Council  Resolution  of  1 February  1993, OJC  138,  17.05.1993,  p.l 

E X P L A N A T O RY 

M E M O R A N D UM 

CONCERNING  THE  PROPOSAL 

FOR  A. PARLIAMENT  AND  COUNCIL  DIRECTIVE 

RELATED  TO 

THE MEASURES TO BE TAKEN AGAINST THE EMISSION 

OF GASEOUS AND PARTICULATE POLLUTANTS FROM 

INTERNAL COMBUSTION ENGINES TO BE INSTALLEb IN 

NON-ROAD MOBILE MACHINERY 

-Z-

1. 

Introduction 

TABLE OF CONTENTS 

2.  What are  the  objectives  of  the  action  envisaged  in 

connection  with  the  obligations  which the  Community  has? 

3. 

4. 

2.1  Reference to the Fifth Action Programme 
2.2  Scientific basis 
2.3  Environmental objectives to be achieved 

Does  the  action  envisaged  fall  within  the  exclusive 
competence  of  the  Community  or  is  it  a  competence shared 
with  Member States? 

3.1 

Choice  and  justification 

of  the  legal 

basis 

Is  a  uniform  regulation  necessary  or  would a  directive 
giving  general  objectives  be  sufficient 
the  execution  would be  done by  Member  States  and what 
modalities 

for  action  are  at  the  disposal  of  the  Community? 

in  the  case  that 

PAGE 

1 

1 
2 
4 

4 .1 
4.2 

J u s t i f i c a t i on  of  t he  i n s t r u m e nt  chosen 
J u s t i f i c a t i on  of  t he  s p e c i f i c a t i on 

5.  Costs,benefits 

and 

effectiveness 

5.1 

Advantages  and  c o s ts  of  t he  proposal 

6. 

Subsidiarity 

6.1  Need 

6.2 

Proportionality 

7 
7 

8 

9 

9 

7.  Results  of  consultations  with  affected  partners  . . .. 10 

8.  Description  of  the  legislative 

situation 

in  Member  States  n 

(and  OECD) 

9.  Explanation  of  the  provisions  of  the  proposal 
12 
9.1  The Scope of the Directive  (Article 1) 
13 
9.2  Definitions  (Article 2) 
13 
9.3  Application for type-approval  (Article 3) 
14 
9.4  The type-approval process  (Article 4) 
14 
9.5  Amendments to approvals  (Article 5) 
14 
9.6  Declaration of conformity  (Article 6) 
16 
9.7  Acceptance of equivalent approvals  (Article 7) 
16 
9.8  Registration and sale  (Article 8) 
16 
9.9  Application dates  (Article 9) 
18 
9.10  Economic instruments  (Article 10) 
18 
9.11  Exemptions and alternative procedures  (Article 11) 
20 
9.12  Conformity of production arrangements  (Article 12) 
9.13  Non-conformity with the approved type or family  (Article 13) . 20 
9.14  Notification of decisions and remedies available  (Article 14) .  20 
9.15  Adaptation of the Annexes  (Article 15 and 16) 
20 
9.16  Approval Authorities and Technical Services  (Article 17)  . .. 21 
"21 
9.17  Coming into force and Address  (Article 18, 19 and 20) 
21 
9.18  Annexes I - X 

EXPLANATORY  MEMORANDUM 

1. 

Introduction 

Road traffic has long been recognized as major  source of certain 
atmospheric pollutants e.g. nitrogen oxides  (NOx), sulphur dioxides 
(S02) ,  hydrocarbons  (HC) and particulate  matters  (PT). Recent 
investigations  carried  out  for  the  Commission  demonstrate  quite 
clearly that emissions from mobile machinery operating mostly off-
road are also significant. 

The Commission therefore considers it appropriate  as part of its 
overall  strategy  to reduce  emissions  of  certain  atmospheric 
pollutants,  to  introduce  cost  effective  measures  to reduce 
emissions from non-road mobile machinery. 

The  present  proposal  concerns  inter  alia  the establishment of 
emission  standards  and type-approval  procedures  for certain 
categories  of engines  for mobile  machinery  used  off-road but 
excluding  agricultural  and forestry  tractors.  For regulatory 
purposes  these  latter  types of vehicles  are  assimilated to road 
vehicles  and as such  fall  within  the scope  of existing EU 
legislation. 

While  specific  emission  standards for agricultural and  forestry 
tractors  have not yet been  established  it is the Commissions 
intention to put forward such a proposal in a parallel initiative 
to the present text. 

2.  What  are  the  objectives  of  the  action  envisaged  in  connection 

with  the  obligations  which the  Community  has? 

2.1  Reference to the Fifth Action Programme 

Sustainable development, the major theme of the Fifth Action Pro 
gramme, requires the definition and implementation of a policy for 
continued economic and social development without detriment to the 
environment  and natural  resources,  on which  the quality of 
continued human activity and further development depend. Industry 
and  transport are among the five  target  sectors  listed in the 
Community's Fifth Action Programme(M ; and one of the three pillars 
on which action should be based is Community-standards. 

The engines which will be subject to regulation are used mainly in 
machinery applications for industrial activities including specific 
transport processes. Within this framework, the proposed Directive 
aims at reducing emissions of carbon monoxide  (CO), nitrogen oxides 

OJ No C 138, 17.05.1993, p.l 

(NO,) , hydrocarbons (HC) , and diesel particulates (PT) from non-road 
mobile machinery. 

Hydrocarbons  and  nitrogen  oxides  belong  to  the  group  of  target 
substances  mentioned  under  the  'Themes  and  Targets  of  the  Pro 
gramme ',  sub-chapter  5.2,  due  to  their  contribution  to  the 
generation  of  photochemical  oxidants  and,  as  far  as  NÔx  is 
concerned,  to  acidification.  In  respect  of  emission  reduction 
carbon monoxide is currently not specifically targeted in the 5th 
Programme,  but  it  can  be  considered  as  an  indicator  for  the 
efficient use of energy in combustion processes. It is a classical 
air pollutant affecting human health and it also acts indirectly as 
greenhouse gas. Diesel particulates and their associated compounds 
like some polycyclic aromatic hydrocarbons  (PAH) are considered as 
mutagenic, and in some countries even as potentially carcinogenic, 
although  conclusive  evidence  is  still  lacking.  CO  and  PAH  are 
mentioned  in  the  recently  proposed  Directive  on  air  quality  as 
target  substances  COM(94)109{l)  for  which  ambient  air  quality 
objectives shall be proposed as soon as possible and not later than 
31.12.1999. 

2.2  Scientific basis 

Despite  recent  improvements  in  relation  to  certain  atmospheric 
pollutants such as sulphur dioxide, ambient air quality in Europe 
continues  to  give  rise  to  concern.  In many  cities  and  regions 
threshold values  for specific pollutants, continue  to be exceeded 
while in other localities the margin of security between measured 
and threshold values continues  to be eroded. Furthermore, recent 
scientific evidence  is tending to lead to a downward revision of 
threshold  values.  In  this  context  the  continued  abatement  of 
atmospheric pollutants is an urgent objective. 

Nitrogen oxides are harmful to human health. The guide value laid 
down in Directive 85/203(z)  on air quality standards  for nitrogen 
dioxide is breached  frequently,  the limit value  laid down in the 
same Directive is breached in some cases. WHO estimates that about 
Q% of  the  European  population  is  exposed  to  levels  above  its 
guideline value of 150 ug/m3 in 24 hours/day. All  these excesses 
occur in urban areas. Emissions of nitrogen oxides  contribute to 
the  acidification  of  the  environment.  Currently  critical  loads 
defined to protect ecosystems  are breached  in large areas of the 
European Union. 

Nitrogen oxides and hydrocarbons undergo chemical reactions in the 
atmosphere within relatively  short time intervals, which cause a 
number of indirect effects, in particular, due to the formation of 

OJ No C 216, 06.08.1994, p.4 

OJ No L 87, 27.03.1985, p.l 

photochemical oxidants and their main constituent, ozone  (03). Ozone 
in elevated air concentrations can impair human health and can damage 
forests, vegetation and crops, reducing the latter's yield. Ozone is 
also a potent greenhouse gas. Ozone formation occurs  in episodes at 
local, as well at regional level. In such episodes, precursors and 
photochemical oxidants transported over long distances are involved. 

In this respect, it should be recalled that the ozone t hresholds laid 
down in Annex I of the Council Directive 92/72/EEC(5) on air pollution 
by ozone are frequently exceeded within the European Community. The 
Directive entered into force in March  1994. Accordinqly during the 
Summer  of  1994  for only  the months  of  June  and  July,  from Member 
States,  approximately  3500 exceedances  of  the  "Information  to the 
Public Threshold  (180 ug/m3)" were registered. 

A summary of the human health and environmental  effects of NOx  (or 
nitrogen) , 03, and HC, is given in the table below: 

Critical Threshold 

Receptor 

Effect 

Critical 

Loads: 

acidity N 

nutrient N 

Critical 

Levels: 

[N02] 

forest soils, 
surface waters 

forest soils, 
surface waters 

acidification 

eutrophication 

crops, forests, 
materials 

direct effects 

[NO,],  [0.,] 

human health 

direct effects 

[0,] 

crops, forests, 

direct effects 

Critical 

Photochemical  Precursor 

Levels: 

[NOx],  [HC] 

crops, forests, 
human health 

Leads to excess of 
critical  [o3] levels 

Diesel  particulates  and  many  compounds  associated  with  their 
emissions  are  harmful  or  mutagenic.  Exposure  to  those  pollutants 
occurs mainly in certain urban areas. Some of the PAH .issociated with 
diesel  particulates  fall  under  the  group  of  persistent  organic 
compounds  which  are  target  substances  for  European-wide  emission 
reduction  measures  under  the  UN-ECE  Convention  on  Long-Range 

OJ No L 297, 13.10.1992, p.l 

Carbon monoxide  is directly harmful to human health. It combines 
with the haemoglobin in human blood thereby reducing the amount of 
oxygen available to the cells. 

Since  all  these pollutants  are  transported  across  international 
boundaries,  affecting  the  quality  of  the  environment  in 
neighbouring States, coordinated international action is necessary. 
To  reduce  the  transboundary  fluxes  is  a  long  term  goal  which 
requires,  inter  alia,  significant  reductions  of  the  emissions 
within the Union. 

2.3  Environmental objectives to be achieved 

The proposed Directive  forms a part of the implementation of the 
Fifth Action Programme. It also forms a part of a strategy for an 
overall  reduction of  emissions  of volatile  organic  compound and 
nitrogen oxides in the European Union. The political drive by the 
Commission in this area stems from the Community's accession to the 
UN-ECE protocol on NOx reduction and the proposed accession to the 
protocol on VOC reduction. In this light the Commission committed 
itself in March 1991 at the 1477th Environmental Council meeting, 
to continue examining the question of pollution from diesel engines 
in agriculture,  forestry and industry. An additional  impetus was 
given when the Commission in June 1993 was asked by a Memorandum of 
four  Member  States  (Denmark,  Germany,  The  Netherlands  and  The 
United  Kingdom)  to proceed  with  the  preparation  of  the present 
Directive. 

According  to CORINAIR-figures, the 1990 man-made  emission of CO, 
NOx,  and  non-methane  HCs  in  the  Union  are  estimated  to  be  as 
follows: 

NOx 
HC 
CO 

13,000 kilotons 
13,000 kilotons 
48,000 kilotons 

Union-wide figures for anthropogenic particulate emissions are not 
available. 

The contribution to these man-made emissions from the total sector 
'non-road vehicles and machinery', which covers both gasoline and 
compression  ignition  (C.I.)  internal  combustion  engines used  in 
agriculture,  forestry,  industry,  households,  or  on  trains  and 
non-seagoing ships, is as.follows: 

NOx 
HC 
CO 

15% 
9% 
10% 

For reasons explained in section 1 the proposed Directive does not 
cover agricultural or forestry tractors. Furthermore, the proposal 
is  directed  at  C.I.  engines* (e.g.  diesel)  for  non-road -mobile 
machinery  only.  This  is because  total  NOx  and  particulate  (PT) 
emissions  from  machinery  powered  by  diesel  engines  are 

machinery  powered  by  diesel  engines  are  significantly  higher  than 
those from machinery powered by gasoline engines  (in terms of total 
fuel  consumption  of  all  engines  the  ratio  diesel/gasoline  amounts 
approximately to 10 : 1) . Thus the potential for effectively reducing 
emissions is higher by regulating diesel engines. In respect of NOx 
and PT it should be mentioned that these are classic emissions from 
diesel engines. However, it is not to be excluded that at a future 
date the scope of the Directive may be extended to include gasoline 
engines in particular in respect of HC and CO emissions. With regard 
to this-aspect studies still have to be carried out relating to the 
possible emission performance of these engines. Therefore they are 
not subject to regulation in the present proposal. 

Taking  into  account  the  above  precision  regarding  the  scope, the 
present proposal covers non-road machinery engines the emissions from 
which account  for the following percentages of total anthropogenic 
emissions of the various pollutants: 

NOx 
HC 
CO 

7% 
1% 
0.5% 

While these amounts do. not seem to be so significant but it must be 
kept in mind that e.g. this 7% NOx represents a quantity which is as 
high as nearly 37% of all diesel engine emissions from road traffic 
sources  [1'990 EU Road Traffic Emissions of NOx from Diesel Engines: 
2300 kt; Total of all sectors covered by the proposed Directive: 855 
kt] (4). A ratio of similar  significance  (33%) can be stated for PT 
emissions [1990 Road Traffic: 300 kt; Total of all sectors covered by 
the  proposed  Directive:  100  kt](4).  Thus  the  effectiveness  of  the 
proposed  Directive  will  be  high  in  respect  of  the  latter  two 
pollutants. Mostly for reasons of consistency with already existing 
legislation on mobile sources a threshold has been imposed also for 
HC  and  CO  emissions.  With  regard  to  these  pollutants  the 
effectiveness will be modest as state of the art diesel engines show 
already  a  good  emission  performance  and  the  emitted  total  amount 
therefore is rather low. On the other hand these requirements will in 
individual  cases  prevent  the  possible  use  of  design  which 
unnecessarily exceeds the given framework of modern technology. 

As these non-road mobile machinery  engines until now have not been 
subject to any emission requirement the potential for cost effective 
improvement appears to be higher than that of road vehicle engines. 
The latter will be subject to a third stage of requirements after the 
year  1999.  The  technology  needed  for  this  step  will  be  more 
sophisticated and therefore more expensive than that to be used for 
the  adaptation  of  the  "non-road  engines"  to  their  "Stage  II" of 

"The  Estimation  of  the  Emissions  of  'Other  Mobile  Sources  and 
Machinery'  Subparts - 'Off-Road Vehicles and Machines',  'Railways', and 
'Inland Waterways' in the European Union. 
(Final  Report  September  1994,  prepared  for  the  European  Commission, 
Andrias/Samaras/Zierock). 

onwards. 

Given the compliance of all engines concerned the measures proposed 
are estimated to reduce emissions  from the sectors covered by this 
proposal by approximately: 

Stage  I 

Stage 

II 

corresponds to 

NOx 
HC 
PT 

23% 
11% 
27% 

42% 
29% 
67% 

= 
= 
= 

-197/360  [kt] 
-13/34  [kt] 
-26/65  [kt] 

as  compared  with  the  uncontrolled  case.  Excepting  specific 
situations, CO-emissions will not be reduced because they are already 
now at a very low level. Therefore, the limits set in the Directive 
mainly aim at officially standardising this level. 

3  Does  the  action  envisaged 

fall  within 

the  exclusive 

competence  of 

the  Community  or  is 

it  a  competence  shared  with  Member  States? 

3.1  Choice  and  justification 

of 

the  legal 

basis 

The legal basis of the proposed Directive is article 100A of the EEC 
Treaty for the following reasons: 

the introduction of technical  standards concerning  the emission 
performance  of  non-road  mobile  machinery  engines  will  have  a 
profund  effect  upon  the  functioning  of  the  market.  To  ensure 
harmonizedmarket conditions and to avoid the creation of technical 
barriers to trade it is essential that community provisions are 
based upon Article 100 A of the Treaty; 

the engines concerned are produced in large numbers and are sold 
to different, machine manufacturers in different  countries; thus 
the harmonization of the requirements for emission performance is 
the most appropriate means to achieve the targeted environmental 
goal;  this  is  particularly  true  as  the  necessary  measures  to 
ensure compliance are costly; as the engines concerned have been 
recently identified as a considerable source of air pollution, a 
lack  of  Community  legislation  would  provoke  individual 
legislation,  which  thus  would  cause  a  cost  multiplication  for 
production  in compliance with different  requirements within the 
internal market; 

to provide a fair perspective in respect of industrial competition 
also the time-scale for the application of the requirements will 
be provided to ensure consistency within„ the internal markets-
comparable current legislation on similar products is also based 
on Article 100a, such as the Directives relating to measures to be 
taken against the emission of gaseous and particulate 

6 

pollutants  from diesel  engines  for  use  in  vehicles  (88/77 and 
91/542) . 

Therefore the Community has exclusive competence for this area. 

4  Is a uniform  regulation  necessary  or would  a  directive  giving 
general objectives be sufficient in the case that the execution 
would be done by Member States and what modalities for action are 
at the disposal of the Community? 

4.1  Justification of the instrument chosen 

A  Directive  has  been  chosen  as  the  most  appropriate  method  of 
achieving  the  necessary  harmonisation.  It  will  enable  a  broad 
legislative  framework  to  be  established  at  Community  level  with 
flexibility  left to the Member States in the implementation of the 
measures, for example, to take account of local conditions. This is 
particularly true as the proposed Directive foresees flexibility for 
Member States in respect of measures for registration and control. 

4.2  Justification of the specification 

The proposal follows similar principles to those laid down in other 
Directives  that  deal with  emission  abatement  from mobile sources, 
namely  road  vehicles  and  engines  for  road  vehicles  (70/220/EEC, 
88/77/EEC).  This allows  the  inclusion  of  a reference  which avoids 
double  testing  and certification  of  engines which  are  appropriate 
also for non-road applications. 

For  the  case  where  there  is  only  a  general  ob-jective,  further 
orientation would have  to be  sought  from appropriate  national and 
international standards. This would cause the use of a wide-branched 
pattern of procedures and requirements including diverse options for 
the  applicants..  In  general  there  is  no  motivation  for  the 
manufacturers  of  such  engines  for  product  liability  reasons  to 
develop products which are as clean as possible. They must not fear 
environmental  accidents which occur during usage of their products 
which could cause considerable cost implications, as for example in 
the case of the proof of neglected security standards. Currently it 
is not possible to produce evidence of environmental damage caused by 
one  specific  engine  type  as  there  are  thousands  and  thousands  of 
other mobile sources. Thus for cost and competitiveness reasons only 
the weakest standard options would be taken for the certification of 
the compliance with the general objective. 

It  is  therefore  appropriate  that  a  clear  system  of  refusal  or 
acceptance  is established  for  the certification of  the engines  in 
respect  of  their  emission  performance  to  enable  a  high  level  of 
protection for man and the environment to be realised. 

5  Costs, benefits and effectiveness 

5.1  Advantages and costs of the proposal 

It  is  estimated  that e.g.  a  30%  reduction  of ozone precursors 
(NOx,  HC)  would  result  -  in  and  around  industrial  and  populated 
regions  over  areas  of  100 x  100  km up  to  1000 x  1000  km  -  in a 
reduction of about 15% of ozone peak concentrations (b), which would 
have beneficial consequences on human health and the environment. The 
reduction  of  NOx  emissions  will  reduce  the  stress  put  on  the 
environment  due  to  acidification.  Moreover,  the  reduction  of 
emissions  of  noxious  substances,  like  N02,  CO  and  diesel 
particulates(PT),  will  contribute  to  the  improvement  of  public 
health. 

The total  annual  costs  for technically  up-grading  the engines  are 
estimated to be in the range of 31 million ECU for Stage I and 125 
million ECU for Stage II. This would result in an increase in selling 
prices of about 1% to 3% for Stage I and 3% to 8% for Stage II (4) . 
Finally,  the  average  quotient  of  estimated  costs  for  technical 
improvement of the engines to comply with the proposed requirements, 
and of the estimated amount of the sum of pollutants abated  (NOx,PT 
and HC), has been calculated to be around 1400 ECU/t for stage I, and 
2600 ECU/t for stage II. These figures are within the ranges already 
known  from other  emission reduction measures, taken  for mobile  and 
stationary sources (4) • 

In  respect  of  necessary  investments  in  the  production-line  it  is 
estimated that these are marginal for the following reasons: 

Stage  I would  come  into  force between  07/1997  and  01/1999, and 
compliance would only necessitate the non-usage of obsolete engine 
technology,  i.e. some engine types would have to be replaced by 
new models. These changes could in any case have been pending due 
to  competition  forces. Stage  II would  come  into  force  between 
01/2001  and  01/2004,  thus  allowing  industry  time  to  plan  the 
coinciding of application dates for new emission performance with 
pending  engine model  changes. Thus  additional  costs only would 
arise  if in single cases  the  investment had  to be made earlier 
than foreseen by the original depreciation calculation. And even 
then the investment does not appear to be excessive. Most of the 
technical changes can be made by adaptation of existing tools and 
the  integration  of  more  sophisticated  components  (e.g. 
turbochargers,  injection  pumps,  injection  nozzles)  which  are 
available on the market. 

In addition to these costs, those necessary for additional research 
and development work and for related  facilities must also be taken 
into account. 
All in all, these additional costs will differ from manufacturer to 

Evaluation of the POCP-concept on a European scale  (POCP= Photochemical 
Ozone Creation  Potential). TNO-report April 1993. 

8 

manufacturer depending on the infrastructure which he already has 
available. 

For example if a manufacturer is used to produce engines for "on-
road" purposes, then emission measurement  hardware, know-how and 
operational  facilities  for  the  preparation, of  certification 
applications,  are  already  there. Another  manufacturer,  not  yet 
experienced with emission type-approval may be required to invest 
some  capital  in  measuring  facilities  and  in  some  additional 
personnel costs. 

Given that it is not possible to distinguish these costs between 
the different manufacturers concerned and clearly attribute them to 
the proposed  Directive,  and  that  additional  employment  also has 
beneficial aspects, these additional costs were not included in the 
evaluation. 

6 

Subsidiarity 

6.1  Need 

Since  the  engines  coming within  the  scope of  the  regulation are 
products  for  which  free  trade  within  the  Union  needs  to  be 
guaranteed, Union-wide action needs to be taken in order to avoid 
any distortions of the market. Therefore, the proposed Directive is 
fully in line with the principle of subsidiarity. 

6.2  Proportionality 

The principle of proportionality has been taken into account as the 
reduction of  emissions  achieved will be  significant, and as the 
potential  price  increase  due  to  additional  emission  performance 
required will be very  small; given  that  the additional  costs in 
respect of the improved engine design are in general in the range 
of a few per cent(4) of the price of an engine. As the production 
costs  for engines in general increase according to the increase in 
power  output,  the  proposed  progressive  strengthening  of  the 
emission limit values related to the power output of engines also 
result in a relatively similar increase in costs per engine. 

Taking into account that the costs for the engines in general are 
only a small  fraction of the total costs of the  final machinery, 
the  impact  of  the  additional  investment  on  the  prices  of  the 
completed machines  is estimated  to be marginal. Therefore, it is 
expected that the proposal as such will not have any negative, but 
will  rather  have  additional  positive  repercussions  on  the 
generation of new businesses in the sectors concerned. 

Although it is already obvious by the small percentage calculated 
for the price  increase of the engines  concerned  given  the total 
cost figures above, the significance of the market sector should be 
mentioned separately.  The total amount of the retail prices of the 
engines currently estimated to operate within the EU which will be 
covered  by  the  proposed  Directive  can  be calculated  to be 

9 

1,84 x 1010 ECU. Given the average engine lifetime of 9.3  years per 
engine the yearly value of the market amounts to: 

1978 MECU  (1,978,000,000 ECU) 

The certification charges to^ be paid for the local administration may 
be different between the Member States. In any case this payment will 
raise the funds necessary for additional manpower. In comparison with 
total costs this is only a marginal contribution. 

7  Results  of  consultations 

with  affected 

partners 

In  1993  consultation  began  in  the  form  of  expert  meetings  with 
Member  States  Representatives  and  Industry  Associations,  using  a 
discussion paper  (draft proposal) presented  from the Commission and 
.distributed  to  all  parties  concerned.  In  total,  three  formal 
meetings were convened by the Commission. In addition, many informal 
meetings with industrial associations have been arranged in order to 
exchange views on the proposal. 

The proposal has evolved during the course of these discussions. The 
major changes that have been made include: greater clarification of 
the  scope  of  the  Directive  and  extension  of  the  application  to 
smaller engines, including  the addition of a number of- exemptions, 
introduction  of  a  sales  time  limit  as  an  additional  control 
parameter, more detailed definition of the emission limit values for 
individual power classes, details concerning the definition of test 
procedures and the marking of the engines. 

In general a favourable response by the Experts of the Member States 
to the draft proposal as developed by thé Commission has been noted. 

The Industry Representatives  from EUROMOT, CEMA and CECE expressed 
concerns mainly with regard to: 

- the burden of the foreseen administrative procedures, 
- too stringent limit values, 
- too strict time scale. 

According  to  the discussions  far  reaching  changes  of  the original 
draft have been integrated in respect of the marking requirements for 
the certified  engines  and  exemptions  for  the use  of  end-of-series 
engines after enforcement of the standards. 

As  far as possible the positions of the Industry Associations have 
also  been  taken  into  account  with  regard  to  the  administrative 
procedures laid down, the proposed limit values of stage II and the 
timetable  for  the  implementation.  With  regard  to  the  emission 
standards  which  are  proposed,  certain  assumptions  have  been  made 
concerning the technical performance of diesel engines. While certain 
of  these  assumptions  have  been  challenged  by  some  industry 
representatives  as  being  overly  optimistic,  the  industry 
organizations  were  unwilling  for  reasons  of  confidentiality  to 

10 

satisfactorily  substantiate  their  position  through  the  use  of 
technical data. 

Additional data inputted by the Swedish Environmental  Protection 
Agency, from industry sales literature, and general literature, in 
addition  the  available  data  from  officially  certified  on-road 
engines,  have  been  taken  into  account  for  the preparation  of a 
sound evaluation document(6). The conclusion shows that: 

the proposed requirements which reflect a balance based on the 
comments received by the government  representatives, are more 
lenient than the emission limits which have to be met by on-road 
diesel engines from 1996 onwards; 

the technology necessary  for compliance  is available and does 
not need to be invented. 

Also  the time  frame  foreseen up to the year 2003/2005  for total 
application should leave sufficient margin for the preparation. 

These conditions,will compensate for the disadvantages which non-
road mobile machinery engines are subject to in their applications. 

With regard to the criticized administrative burden, it should be 
noted  that almost all of the procedures  foreseen  are  in harmony 
with the pattern in force for the type approval of on-road engines 
defined  in Directive  88/77/EEC(7) , as  last  amended  by  Directive 
91/542/EEC(8) ,  in conjunction with Directive 70/156/EEC (9) , as last 
amended by Directive 93/81/EEC (l0) . The industry affected by these 
Directives in force meets the administrative requirements without 
any difficulties. Thus the concerns expressed may have their source 
mostly  with  those  companies  whose  products  have  not  yet  been 
subject to any type approval. 

8  Description 

(and OECD) 

of 

the 

legislative 

situation 

in  Member 

States 

For the non-road mobile machinery engines covered by the proposed 
Directive, there are currently no emission limitations in force in 
any Member  State. In  Italy, the requirements  on smoke  emissions 
for agricultural  tractors are also applied  to completed non-road 
mobile machinery. Thus the engine manufacturers  are in this case 
only indirectly affected. 

Emission  Limits  of  Non-Road  Mobile  Machinery  Engines,  G.Cornetti 
31/08/1994 

OJ No L 36, 09.02.1988, p.33 -

OJ No L 295, 25.10.1991, p.l 

OJ No L 42, 23.02.1970,p.l. 

OJ No L 264, 23.10.1993, p.49 

11 

In June 1994, the United States of America published a new rule(u) 
which, to a large extent, covers the same sector of application as 
this proposed Directive.: The title of the US rule is: 

"Determination of Significance for Nonroad Sources and Emission 
Standards  for New Nonroad  Compression-Ignition  Engines  at or 
above 37 kW". 

As a result of cooperation between the Commission services and the 
US Environmental Protection Agency  (EPA) during the preparation of 
both  the  new  US  Rule  and  the  proposed  Directive,  the  emission 
standards  foreseen  in* the US and in the present proposal are now 
largely  compatible. This became possible  after  an  agreement was 
made in several areas, including the formula for the definition of 
the engine power output. 

Thus,  with  regard  to  the  requirements  of  Stage  I,  an extensive 
alignment of the requirements in terms of measuring procedures and 
limit  values  has  been  realized.  Both  the  European  and  the  US 
industry  have  confirmed  that  this  compatibility  of  emission 
legislation  on mobile  sources  covering  this worldwide market  is 
very important. With regard to a Stage  II, in contrast with this 
proposal, the US are now not ready to correspondingly introduce a 
next phase into their rule. However, the US has begun the Stage II 
development  program  and  have  an  air  quality  need  for  a  rapid 
implementation.  The  Commission  will  continue  to  strive  for  co 
ordination with the US with regard to future amendments of both EC 
and US legislation. 

In  parallel,  this  Proposal  is  in  line  with  ah  UN/ECE  Draft 
Regulation  on  emissions  from  agricultural  tractors,  which  was 
recently  proposed for adoption under the framework of the UN/ECE 
"1958 Agreement". This regulatory document covers some of the same 
kind of engines  as this Directive  Proposal, and is based on the 
same  test  procedure  and has  the  same  limit  values but  does not 
provide as yet for a Stage II requirement. 

9  Explanation 

of 

the  provisions 

of 

the 

proposal 

9.1  The Scope of the Directive  (Article 1) 

The  scope . of  the  proposal  has  been  designed  to  fill  a  gap  in 
emission legislation. As declared in paragraph 1.3, a considerable 
amount  of  NOx-  and  particulate  emissions  is  produced  by  those 
sources which have as yet not been regulated. The proposed measures 
will  not  eliminate  the negative  environmental  impacts, but will 
provide for a distinct improvement. 

The proposal does apply to those sources which have been determined 
to  be  the  most  important  polluters  in  respect  of  the  noxious 
substances  mentioned  above,  by  a  study(M  prepared  for  the 

US EPA,  40 CFR Parts 9 and 89 

12 

Commission. 

The  structure  of  the  proposal  has  been  designed  for  an  easy 
extension  of  the  scope  with  regard  to  sources  which  have  been 
determined to be significant contributors of other pollutants. As, 
in  advance  of  such  an  extension  additional . measurements  and 
investigations have to be carried out, this cannot be included now 
but must be integrated by a future amendment. Correspondingly this 
intention  has  been  indicated  in  the  last  recital  of  the 
introductory considerations. 

9.2  Definitions  (Article 2) 

The  definitions  of  the  various  terms  are  aligned  as  closely  as 
possible 
EC 
legislation (6) (7) (8) (9)  concerning type approval of road vehicles, 
components or separate technical units. 

definitions 

current 

used 

the 

for 

to 

9.3  Application for type-approval  (Article 3 

This Article unifies the form of the application to be sent to the 
type-approval authority of the Member State chosen by the applicant 
for the final certification. As there  is a need  in certain cases 
for the type-approval authorities of the different Member States to 
inform  each  other  even  about  technical  details  of  the 
certifications, this exchange of information is most effective if 
the same scheme and structure of the documents is maintained by all 
parties concerned. 

For specific technical reasons the selection scheme, laid down in 
Annex I of the proposal, for the determination of the parent engine 
which  can  be  tested  as  being  representative  for  several  other 
similar engine  types, could,  in special cases, be insufficiently 
comprehensive. These technical reasons could be interactions of the 
parameters  used  for  the  determination,' or  influences  of  other 
variable features not yet known. In respect of the aforementioned 
the  applicant  has  certain  possibilities  to  influence  the 
determination  of  the  parent  engine  to  be  tested.  To  insure  a 
serious  determination  of  worst  cases,  this  Article  provides 
convenient control instruments to the authorities. This control can 
be done either by carrying out tests of alternative parent engines, 
or of an  additional  engine  of  the  family,  on  the basis  of spot 
checks. It is important to retain these decisions at the level of 
the  type-approval  authorities  and  not  to' delegate  them  to  the 
technical services. They would be forced by competition to decide 
mostly in the interest of the applying manufacturers. 

In order to avoid a possible abuse of the system by some applicants 
playing on different interpretations by type-approval authorities 
of different Member States, and as a result causing distortions to 
the  whole  approval  system:  It  is  necessary  to  restrict  the 
application  per  certification  to  only  one  unique  type-approval 
authority. 

13 

9.4  The type-approval process  (Article 4) 

Most of the described organization  scheme coincides in a general 
sense with that used for current EC legislation as mentioned above. 
Additionally  the  informing  of  the  Commission  with  type-approval 
data  at  regular  intervals  has  been  insured  by  integrating  a 
type-approval 
corresponding  commitment  for  the  national 
authorities. This will guide evaluations of the state of the art of 
technology, and future measures for improving the environment. 

The reference to the Annexes which are given as a model outlining 
the  necessary  data  and  documents  to  be  compiled,  will  ensure 
equitable  requirements  independent  from  the  place  where  the 
application  is  made,  and  will  facilitate  the  exchange  of 
information  between  the different  type-approval  authorities, in 
addition  ensuring  that  all  information  will  be  gathered  and 
documented for the indubitable determination of: 

the engine manufacturer(s); 
the type(s) of the engines covered by the certificate; 
use restrictions; 
the technical service(s) involved; 
and the emission performance. 

Additionally  the  national  type-approval  authorities  have  been 
committed to cooperate in respect of information exchange which may 
be necessary for administrative and control reasons. 

9.5  Amendments to approvals  (Article 5) 

Hereby  the  Member  States  are  committed  to  provide  a  proper 
maintenance of the certifications  in respect of possible changes 
which  could  appear  to  become  necessary.  In  order  to  provide 
consistency  in  the  documentation  it  is  indispensable  that 
applications for amendments or extensions to a type-approval must 
in all cases be  addressed  to the authority  qf  that Member State 
which granted the original approval. 

9.6  Declaration of conformity  (Article 6) 

The marking of the engine according to the described requirements 
clarifies the manufacturer's confirmation for compliance with the 
corresponding type-approval certificate. If the engines are subject 
to particular  restrictions  in their  use, the  single  information 
document, e.g. provided  for one single manufacturer  of machinery 
for a series of engines  to be delivered, must  list  the relevant 
engine identification numbers. This must be so in order to avoid 
information failures due to possible amendments of type-approvals 
which could be applicable  for different engines of the same type 
but with different production dates. 

The provisions of the proposed Directive surrender the compliance 
control  of  the  engines  at  the  relevant  production  dates  to the 

14 

manufacturers. The responsible type-approval authority is committed 
to  monitor  the  proper  implementation  but  only  indirect  control 
measures  are  available. An  official  registration  of  single  units 
after sale or at entry into use, has not been foreseen. Thus it seems 
to  be  necessary  that  the  manufacturers  provide  the  authorities 
regularly  with  detailed 
information  regarding  types  and 
identification numbers  of  engines  produced  in compliance  with the 
type-approval  certificate (s)  granted.  This  is  of  particular 
importance if the manufacturer would later claim for exemptions for 
end-of-series engines according to Article 11. This would allow the 
sale  of  engine  types  after  the  sales  time  limit.  In  this  case 
evidence must be available, e.g. that the numbers of engines notified 
for the exemption procedure have been produced before the relevant 
application date 2 years earlier, or that the numbers of the exempted 
engines must-not exceed a certain percentage of the numbers of the 
same engine type sold or used during the entire previous year. The 
verification and control of these conditions would be very difficult 
if  the  responsible 'authority  was  not  regularly  provided  with  the 
statistical data in accordance with this Article. 

Also  these  data  seem  to  be  indispensable  for  indirect  control 
measures with regard to compliance of the non-exempted products from 
application dates onwards where  requirements may have changed. For 
example verification of that engines which are in compliance with an 
obsolete stage of legislation and which are found by the authority 
during a "Conformity of Production Assessment" according to Article 
12  in  context  with  Article  8(3), had  been  produced  before  the 
relevant application date. On the other hand a control should also be 
possible on such occasions if engines reported as produced before the 
relevant  application  date  really  have  been  produced.  Where  the 
authority concerned will prepare and carry out these controls by use 
of the data regularly received  according to the provisions of this 
Article,  the  applicants'  possibilities  for  concealing  possible 
infringements  would  be much  less  than  in  the  case  of  information 
received only on particular request close to, or even not until, the 
date of the assessment. 

In  the  current  era  of  modern  electronic  data  processing  it  is 
understood that gathering, maintaining and regular reporting of the 
relevant data should not be an administrative and bureaucratic burden 
on the Industry. 

However,  the  responsible  authority  may  of  its  own  discretion  use 
other measures  such as only occasional disclosure of Industry data 
bases at "Conformity of Production Assessments", provided that they 
thus  can  ensure  the  same  level  of  effective  control.  This  would 
spare  Industry  from  regular  reporting  but  would  require  the 
obligatory maintenance  and availability of the industry data bases 
for the expected lifetime of the engines, i.e. 30 years. Additional 
provisions should be included in such an alternative control scheme 
which would ensure availability  of information also  in cases where 
single manufacturers cease to do business, perhaps even situated in 
third countries. 

15 

The  provisions  laid  down  in  paragraph  four  of  the  Article  shall 
facilitate  for  the authority  the preparation  and  the execution of 
"Conformity of Production Assessments". The required declaration of 
intent does not obligate the manufacturers to observe it later in all 
details, but the degree of compliance, verified during assessments by 
the authority, could influence the planning of the sequence of future 
assessments. 

9.7  Acceptance of equivalent approvals  (Article' 7) 

Current  investigations  which  have  been  carried  out  in respect  of 
evaluation of the level of emission performance  required for type-
approval  of  non-road  engines,  in  comparison  with  on-road  diesel 
engine performance, have shown that these levels in some cases are of 
similar severity, but in most other cases for on-road type-approval 
even more stringent limits must be met. Thus without causing negative 
environmental  impacts, but  maybe  in  special  cases  providing  some 
simplification for Industry, it is proposed to accept type-approvals 
according to 88/77/EEC as last amended, as being equivalent to this 
proposed  Directive.  Related  to  the  former  Directive,  the  Council 
already  has  confirmed  the  equivalence  of  the  corresponding  UN/ECE 
Regulation  listed  in Annex  1.  Therefore  also  this  Regulation  is 
proposed to be accepted as equivalent. 

9.8  Registration and sale  (Article 8) 

Hereby it is ensured that engines which are covered by the scope of 
the  proposed  Directive  and  which  are  correspondingly  approved  in 
respect of their emission performance must be permitted  to be sold 
and used  in the Member  States. Additionally  it  is stipulated  that 
these  engines  must  not be  subject  to  any  other  national  emission 
requirement. 

The Member  States - are committed  to maintain  the necessary  control 
measures;  and  the manufacturers  to provide  all  information  needed 
also with regard  to purchasers  of the  engines. Where  engines were 
delivered to middlemen belonging  to ;the distribution  system of the 
manufacturer  also the middlemen are committed  to report on demand. 
This shall enable the authority to verify on a spot check basis the 
control of engines notified as really having been produced. 

If  manufacturer  as  holder  of  a  type-approval  certificate  do  not 
comply with their obligations, the authority is entitled to withdraw 
the  corresponding  approval. This  may  increase  the  motivation  for 
utmost compliance with the requirements. 

9.9  Application dates  (Article 9) 

This Article  sets  four  different  kinds  of  application  dates. The 
first  regulates  the obligation  for Member  States  to recognize  and 
accept applications, and to grant EC type-approvals. 

16 

The second sets a threshold from which onwards prospective national 
emission  type  approval  must  be  replaced.  Non-compliance  with 
additional national requirements in respect of emission performance 
are no longer permissible to be used as justification for the refusal 
of a national  type approval of a completed machine. More stringent 
requirements  which  have  to be met  for  the  granting  of particular 
national or EC certificates, e.g.  for the use of engines in closed 
rooms or mines explicitly, shall not be affected by the provisions of 
this Directive proposal. 

The  third  introduces  a  second  more  stringent  step  (Stage  II)  in 
respect  of  the  performance  level  at  type  approval.  The  other 
conditions remain unchanged. 

The  fourth  corresponds  to  a  limitation  of  sales  and  use  of  new 
engines in non-compliance with the requirements that applied earlier 
for  the  type  approval.  The  date  of  limitation  is  related  to  the 
production  date  of  the  engine,  e.g.  engines  produced  in the past 
before the built date limit, benefit from a two years later deadline. 

Although this Directive proposal in general is addressed to engines 
only, within this Article reference has .been made also to the mobile 
machinery within which these engines are foreseen to be used. By this 
means  the  engine  manufacturers  in  some  Member  States  would  be 
protected  from  being  indirectly  concerned  by  additional  emission 
(smoke) requirements which are addressed to the completed machinery. 
Current requirements on smoke performance which apply to agricultural 
tractors  and  on-road  vehicles  are  obsolete.  Given  its  obligatory 
application  to  non-road  engines,  this  would  only  increase  the 
administrative burden on Industry, but would not be beneficial for 
the  environment.  By  means  of  this  Directive  proposal  ambitious 
particulate  emission values will be placed  which will provide  for 
sufficient smoke performance. 

Once corresponding reviews of the current smoke legislation have been 
completed,  it may be worthwhile to integrate  this scheme also into 
non-road mobile machinery legislation. This then could be useful in 
context with a future provision for in-use performance control. 

The different  application  dates  addressed  to  the obligatory  type-
approval of Stage I and II and to the sale/use of new engines have 
been  staggered  in relation  to different  ranges of power output of 
these engines  (powerbands). For Stage I three powerbands are covered. 
With  Stage  II  an  additional  powerband  has  been  integrated.  The 
complication resulting in the need to introduce staggering is caused 
by the state of the art of technology. For bigger engines with high 
power  output  sophisticated  technical  solutions,  which  have  been 
developed  for the already regulated on-road  engines, can be easily 
adapted.  Therefore  the  implementation  of  emission  requirements  is 
possible  at  an  earlier  stage  for bigger  engines  than  for  engines 
within  a lower power band.  For those  of  the up-to-now  unregulated 
engines more lead time is necessary for the adaptation. 

17 

This approach is fully in alignment with the provisions laid down in 
the parallel legislation  (USA)/Draft legislation  (UN/ECE), which was 
previously mentioned at point 8 and therefore contributes to the up-
to-now unique worldwide harmonization. 

9.10 Economic instruments  (Article 10) 

In order  to encourage the  early  introduction  of  advanced  emission 
technology,  it  is  proposed  that  Member  States  be  allowed  to  use 
economic  instruments  such  as  granting  tax  incentives. However,  a 
balance has to be achieved between, on the one hand, the desire to 
introduce the new, less polluting technologies as soon as possible, 
and, on the other, the necessity to avoid the fragmentation of the 
market due to the  introduction  of a diversity  of different  fiscal 
incentives. In order to achieve this equilibrium  fiscal incentives 
could only be considered as condition that they are: 

non-discriminatory; .. 

limited in time; 

-  of  a  value  less  than  the  additional  cost  of  the  advanced 

technology; and 

applied  to  engines  able  to  satisfy  future  European  standards, 
agreed by  the  Council  and  the  Parliament,  ahead  of  time  (i.e. 
before the standards become mandatory). 

Finally, it should be noted that Member States are required to inform 
the Commission of any plans to introduce tax incentives in sufficient 
time to enable the Commission to submit comments. 

9.11 Exemptions and alternative procedures  (Article 11) 

The exemption for engines used only by the armed forces has been made 
in alignment with other Community Legislation dealing with on-road 
engines  and vehicles. It  is understandable  that  for such  specific 
cases the particular performance required from an engine can not be 
subordinated  to  environmental  targets.  Fortunately  these  engines 
currently  do  not  operate  very  frequently  and  therefore  their 
contribution  to  the  total  amount  of  emissions  is  estimated  to be. 
negligible (4) . 

The normal rule of business is that excess stocking of engines should 
be  avoided,  as  it  represents  dead  capital.  However,  given 
extraordinary  technical  or  economic  reasons,  it  may  happen  that 
production  for  stocking  is  used  to  bridge  gaps  before  critical 
decisions  e.g.  redundancies, cessation  of business,  are  taken. If 
then at the same time the requirements on emission performance of the 
engine change due to the passing of a deadline, this may justify the 
granting of exemptions from the obligations normally foreseen. 

18 

To  avoid  abuse  of  this  possibility  for  derogation  which  could 
otherwise cause distortion of competition, the granting of, and the 
application  for,  exemptions  require  some  conditional  criteria  and 
must be proceeded according to certain control parameters as follows: 

Conditional Criteria 

Control Parameter  Justification of 
control measures 

Emergency situation 

Engines concerned 
were produced 
before the time 
limit 

Application before  Possibility for the 
entry into force of Authority to verify 
the time limit 

the reasons for, and 
the existence of, the 
engines in stock 
within the EC 

List as defined in  Possibility for the 
Article 6(3) of 
Authority to verify 
those engines still the engines as being 
in stock; 
produced according to 
Application only to the time limit; 
original type- 
approval Authority  complicated control 

Avoidance of 

conditions due to 
necessary exchange of 
data 

Engines concerned 
must have been 
already stored 
within the EC 

Restriction to 10% 
of the same type 
of engine sold one 
year previously 

Application as 
above 

Evidence  for  planning 
of sales within EC 

List as defined in  Coherence with 
Article 6(3) in 
context with the 
declaration of the 
previous year 

existing EC-
legislation H  , (10) 
related to "on-road" 
vehicles/engines 

Informing of the 
Authorities of the 
other Member States 
and of the Commission 

Notification 

Issuing of special 
certificate of 
conformity 

n.a 

Avoidance of 
distortion of the 
internal market by 
means of transparency 

Evidence of granted 
exemptions necessary 
in the case of 
conformity controls 

The scheme introduced for certification and sale normally allows the 
selling  of' engines  produced  according  to  a  certain  stage  of 
requirements valid at the date of production. Once the deadline for 
the next stage has been reached, the production of engine types and 
families from this time on must be carried out according to the new 

19 

requirements,  but  the  sale  of  the  "old  stage  engines"  is  still 
permitted during two additional years. This is the point at which the 
type-approval  loses 'its  validity.  Thus  it  is  considered  to  be 
sufficient that the exemption procedure as described above provides 
a  sales  limit which  is prolonged  for one  further  year. In summary 
this means that the stock should have been sold three years at the 
latest after cessation of production. 

9.12 Conformity of production arrangements  (Article 12) 

Hereby the general prerequisite has been defined that type-approval 
certifications  can  only  be  granted  to  manufacturers  .that  have 
provided • sufficient  arrangements  for  ensuring  "Conformity  of 
Production"  (COP)  of  their  products,  once  these  engines  were 
confirmed  to  be  in  compliance  with  the  requirements  by  a  type-
approval  procedure.  Additionally  a  commitment  is  made  that  the 
responsible  Member  State  .in  respect  of  the  type-approval  must 
continuously survey the arrangements in order that the COP procedures 
remain efficient. 

9.13 Non-conformity with the approved type or family  (Article 13) 

This Article defines the failures to conform to the approved type, 
and the kinds of corrective actions to be taken in such cases by the 
responsible Member State. For transparency reasons also the approval 
Authorities of the other Member States shall be informed. In the case 
of obvious non-compliance  of certain engines also non- responsible 
Member States may ask the responsible S/tate for verification. 

Also a co-operation procedure has been laid down which shall allow 
the settling of possible differences of opinion between Member States 
in respect of conformity of certified engines. ' 

* 

These  procedures  will  on  the  one  hand  provide  sufficient  control 
possibilities  for  Member  States  even  in  the  case  that  the 
certification has been  released  by an Authority  of  another Member 
State, and on the other hand the Member States will be encouraged to 
provide good laboratory practice for the tests which will be carried 
out on their own behalf. Thus mutual recognition of certifications 
will be ensured. 

9.14 Notification of decisions and remedies available  (Article 14) 

Hereby,  in accordance  with parallel  legislation,  the procedure  is 
described as to how in the case of negative decisions taken on the 
basis  of this proposed  Directive, must be notified  to the parties 
concerned. 

020 

9.15 Adaptation des annexes/Procédures du comité (article 15/16) 

Conformément avec les procédures standards, il est prévu que la 
Commission,  assistée  par  le Comité  institué  par  la  Directive 
96/.../CE1, soit habilitée à adopter les annexes de la présente 
directive  au  progrès  technique.  Ces  déterminations  sont 
compatibles avec celles prévues par la législation existante, par 
exemple les directives concernant  la réception des véhicules à 
moteur. En outre, il est prévu que les valeurs limites d'émission 
ne peuvent  être pas modifiées  par  ce  comité mais  qu'elles  ne 
peuvent l'être que par une directive du Parlement et du-Conseil. 

In accordance with standard procedures it is foreseen that the 
Commission assisted by the Committee established under Directive 
96/.../EC2 will be empowered to adapt the Annexes of the present 
Directive to technical progress. These provisions are compatible 
with those foreseen by existing legislation, e.g. the Directives 
concerning  type^approval  of  motor  vehicles. Additionally  the 
restriction  has  been  laid  down  that  changes  of  the  required 
emission  limit-values  are exempted  from  the responsibility  of 
this Committee, and thus can only be amended by a Parliament and 
Council Directive. 

A.  Approval Authorities and Technical Services  (Article 17) 

In order  to provide  tests according  to the provisions  of this 
proposed Directive which are carried out in compliance with the 
rules of good laboratory practice, reference is made to the rules 
laid down in the corresponding EC Directives dealing with type-
approval  and  emissions  from  "on-road"  engines (''), (8) / (9) , (10) . 
Thus,  if  the  type^approval  Authority  delegates  tasks  to  be 
carried out on its behalf to Technical Services, these Services 
must have been notified to the Commission and they must satisfy 
the harmonized standards on the operation of testing laboratories 
(EN 45000). 

B.  Coming into force and Address  (Articles 18, 19 and 20) 

These Articles contain standard provisions. 

Proposition  soumise  par  la  Commission  concernant 
l'évaluation  et  la  gestion  de  la  qualité  de  l'air 
ambiant  - COM  (94)  109  final,  94/0106  (SYN) , JO  C 
216, 06.08.1994, p.4 

Proposal submitted by the Commission on ambient air quality assess 
ment and management-COM  (94) 109 final, 94/0106(SYN), OJ No C 216, 
06.08.1994, p.4 

U 

In  accordance  with  standard  procedures  it  is  foreseen  that  the 
Commission  assisted  by the Committee  established  under  Directive 
96/.../EC2 will  be  empowered  to adapt the Annexes  of the present 
Directive  to technical progress. These provisions  are  compatible 
with those  foreseen by existing legislation, e.g.  the  Directives 
concerning  type-approval  of  motor  vehicles.  Additionally  the 
restriction  has  been  laid  down  that  changes  of  the  required 
emission  limit-values  are  exempted  from  the  responsibility  of 
this Committee,  and thus can only be amended by a Parliament  and 
Council  Directive. 

A. 

Approval  Authorities  and Technical  Services  'Article 17) 

In  order  to  provide  tests  according  to  the  provisions  of  this 
proposed  Directive  which  are  carried  out  in compliance  with  the 
rules of good  laboratory practice, reference is mace to the rules 
laid  down  in  the  corresponding  EC  Directives  dealing  with type-
,  i* ) ,  i*) ,  {:o ) . 
approval  and  emissions  from  "on-rcac"  engines 
Thus,  if  the  type-approval  Authority  delegates  tasks  to  be 
carried  out  on  its behalf  to Technical  Services/  these  Services 
must  have  been  notified  to the Commission  and "they must"satisfy 
the harmonized  standards on the operation of testing  laboratories 
;ZN 430CG) . 

3. 

Coming  into  force and Address  ; Articles  IS,  19 and 20' 

These Articles  contain  standard provisions. 

C. 

Annexes  Z - X 

Annex  I: 

Gives  a  specification  of  the  scope  in  detail, 
explains  definitions  and  abbreviations,  defines 
requirements 
emission 
performance  (limit-)  values,  parameters  for  the 
demarcation  of  the  parent  engine  of  a  family,  and 
outlines  in  detail 
specifications  for  COP 
assessments. 

marking, 

engine 

on 

Annex  II: 

Outlines  a  form  according  to  which  the  applicant 
should  complete  related  to  the  engine ;s)  to  be 
certi fied. 

Annex  III: 

Describes  the  test  procedure  which  is  to  be  used. 
It  derives  in  its  crucial  provisions  from  the 
recently  finalized draft  ISO 817S  Standard. 

?.nnex  IV: 

Specifies  the  technical  characteristics  of  the 
reference  fuel  to  be  used  for  approval  tests,  and 
to verifv COP. 

Prcpcaal  submitted  by  the  Conniaaicn  cr. arr.bier." -âir quality  5.33Z33-
mer.t  and  management-COM  (94)  109  final,  94/0106 ; î'H'i'y,  OJ  Me  C  216, 
06. OS. 1994, .p.4 

2-2. 

•.nnsx  V: 

Specifies  analytical  and sampling systems. 

•.nnsx. VI: 

Outlines  a  form  according  .to  that  an 
Approval  Certificate  should  be  issued 
resoonsible  Authority 

r1 r~ 

r 

tne 

X\ 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Community, 
and in particular Article 100a thereof, 

Having regard to the proposal from the Commission'1', 

Having  regard  to  the  Opinion  of  the  Economic  and  Social 
Committee'2', 

Acting in accordance with the procedure laid down in Article 189b 
of the Treaty, 

Whereas measures should be adopted within the framework of - the 
internal market; whereas the internal market comprises an area 
without internal frontiers in which the free movement of goods, 
persons, services and capital is ensured; 

Whereas the. 5th environmental action programme'31  recognizes as 
a fundamental principle that all persons should be effectively, 
protected against recognized health risks from air pollution and 
that  this  requires  in particular  the  control  of  emissions  of 
nitrogen  dioxide  (N02) , particulates  (PT)  -. black  smoke,  and 
other  pollutants  such  as  carbon  monoxide  (CO); whereas  with 
regard to the prevention of tropospheric ozone (03) formation and 
its associated health and environmental impact, the emissions of 
the precursors nitrogenoxides  (NOx) and hydrocarbons  (HC) must 
be  reduced;  whereas  the  environmental  damage  caused  by 
acidification  will  also  require  reductions  inter  alia  on  the 
emission of NOx and HC; 

Whereas the European Community signed the ÛN-ECE protocol on VOC 
reduction  in  April  1992  and  adhered  to  the  protocol  on  NOx 
reduction in December 1993 (accession), both of which are related 
to the 1979 Convention on Long-range Transboundary Air Pollution 
which was approved in July 1982; whereas the Commission committed 
itself in March 1991 at the 1477th Environmental Council meeting, 
to  continue  examining  the  question  of  pollution  from  diesel 
engines  in  agriculture,  forestry  and  industry;  whereas  the 
Commission in June 1993 was asked by a Memorandum of four Member 
States to proceed with the preparation of this Directive; 

Whereas  the  objective  of  reducing  the  level  of  pollutant 
emissions  from  non-road  mobile  machinery  engines  and  the 
establishment and operation of the internal market  for engines 
and  machinery  cannot  be  sufficiently  achieved  by  individual 
Member  States,  and  can  therefore  be  better  achieved  by  the 

(l)  arc..., 

p.... 

,2)  O JC 

, p. ... 

"•'  Council  Resolution  of  I  February  1993. OJC  138,  17.05.1993, p.l 

-  2^ 

approximation  of  the  laws  of  the  Member  States  relating  to 
measures  to  be  taken  against  air  pollution  by  engines  to be 
installed in non-road mobile machinery; 

Whereas Article 100a (3) of the Treaty inter alia requires a high 
level of protection for health and the environment; 

Whereas  legislation  concerning  the  control  of  emissions  from 
these  engines  is  currently  lacking  both  at  the  level  of  the 
Community and in most of the Member States; 

Whereas recent investigations'1' undertaken by the Commission show 
that  the  emissions  from  non-road  mobile  machinery  engines 
constitute  a  significant  proportion  of  the  total  manmade 
emissions of certain noxious atmospheric pollutants; whereas the 
category of compression ignition engines which will be regulated 
by the current proposal is responsible for a considerable share 
of air pollution by NOx and PT, in particular when it is compared 
with that coming from the road transport sector; 

Whereas a significant body of legislation exists at the level of 
the European Community governing emission requirements for road 
vehicles  and  for  diesel  engines  of  heavy  road vehicles 
(e.g. Directive 88/77'21 as last amended by Directive 91/542'3' and 
Directive 70/220'4' as last amended by Directive 94/12(5)); 

Whereas emissions from non-road mobile machinery operating on the 
ground  equipped  with  compression  ignition  engines,  and  in 
particular  the  emissions  of NOx  and  PT, constitute  a primary 
cause of concern; whereas these sources should be regulated in 
the  first  instance, it is appropriate  to retain the option to 
subsequently  extend  the scope of the Directive  to  include the 
control of emissions from other non-road mobile machinery engines 
and  which  are  used  in  other  appliances,  e.g.  equipped  with 
gasoline engines; 

Whereas  every  effort  should  be made  to  reduce  input  of these 
pollutants into the environment in the most cost effective way; 

Whereas,  in  addition,  the  control  of  these  emissions  and  the 

(l) 

Final  Report  September  1994,  not  published  in  the  OJ 

l2)  OJL36,  09.02.1988,  p.33 

'-'  OJL  295,  25.10.1991,  p.l 

,4)  OJ  No  L  76,  6.4.1970,  p.l 

"'  O J No  I.  100.  19.4.1994.  p.  42 

25 

establishment  of  emission  standards  for  this  source  of 
atmospheric pollution,, represents a cost-effective option when 
compared to the tightening of control for other sources of these 
pollutants; 

Whereas the financial impact of the Directive is limited and the 
time  table  for  the  implementation  of  the  more  stringent 
requirements of Stage II is generous; 

Whereas in respect of certification procedures the type approval 
approach has been taken which as a European method has stood the 
test of time for approvals of road vehicles and their components; 
whereas  as  a new  element  the  approval  of  a parent  engine on 
behalf of a group of engines  (engine family) built using similar 
components according to similar construction principles, has been 
introduced; 

Whereas the engines produced in compliance with the requirements 
will have to be accordingly marked and notified to the approval 
authorities; whereas in order to keep administrative burdens low 
no direct control by the authority of the engine production dates 
relevant for strengthened requirements has been foreseen; whereas 
this freedom  for the manufacturers  requires them to facilitate 
the preparation  of  spot  checks  by  the  authority  and  to make 
available  relevant  production  planning  information  at regular 
intervals; whereas absolute compliance with notification made in 
accordance  with  this  procedure  is  not  obligatory  but  a high 
degree of compliance would facilitate the approval authorities' 
planning  of  assessments  and  contribute  to  a  relationship  of 
increased  trust  between  manufacturers  and  type  approval 
authorities; 

Whereas approvals granted in accordance with Directive 88/77/EEC 
as  last  amended  and  with  UN/ECE  Regulation  49  Series  02, as 
listed  in Annex  IV, Appendix  II  of  Directive  92/53/EEC'1' are 
recognized as equivalent to those required by this Directive; 

Whereas engines which are in compliance with the requirements and 
covered by the scope must be permitted to be sold and used in the 
Member States; whereas these engines must not be subject to any 
other national  emission  requirement; whereas  the Member  State 
granting approvals will take the necessary control measures; 

Whereas, in laying down the new test procedures and limit values, 
it is necessary to take into account the specific usage patterns 
of these types of engines; 

QJ No L225, 10.08.1992, p.l 

9£ 

Whereas the work undertaken by the' Commission in that sphere has 
shown that the Community engine industry has had available for 
some time, or is currently perfecting, technologies which allow 
a considerable improvement in terms of emission performance; 

Whereas  it  is  appropriate  to  introduce  these  new  standards 
according  to  the  proven  principle  of  a  two  stage  approach; 
whereas the enforcement of the second stage for full efficiency 
in real use requires the meeting of certain framework conditions 
in  relation  to  the  availability  of  low-sulphur  gas  oil  for 
engines  of  this  category  of non-road  mobile machinery  in all 
Member States; 

Whereas for engines with higher power output the achievement of 
substantial emission reduction seems to be easier, as existing 
technology that has been developed for engines of road vehicles 
can  be  used;  whereas  taking  this  into  account  a  staggered 
implementation of the requirements has been foreseen, beginning 
with the highest of three powerbands for Stage I; whereas this 
principle has been retained for Stage II with the exception of 
a new fourth powerband' not covered by Stage I; 

Whereas  for  this' now  regulated  sector  of  non-road  mobile 
machinery applications which is the most important one besides 
agricultural tractors if compared with emissions coming from, road 
transport, a considerable reduction of emissions can be expected 
by  the  implementation  of  this  Directive;  whereas,  given  the 
compliance of all engines concerned, for Stage I the calculated 
emission reductions would be in the range of 23% for NOx, 11% for 
HC and 27% for PT, and in Stage II in the range of 67% for PT, 
29% for HC and 42,% for NOx; whereas due to the in general very 
good  performance  of  diesel  engines  in  respect  to  CO  and  HC 
emissions the margins  for improvements in respect of the total 
amount emitted is very small; whereas a considerable  reduction 
of the CO and HC emissions may be achievable with the envisaged 
amendment of this Directive with regard to the enlargement of the 
scope to gasoline powered engines; 

Whereas, in order to encourage the early introduction of advanced 
emission  technology  a provision  has  been made  for  the use of 
economic instruments; 

Whereas, in order to make provision for the case of extraordinary 
technical  or  economic  circumstances  procedures  have  been 
integrated which could exempt manufacturers from the obligations 
related to the Directive; 

Whereas, in order to ensure "Conformity of Production"(COP) once 
an approval  shall be  granted  for an engine, the manufacturers 
will be required to provide corresponding arrangements; whereas 
provisions  have  been  made  for  the  case  of  discovered  non-

27 

conformity  which  lay  down  information  procedures,  corrective 
actions  and  a  co-operation  procedure  which  shall  allow  the 
settling of possible differences of opinion between Member States 
in respect of conformity of certified engines; 

Whereas'the  technical  provisions  must  be  supplemented  and  as 
necessary  adapted .to technical progress; whereas  to this end, 
provision should be made for the establishment of a "Committee 
for  Adaptation  to  Technical  Progress"  in  order  to  adapt  the 
Annexes of the Directive; 

Whereas provisions have been made in order to ensure testing of 
the  engines  in  compliance  with  the  rules  of  good  laboratory 
practice, 

HAVE ADOPTED THIS DIRECTIVE: 

28 

Article 

1 

Scope 

This Directive shall apply to engines to be installed in non-road 
mobile machinery with the exception of: 

vehicles  intended  for  the  use  of  passenger-  or  goods-
transport on the road as defined by Directive 70/156/EEC'1', 
as last amended by Directive 93/81/EEC(2), and by Directive 
92/61'3' ; 

agricultural tractors as defined by Directive 74/150/EEC'4', 
as last amended by Directive 88/287/EEC'5'; 

those machinery not covered due to the definition in section 
1 of Annex I of this Directive. 

Article 

2 

Definitions 

For the purposes of this Directive: 

"non-road 
vehicle with or without body work, powered by an internal 
combustion engine. 

means  any  mobile  machine  or 

machinery" 

mobile 

"type-approval" 
means the procedure whereby a Member State 
certifies that an internal combustion engine type, may be on 
behalf  of  an  engine  family  with  regard  to  the  level  of 
emission  of  gaseous  and  particulate  pollutants  by  the 
engine(s), satisfies the relevant technical requirements of 
this Directive. 

type"  means  a  category  of' engines  which  do  not 
"engine 
differ in such essential engine characteristics as defined 
in  paragraphs  1  to  4  of  Annex  II,  Appendix  1  to  this 
Directive; 

family"  means a manufacturer's grouping of engines 
"engine 
which,  through their design, are expected  to have similar 
exhaust  emission  characteristics  and  each  engine  of  this 
group complies with the requirements of this Directive and 
may be subject to the measures described in Article 12 with 
regard to the results of the approval of its parent engine; 

OJ No L 42, 23.02.1970,p.l. 

OJ No L 264, 23.10.1993, p.49 

OJ No L225,  10.08.1992, p.72 

OJ No L 34, 28.03.1974, p.10 

OJ No L 126, 20.05.1988, p.52(to be replaced by the pending amending 
proposal once adopted by the Council and the  Parliament) 

29 

"parent  engine"  means  an  engine  selected  from  an  engine 
family in such a way that it complies with the requirements 
set out in section 6 and 7 of Annex I of this Directive; 

"manufacturer" 
means the person or body who is responsible 
to the approval authority for all aspects of the type-appro 
val process and for ensuring conformity of production. It- Is 
not essential that the person or body is directly involved 
in all stages of the construction of the engine. 

authority" 

means  the  competent  authority  of  a 
"approval 
Member  State  which  is  responsible  for  all  aspects  of 
type-approval of an engine or of an engine family, to issue 
and  to  withdraw  approval  certificates,  to  serve  as  the 
contact point  with  the  approval  authorities  of  the other 
Member  States  and which  is responsible  for verifying  the 
manufacturer's conformity of production arrangements; 

service"  means the organisation or body that has 
"technical 
been appointed as a testing laboratory to carry out tests or 
inspections on behalf of the approval authority of a Member, 
State. This function may also be carried out by the approval 
authority itself; 

document"  means the document set out in Annex 
"information 
II to this Directive that prescribes the information to.be 
supplied by an applicant; 

folder"  means £he total folder or file of data, 
"information 
drawings, photographs, etc. supplied by the applicant to the 
technical service or the approval authority as prescribed in 
the information document; 

package"  means the information folder plus any 
"information 
test reports or other documents that the technical service 
or  the  approval  authority  has  added  to  the  information 
folder in the course of carrying out their* functions; 

to 

the 

information 

package"  means  thé document  in 
"index 
which  is  listed  the  contents  of  the  information  package 
suitably numbered or otherwise marked  to clearly  identify 
all pages. 

Article  3 

Application for type-approval 

(1)  Application for engine- or engine family type-approval* shall 
be submitted by the manufacturer to the approval authority of a 
Member State. An application shall be accompanied by an informa 
tion folder, the contents of which are given in the information 
document in Annex II of this Directive. 

(2)  If the approval  authority determines  that, with regard to 
the selected parent  engine, the submitted  application does not 
fully represent the engine family described in Annex II, Appendix 

30 

2, an alternative and, if necessary, an additional parent engine 
which is determined by the approval authority shall be provided 
for approval according to paragraph (1). 

(3)  No application in respect of one type of engine or engine 
family may be submitted to more than one Member State. A separate 
application  shall  be  submitted  for  each  type  (family)  to  be 
approved. 

Article 

4 

The type-approval process 

(1)  Each Member State shall grant type-approval  to all engine 
types or engine families which conform to the particulars in the 
information  folder  and  which  meet  the  requirements  of  this 
Directive. 

(2)  Each Member State shall complete all applicable sections of 
the type-approval certificate  (the model is described in Annex VI 
to this Directive) for each type of engine or engine family which 
it approves and shall compile or verify the contents of the index 
to  the  information  package.  Approval  certificates  shall  be 
numbered  in accordance with the method described  in Annex VII. 
The completed approval certificate and its attachments shall be 
delivered to the applicant. 

(3)  Where  the  engine  to be  approved  fulfils  its  function  or 
offers a specific feature only in conjunction with other parts of 
the non-road mobile machinery and for this reason compliance with 
one -or more requirements can be verified only when the engine to 
be approved operates in conjunction with other machinery parts, 
whether real or simulated, the scope of the type-approval of the 
engine(s)  must  be  restricted  accordingly.  The  type-approval 
certificate  for  an  engine  type  or  engine  family  shall  then 
include  any  restrictions  on  its  use  and  shall  indicate  any 
conditions for fitting it. 

(4)  The  approval  authority  of  each  Member  State  shall  send 
monthly to the approval authorities of the other Member States a 
list  (containing  the  particulars  shown  in Annex  VIII)  of  the 
engine  (family) type approvals it has granted, refused to grant 
or  withdrawn  during  that month;  in  addition,  on  receiving  an 
application from the approval authority of another Member State, 
it shall send forthwith a copy of the engine (family) type-appro 
val certificate with/without information package for each type of 
engine  (family) which it has approved or refused to approve or 
withdrawn and/or the list of engines produced according to type 
approvals granted, as described in Article 6 (3), containing the 
particulars shown in Annex IX and/or  a copy of the declaration 
described in Article 6 (4). 

(5)  The approval authority of each Member State shall yearly, or 
in addition on receiving a corresponding  application, send the 
Commission a copy <rf the data sheet as shown in Annex X related 
to the engines approved since the last notification was made. 

31 

Article 

5 

Amendments  to  approvals 

(1)  The Member  State  which  has  granted  type-approval  must  take 
the  necessary  measures  to  ensure  that  it  is  informed  of  any 
change  in  the  particulars  appearing  in  the  information  package. 

(2)  The  application  for  the  amendment  or  extension  of  a 
type-approval  shall be  submitted  exclusively  to  the Member  State 
which  granted  the  original  type-approval. 

(3)  If  particulars  appearing  in  the  information  package  have 
changed,  the  approval  authority  of  the Member  State  in  question 
shall  : 

issue  revised page(s)  of  the  information package  as necess 
ary, marking  each revised page to show clearly  the nature of 
the  change  and  the  date  of  re-issue.  On  any  occasion  when 
revised  pages  are  issued  the  index  to  the  information 
package  (which  is  attached  to  the  approval  certificate) 
shall  also  be  amended  to  show  the  latest  dates  of  revised 
pages;  and 

issue  a  revised  approval  certificate  (denoted  by  an  exten 
sion  number)  if  any  information  on  it  (excluding  its 
attachments)  has  changed  or  if  the  standards  of  the  Direc 
tive  have  changed  since  the date  currently  on  the  approval. 
The  revised  certificate  shall  show  clearly  the  reason  for 
revision  and  the  date  of  re-issue. 

If  the  approval  authority  of  the  Member  State  in  question  finds 
that  an amendment  to  an  information  package  warrants  fresh  tests 
or checks  it  shall  inform  the manufacturer  thereof  and  issue  the 
documents  mentioned  above  only  after  the  conduct  of  successful 
fresh  tests  or  checks. 

Article 

6 

Declaration  of  conformity 

(1)  The  manufacturer  shall  affix  to  each  unit  manufactured  in 
conformity  with  the  approved  type  the  markings  as  defined  in 
Annex  I, section  3 of this Directive,  including  the  type-approval 
number. 

(2)  Where  the  type-approval  certificate,  in accordance  with  the 
provisions  of Article  4(3)  includes  restrictions  on  its use,  the 
manufacturer  shall  deliver  with  each  unit  manufactured  detailed 
information  on  these  restrictions  and  shall  indicate  any 
conditions  for  fitting  it.  Where  a  series  of  engine  types  is 
delivered  to  one  single  manufacturer  of  machinery,  it  is 
sufficient  that  he  will  be  provided  with  only  one  such  informa 
tion  document  -  at  the  latest  on  the  delivery  date  of  the  first 
engine - which additionally  lists the relevant  engine' identifica 
tion  numbers. 

32 

(3)  The  manufacturer  shall  send  on  demand  to  the  responsible 
approval  authority  within  45 days  after  the  end  of  each  calendar 
year,  and  without  delay  after  each  application  date  when  the 
requirements  of  this Directive  change,  and  immediately  following 
each  additional  date  the  authority  may  stipulate,  a  list  which 
contains the range of identification numbers  for each engine  type 
produced  in  accordance  with  the  requirements  of  this  Directive 
since  the  last  reporting  was  made,  or  since  the  requirements  of 
this  Directive  were  first  applicable. Where  not  clarified  by  the 
engine  coding  system  this  list  must  specify  correlations  of  the 
engine  types  or 
identification  numbers  to  the  corresponding 
engine  families  and  to  the  type-approval  numbers.  Additionally 
this list must  contain particular  information  if the  manufacturer 
completely  ceases  to  produce  an  engine  type  or  family  approved. 
Where  this  list  is  not  required  to  be  .regularly  sent  to  the 
responsible  approval  authority,  the  manufacturer  must  maintain 
these  records  for  a minimum  period  of  30  years. 

(4)  The  manufacturer  shall  send  to  the  responsible  approval 
authority within  45 days  after  the  end  of  each  calender  year  and 
at each application date, a declaration  defining the engine  types 
and engine families together with  the relevant  engine  identifica 
tion codes  for  those engines he  intends  to produce  from this  date 
on. 

• 

Article  7 

Acceptance  of  equivalent  approvals 

between 

(1)  The  Parliament  and  the  Council  acting  by  a  qualified 
majority  on  a  proposal  from  the  Commission  may  acknowledge  the 
for 
equivalence 
type-approval  of  engines  by  the  present  Directive  and  the 
procedures 
or 
regulations  of  third  countries,  in the  framework  of  multilateral 
or  bilateral  agreements  between  the  Community  and  third 
countries. 

international 

established 

regulations 

provisions 

conditions 

and 

the 

by 

(2)  The  equivalence  of  the  international  Regulation  listed  in 
Part  1  of  Annex  I,  footnote  (1)  with  Directive  88/77/EEClU  as 
last  amended  by  Directive  91/542/EEC'21  shall  be  recognized.  The 
approval  authorities  of  the Member  States  shall  accept  approvals 
according  to  such  regulations  and, where  applicable  the  pertain 
ing approval marks, in lieu of the corresponding  approvals  and/or 
approval  marks  according  to  the  Directive. 

Article  8 

Registration  and  sale 

(1)  Each Member  State  shall  only  permit  the  sale  or  entry  into 
service of engines  covered by  the  scope of  this Directive  if  they 
were produced  in accordance  with  the  requirements  of  this  Direc-

(1) 

OJ  No  L  36,  09.02.1988,  p.33 

(2) 

OJ  No  L 295,  25.10.1991,  p.i 

33 

tive. 

(2)  A  Member  State  granting  a  type-approval  shall  take  the 
necessary  measures  in  relation  to  that  approval  to  register  and 
control,  if need be  in cooperation  with  the  approval  authorities 
of  the  other  Member  States,  the•identification  numbers  of  those 
engines  produced  in  conformity  with  the  community  requirements. 

(3)  The control  of  the  identification numbers  may  be  additional 
subject  in  conjunction  with  the  measures  with  regard  to  the 
control  of  conformity  of production  as  described  in Article  12. 

(4)  With  regard  to"measures  of  control  of  the  identification 
numbers  the  manufacturer  shall  without  delay  give  on  demand  to 
the  responsible  approval  authority  all  the  information  needed 
related to.the direct purchasers  together with  the  identification 
numbers  of  the  engines  reported  as  produced  in  accordance  with 
the  provisions  of  paragraph  (3)  of  Article  6.  Also  he  shall 
commit  his  middlemen  'to  that.  Where  engines  are  sold  to  a 
manufacturer  of  machinery  further  information  is  not  required. 

(5)  If on stipulation of the approval authority  the manufacturer 
is not  able  to  verify  the  requirements  as  specified  in Article  6 
particularly  in  conjunction  with  paragraph  (4)  of  this  Article, 
the  approval  granted  in respect  of  the  corresponding  engine  type 
or  family  pursuant  to  this  Directive  may  be  withdrawn.  Then  the 
information  procedure  shall  be  carried  out  as  described  in 
Article  13  (4) . 

Article  9 

Application  dates 

(1)  Acceptance  of  Type-Approvals 
From 31 December  1996 no Member State may, on grounds  relating  to 
the  gaseous  and  particulate  pollutants  emitted  from  an  engine: 

refuse  to  grant  national  type-approval  for  a  type  of  non 
road  mobile  machinery  propelled  by  an  engine,  or 

prohibit  the  registration,'sale,  entry  into  service  or  use 
of  such  new  machinery  propelled  by  an  engine,  or 

refuse  to  grant  EC  type-approval  for  an  engine  type  and  to 
issue  the  document  as  described  in Annex  VI  of  this  Direc 
tive, or to grant national  type approval  for an engine  type, 
or 

prohibit  the  sale  or  use  according  to  the  definitions  of 
this  Directive  of  new  engines, 

for which  the  requirements  of  this  Directive  and  its Annexes  are 
satisfied. 

(2)  Type-Approvals  Stage  I  (Engine  Categories  A/B/C) 
Member  States  shall  refuse  national  type-approval  with  regard  to 
emissions,  for  engine  types  and  for  non-road  mobile  machinery 

Q 4 

propelled  by  an  engine: 

A: 

B: 

C: 

from  31 March  1997  for  engines  of  a power  output: 
130  KW  <; P  s 560  KW, 

from  30  June  1997  for  engines  of  a  power  output: 
75  KW  ^ P <  130  KW, 

from  31  December  1997  for  engines  of  a  power  output* 
37  KW  ^ P  <  75  KW, 

if they fail to meet  the requirements  specified  in this  Directive 
and  its  Annexes  and  where  the  emissions  of  gaseous  and 
particulate  pollutants  from  the  engine  do  not  comply  with  the 
limit  values  as  set  out  in  the  table  in  section  4.2.1.  of  Annex 
I  to  this  Directive.  Additional  requirements  with  regard  to 
emissions  shall  not  be  imposed. 

(3)  Type-Approval s Stage  II  (Engine  Categories:  D, E  ( was A  at 
Stage  I) , F  (was B  at  Stage  I) , G  (was  C  at  Stage  I)) 
Member  States  shall  refuse  to  grant EC  type-approval  with  regard 
to  emissions,  for  an  engine  type  and  to  issue  the  document  as 
described  in Annex  VI  of  this  Directive,  and  shall  refuse  type-
approval with  regard  to emissions,  for non-road mobile  machinery 
propelled  by  an  engine: 

D: 

from  31 December  1999  for  engines  of a power 
output:  18  KW  < P  <  37  KW, 

E  (= A  II) : 

from  31 December  2000  for  engines  of a power 
output:  130  KW  <. P  <; 560  KW, 

F  (= B  II) : 

from  31 December  2001  for  engines  of a power 
output:  75  KW  < P  <  130  KW, 

G  (= C  I I ): 

from  31 December  2002  for  engines  of a power 
output:  37  KW  s P  <  7 5  KW, 

if they fail to meet  the requirements  specified  in this  Directive 
and  its  Annexes  and  where  the  emissions  of  gaseous  and 
particulate  pollutants  from  the  engine  do  not  comply  with  the 
limit  values  as  set  out  in  the  table  in  section  4.2.3.  of  Annex 
I  to  this  Directive.  Additional  requirements  with  regard  to 
emissions  shall  not  be  imposed. 

(4)  Required  Compliance  of  the  Engines 
With  the  exception  of machinery  and  engines  intended  for  export 
to third countries, Member States shall only permit  the registra 
tion,  sale,  entry  into  service  and  use  of  new  non-road  mobile 
machinery  propelled  by  an  engine  and  the  sale  or  use  of  new 
engines  if  the  engine  is  approved  in  compliance  with  one  of  the 
categories as defined  in paragraph(2)  and  (3) . The  following  time 
table  shall  apply.  In  the  case  of  engines  produced  before  the 
stated application date the requirement  for the relevant  approval 
shall  be  delayed  up  to  the  date  in  brackets.  The  permission 
granted  for  Stage  I-engines  shall  be  terminated  with  effect  from 

35 

the mandatory application of Stage II: 

Application of Stage I 

category "A" from 30 June 1997  [31 December  1998], 

category  "B" from 31 December 1997  [31 December 19.99], 

category  "C" from 31 December 1998  [31 December 2000], 

Application of Stage II 

category  "D" from 31 December 2000  [31 December 2002], 

category  "E" from 31 December 2001  [31 December 2003], 

category  "F" from 31 December 2002  [31 December 2004], 

category "G" from 31 December 2003  [31 December 2005], 

Additional  requirements  with  regard  to emissions  shall not be 
imposed. 

Article 

10 

Economic instruments 

Member  States  may  make  provision  for  tax  incentives  only  in 
respect  of  engines which  comply with the  requirements  of this 
Directive. Such incentives shall comply with the provisions of 
the Treaty and satisfy the following conditions: 

they shall apply to all new engines offered for sale on the 
market of a Member State which comply in advance with the 
requirements of this Directive, 

they  shall  be  terminated  with  effect  from  the  mandatory 
application of the emission values laid down in Article 9(4) 
for newly produced engines, 

for each type of engine, they shall be for an amount lower 
than the additional cost of the technical solutions intro 
duced to ensure compliance values set and of their installa 
tion on the engine. 

The Commission shall be informed in sufficient time of plans to 
institute or change the tax incentives referred to in the first 
paragraph, so that it can submit its observations. 

Article 

11 

Exemptions and alternative procedures 

(1)  The requirements of Article 8(1) do not apply to: 

3fi 

engines produced directly or indirectly on behalf of and for 
use only by the armed services, 

engines approved in accordance with paragraph 2. 

(2)  Each Member State may, at the request of the manufacturer, 
exempt end-of-series engines which are still in stock, or stocks 
of non-road mobile machinery in respect of their  engines, from 
the sales or use time limit of Article 9(4) of this Directive in 
accordance with the following conditions: 

The  manufacturer  must  submit  a  request  to  the  competent 
authorities of that Member State which approved the corre 
sponding  type(s)/family(ies) of engines, before  the entry 
into force of the time limit(s); 

The application of the manufacturer must include a list as 
defined in Article  6(3) of those new engines which remain 
unsold or used within the time limit(s); 

The  request  must  specify  the  technical  and/or  economic 
reasons on which it is based; 

The engines must conform to a type or family for which the 
type • approval  is  no  longer  valid,  but  which  have  been 
produced  according  to the  time  limit(s).  In general  this 
procedure also applies to engines covered by this Directive 
for the first time, except with regard to the expired type 
approval; 

The  engines  must  have  been  physically  stored  within  the 
territory  of  the  European  Community  within  the  time 
limit (s); 

The maximum number of new engines of one or more types sold 
or  used  in  each Member  State  by  the  application  of  this 
exemption  must  not  exceed  10% of  the  new  engines  of  all 
types concerned sold or used in that Member State during the 
previous year; 

If the request is accepted by the Member State, the latter 
must, within one month, send the competent  authorities of 
the other Member States particulars of, and reasons for, the 
exemptions granted to the manufacturer; 

The  Member  State  granting  exemptions  according  to  this 
Article shall be responsible for ensuring that the manufac 
turer, complies with all corresponding obligations; 

The competent  authority  shall  release  for  each  engine  in 
question  a  certificate  of  conformity  on  which  a  special 
entry has been made. If applicable a consolidated document 
that contains all engine identification numbers in question 
may be used; 

37 

Member  States  shall  each  year  send  the Commission a list of 
exemptions  granted  specifying  the reasons. 

This option  shall be limited to a period of 12 months as from the 
date on which  the engines  for the first  time  were  subject to the 
sales or use time  limit. 

Article  12 

Conformity  of production  arrangements 

(1)  The  Member  State  granting  a  type-approval  shall  take  the 
necessary  measures  to verify,  with  regard  to the  specifications 
laid down in section 5 of Annex I, if need be in cooperation with 
the  approval  authorities  of  the  other  Member  States,  that 
adequate  arrangements  have been made to ensure  effective  control 
of  the conformity  of production  before  it grants  type-approval. 

(2)  The Member  State  which  has  granted  a  type-approval  shall 
take  the  necessary  measures  to  verify,  with  regard  to  the 
specifications  laid  down  in section  5 of Annex  I, if need be in 
cooperation  with  the  approval  authorities  of  the  other  Member 
States, that the arrangements  referred to in paragraph 1 continue 
to  be  adequate  and  that  each  production  engine  bearing  an EC 
type-approval  number  pursuant  to  this  Directive  continues  to 
conform  to the description  as given  in the approval  certificate 
and  its Annexes  for the approved  engine  type  or  family. 

Article  13 

Non-conformity  with  the approved  type  or  family 

(1)  There shall be failure to conform to the approved type where 
deviations  from the particulars  in the type-approval  certificate 
and/or the information package are found to exist and where  these 
deviations  have  not been  authorized  under  Article  5(3), by the 
Member  State  which  granted  the type-approval. 

(2)  If a Member State which has granted type-approval  finds that 
engines  accompanied by a certificate of conformity or bearing an 
approval  mark  do  not  conform  to  the  type  or  family  it  has 
approved, it shall take the necessary measures to ensure that the 
engines,  in production  again  conform  to the approved  type. The 
approval  authorities  of that Member  State  shall  advise  those of 
the  other  Member  States  of the measures  taken  which  may, where 
necessary,  extend  to withdrawal  of  type-approval. 

(3)  If a Member  State  demonstrates  that  engines  bearing  an EC 
type-approval  number  do  not  conform  to  the  approved  type  or 
family  it  may  request  the  Member  State  which  granted  the 
type-approval to verify that engines in production conform to the 
approved  type  or  family.  Such  action  shall  be  taken  within  six 
months  of the date  of the request. 

38 

-16-

(4)  The  approval  authorities  of  the Member  States  shall  inform 
each  other  within  one  month  of  any  withdrawal  of  type-approval 
and  of  the  reasons  for  such  measure. 

(5)  If the Member State which granted type-approval disputes  the 
failure  to  conform  notified  to  it,  the  Member  States  concerned 
shall  endeavour  to  settle  the  dispute.  The  Commission  shall  be 
kept  informed  and  shall,  where  necessary,  hold  appropriate 
consultations  for  the  purpose  of  reaching  a  settlement. 

Article  14 

Notification  of  decisions  and  remedies  available 

All  decisions  taken  pursuant  to  the  provisions  adopted  in 
implementation  of  this  Directive  and  refusing  or  withdrawing 
type-approval,  or  refusing  registration  or  prohibiting  sale, 
shall  state  in  detail  the  reasons  on  which  they  are- based.  Any 
decision  shall  be  notified  to  the  party  concerned  who  shall,  at 
the same time, be  informed of the remedies available  to him under 
the  laws  in  force  in  the  Member  States  and  of  the  time  limits 
allowed  for  the  exercise  of  such  remedies. 

Article  15 

Adaptation  to  technical  Progress 

(i) 
Any  amendments  which  are  necessary  in  order  to  adapt  the 
Annexes  to  this  Directive  with  exemption  of  the  requirements 
specified  in  Annex  I,  Section  4.2.1  and  4.2.3,  to  take  account 
of technical progress shall be adopted by the Commission  assisted 
by  the  Committee  established  in  accordance  with  Article  ( )  of 
Council  Directive  96/.../EC(1)  and  in  accordance  with  the 
procedure  laid  down  in Article  16 of  the  present  Directive. 

Article 

16 

Committee  procedures 

(1)  The  representative  of  the  Commission  shall  submit  to  the 
Committee  a  draft  of  the  measures  to  be  taken.  The  Committee 
shall  deliver  its opinion  on the draft within  a time-limit  which 
the Chairman may  lay down according  to the urgency  of the matter, 
if  necessary  by  taking  a vote. 

(2)  The  opinion  shall  be  recorded  in  the minutes;  in  addition, 
each  Member  State  shall  have  the  right  to  ask  to  have  its 
position  recorded  in  the minutes. 

(3)  The Commission  shall  take  the utmost  account  of  the  opinion 

Proposal submitted by the Commission on ambient air quality assess 
ment and management-COM  (94) 109 final, 94/0106(SYN), OJ No C 216, 
06.08.1994, p.4 

339 

delivered by the Committee. It shall inform the Committee of the 
manner in which its opinion has been taken into account. 

-17-

Article 

17 

Approval authorities and technical services 

The Member States shall notify to the Commission and to the other 
Member States the names and addresses of the approval authorities 
and technical services that are responsible for the purposes of 
this  Directive.  The  notified  services  must  satisfy  the 
requirements as laid down in Article (14) of Directive 92/53/EEC(1) 
amending Directive 70/156/EEC. 

Article 

18 

Coming into force 

(1)  Member States shall bring into force the laws, regulations 
and  administrative  provisions  necessary  to  comply  with  this 
Directive not later than 01 July 1996. 

When Member  States  adopt  these measures, they  shall  contain a 
reference  to  this  Directive  or  shall  be  accompanied  by  such 
reference  on  the  occasion  of  their  official  publication.  The 
methods of making such a reference shall be laid down by Member 
States. 

(2)  Member States shall communicate to the Commission the texts 
of the provisions of national law which they adopt in the field 
governed by this Directive. 

Article 

19 

This  Directive  shall  enter  into  force  on  the  twentieth  day 
following that of its publication in the Official Journal of the 
European Communities. 

Article 

20 

Address 

This Directive is addressed to the Member States. 

Done at Brussels, 

For the European Parliament 
The President 

For the Council 
The President 

OJ No L 225, 10.08.1992, p.l 

040 

LIST  OF  ANNEXES 

Annex  I: 
PAGE ^ ^ 2.  e n8me  markings,  requirements  and  tests,  specification  of  conformity  of 

Specification  of  scope,  definitions  and  abbreviations, 

production  assessments  and parameters for  the definition  of the engine  family 

Information  document  relating  to  EC  type-approval  and 

Annex  II: 
PAGE Éfc*>*} referring  to  measures  to  be  taken  against  the  emission  of  gaseous  and 
particulate  pollutants  from  internal  combustion  engines  to be  installed  in  non 
road  mobile  machinery 

Appendix  1:  Essential  characteristics  of  the  (parent) 
engine 
PAGE 4ft  S t) 
Appendix  2:  Essential  characteristics  of  the  engine 
PAGE  m  bl 
family 
Appendix  3:  Essential  characteristics  of  the  engine  type 
PAGE 4t*(g£ 

within  the  family 

Annex  HI: 
PAGE«*  (?3 

Test  Procedure 

Appendix  1:  Measurement  and  sampling  procedures 
P A G E ^ ^ S" 
Appendix  2:  Calibration  of  the  analytical  instruments 

Appendix  3:  Data  evaluation  and  calculations 
P A G E *» 9 Ç" 

ANNEX  IV:  Technical  characteristics  of  reference  fuel  prescribed 
PAGE^H* 

for  approval  tests  and  to  verify  conformity  of  production 

ANNEX  V: 
PAGE  <m  yffâ 

ANNEX  VI: 
PAGE msm<T 

Analytical  and  sampling  system 

EC  Type-Approval  Certificate 

Appendix  1 :  Test  results 
Page  *»/fqS> 

ANNEX  VII:  Approval  certificate  numbering  system 
PAGE %» 

yfSl 

ANNEX  VIII: 
PAGE«*/S2 

List  of  engine  (family)  type-approvals  issued 

ANNEX  IX: 

List  of  engines  produced 

ANNEX  X: 
PAGE  mm/lÇy 

^ 

Data  sheet  of  certified  engines 

U/l 

ANNEX I 

SPECIFICATION  OF  SCOPE, DEFINITIONS  AND  ABBREVIATIONS,  ENGINE 
MARKINGS, REQUIREMENTS AND TESTS, SPECIFICATION OF CONFORMITY-OF 
PRODUCTION ASSESSMENTS AND PARAMETERS  FOR THE DEFINITION OF THE 
ENGINE FAMILY 

SCOPE 

This  Directive  applies  to  the  emission  of  gaseous  and 
particulate pollutants from engines  , used to propel non 
road mobile machinery as defined in Article 2, and portable 
industrial equipment, additionally : 

A:  intended and suited, to move, or  to be moved on the 
ground, with or without road, and with a C.I. engine 
having  an  installed  net  power  in  accordance  with 
2.(2.4) that is higher  than  18 KW but not more than 
560 KW(1)and that is operated under intermittent speed 
rather than a single constant speed 

Criteria for engines to be covered under this defini 
tion include but are not limited to: 

Industrial drilling rig's, compressors etc., 
Construction equipment  including  wheel loaders, 
bulldozers,  crawler  tractors,  crawler  loaders, 
truck-type loaders, off-highway trucks, hydraulic-
excavators etc., 
Agricultural equipment, rotary tillers, 
Forestry equipment, 
Self  propelled  agricultural  vehicles  (except 
tractors as defined in Article 1) 
Material handling equipment, 
Fork lift trucks, 
Road maintenance  equipment  (motor graders, road 
rollers, asphalt finishers), 
Snow plough equipment, 
Airport supporting equipment, 
Aerial lifts, 
Mobile cranes. 

Engines  for which has been granted  type-approval  under  the condi 
tions of Directive 88/77/EEC as last amended shall be exempted from 
the requirements of this Directive. In this context a certificate of 
compliance that is valid up to 30 September  1996 with regard to the 
requirements of Directive 88/77/EEC shall be sufficient for Stage I 
of this Directive. The certificates validity  for new engines shall 
be terminated with effect of the mandatory application of Stage II. 
An approval granted in accordance with Regulation 49 of the Economic 
Commission for Europe, Series of amendments 02, Corrigenda 1/2 shall 
be deemed to be equivalent to an approval granted in accordance with 
Directive 88/77/EEC as last amended. 

42 

This Directive is not applicable for the following applica 
tions: 

B:  ship 

C:  locomotive 

D:  aircraft 

2 

DEFINITIONS AND ABBREVIATIONS 

For the purpose of this Directive, 

2.1  "Compression ignition  (C.I.) engine" means an engine which 
works  on  the  compression-ignition  principle  (e.g. diesel 
engine); 

2.2  "Gaseous  pollutants" means  carbon  monoxide,  hydrocarbons 
(assuming a ratio of C ^ ^) and oxides of nitrogen, the last 
named being expressed .in nitrogen dioxide  (N02) equivalent; 

2.3  "Particulate pollutants" means any material collected on a 
specified 'filter medium after diluting C.I. engine exhaust 
gas with clean filtered air so that the temperature does not 
exceeded 325 K  (52°C) ; 

2.4  "Net power" means the power in "EEC kW" obtained on the test 
bench  at  thé  end  of  the  crankshaft,  or  its  equivalent, 
measured in accordance with the EEC method of measuring the 
power of internal combustion engines  for road vehicles as 
set  out  in  Directive  80/1269/EEC(1),  as  last  amended  by 
Directive 89/491/EEC(2) , except that the power of the engine 
cooling fan is excluded and the test conditions and refer 
ence fuel specified in this Directive are adhered to; 

9 

.5  "Rated speed" means the maximum full load speed allowed by 

the governor as specified by the manufacturer; 

2.6  "Per cent load" means the fraction of the maximum available 

torque at an engine speed; 

2.7  "Maximum torque speed" means the engine speed at which the 
maximum torque is obtained from the engine, as specified by 
the manufacturer; 

2.8  "Intermediate speed" means that engine speed which meets one 

of the following requirements: 

For engines which are designed to operate over a speed 
range  on a full  load  torque  curve,  the  intermediate 
speed shall be the declared maximum torque speed if it 
occurs between 60% and 75% of rated speed; 

m 

OJ No L 375, 31.12.1980, p.46 

( -) 

OJ No L 238, 15.08.1989, p.43 

43 

If the declared maximum torque speed is less than 60% 
of rated speed, then the intermediate  speed shall be 
60% of the' rated speed; 

If the declared maximum torque speed  is greater than 
75%  of  the  rated  speed  then  the  intermediate  speed 
shall be 75% of rated speed. 

2.9 

Symbols and Abbreviations 

2.9.1 

Symbols for test parameters 

Symbol 

./"AT* 

aver 

CI 

cone 

cone. 

cone. 

DF 

f. 

FH 

GaT RW 

'ATRD 

Unit 

m' 

m< 

m3/h 
kg/h 

ppm 
Vol? 

ppm 
Vol? 

ppm 
Vol? 

kg/h 

kg/h 

Term 

Cross sectional 'area of 
the isokinetic sampling 
probe. 

Cross sectional area of 
the exhaust pipe. 

Weighted average values 
for: 
volume flow; 
mass flow; 

Carbon 1 equivalent 
hydrocarbon. 

Concentration  (with 
suffix of the component 
nominating). 

Background corrected 
concentration. 

Concentration of 
dilution air. 

Dilution factor. 

Laboratory atmospheric 
factor. 

Fuel specific factor 
used for the calcula 
tions of wet concentra 
tions from dry concen 
trations hydrogen to 
carbon ratio. 

Intake air mass flow 
rate on wet basis. 

Intake air mass flow 
rate on dry basis. 

44 

GEXHW 

G FUEL 

GT 0 TW 

H RE F 

H. 

H, 

K, 

K„ 

Kw„ 

K, W,  d 

K. W ,e 

Kj.r 

kg/h 

kg/h 

kg/h 

kg/h 

kg/h 

g/kg 

g/kg 

g/kg 

Dilution air mass flow 
rate on wet basis. 

Equivalent diluted, 
exhaust gas mass flow 
rate on wet basis. 

Exhaust gas mass flow 
rate on wet basis. 

Fuel mass flow rate. 

Diluted exhaust gas 
mass flow rate on wet 
basis. 

Reference value of ab 
solute humidity 
10,71  g/kg for calcu 
lation of NOx and 
particulate humidity 
correction factors. 

Absolute humidity of 
the intake air. 

Absolute humidity of 
the dilution air. 

Subscript denoting an 
individual mode. 

Humidity correction 
factor for NOx. 

Humidity correction 
factor for particulate. 

Dry to wet correction 
factor for the intake 
air. 

Dry to wet correction 
factor for the dilution 
air. 

Dry to wet correction 
factor for the diluted 
exhaust gas. 

Dry to wet correction 
factor for the raw 
exhaust gas. 

Percent torque related 
to the maximum torque 
for the test speed. 

45 

mass 

g/h 

MDIL 

MSAM 

Md 

Mf 

pa 

pB 

pd 

ps 

P 

PAE 

kg 

kg 

mg 

mg 

kPa 

kPa 

kPà 

kPa 

kW 

kW 

PM 

kW 

subscript  denoting 
emissions  mass  flow 
rate. 

Mass  of  the  dilution 
air  sample  passed 
through  the  particulate 
sampling  filters. 

Mass  of  the  diluted 
exhaust  sample  passed 
through  the  particulate 
sampling  filters. 

Particulate  sample  mass 
of  the  dilution  air 
collected. 

Particulate  sample  mass 
collected. 

Saturation  vapour  pres 
sure  of  the  engine 
intake  air  (ISO  3046  psy 
=  PSY  test  ambient). 

Total  barometric  pres 
sure  (ISO  3046: 
Px  =  PX  Site  ambient 
total  pressure; 
Py  =  PY  Test  ambient 

total  pressure). 

Saturation  vapour  pres 
sure  of  the  dilution 
air. 

Dry  atmospheric  pres 
sure. 

Power,  brake  uncor 
rected. 

Declared  total  power 
absorbed  by  auxiliaries 
fitted  for  the  test 
which  are  not  required 
by  paragraph  2.4.  of 
this  Annex. 

Maximum  measured  power 
at  the  test  speed  under 
test  conditions  (see 
Annex  VI, Appendix  1) . 

46 

Prr, 

q 

r 

Ra 

Rd 

Rf 

S 

Ta 

TD 

Tref 

VA I RD 

VA I RW 

VriL 

VDILW 

VEDFW 

VrX HD 

VçXHM 

VSAM 

kW 

- 

- 

% 

% 

- 

kW 

K 

K 

K 

rnVh 

rnVh 

m3 

rnVh 

rnVh 

rnVh 

rnVh 

m3 

Power  measured at the 
different  test modes. . 
Dilution  ratio. 

Ratio of cross  sec 
tional  areas of isoki 
netic  probe and exhaust 
pipe. 

Relative  humidity of 
the  intake  air. 
Relative  humidity of 

the  dilution  air. 

FID response  factor. 

Dynamometer  setting. 

Absolute  temperature of 
the  intake  air. 
A b s o l u te  dewpoint 
p e r a t u r e. 
R e f e r e n ce 
(of 
298K  ). 

t e m p e r a t u re 
a i r: 

combustion 

tem 

I n t a ke  a ir  volume  flow 
r a te  on  d ry  b a s i s. 

- I n t a ke  a ir  volume  flow 
rate on wet basis. 

Volume of the dilution 
air  sample  passed 

,  through the particulate 

sample  filters. 

Dilution air volume 
flow  rate  on wet  basis. 
Equivalent  diluted 
exhaust gas volume  flow 
rate on wet basis. 

Exhaust  gas  volume 
rate on dry basis. 

flow 

Exhaust  gas  volume 
flowrate on wet basis. 

Volume  of. s amp le 
through  particulate 
sampling  filters. 

47 

VT0TW 

WF 

WFE 

m3/h 

- 

- 

Diluted  exhaust  gas 
volume  flow  rate  on  wet 
basis. 
Weighting  factor. 

Effective  weighting 

factor. 

2.9.2 

Symbols  for  the  Chemical  Components 

CO 

C02 

HC 

N0X 

NO 

N02 

02 

C2H6 

PT 

DOP 

CH4 

C3H8 

H20 

Carbon  monoxide. 

Carbon  dioxide. 

Hydrocarbons. 

Oxides  of  nitrogen. 

Nitric  Oxide. 

Nitrogen  Dioxide. 

Oxygen. 

Ethane. 

Particulate. 

Di-octylphthalate. 

Methane. 

Propane. 

Water. 

PTFE 

PoJ-ytetrafluordethylene 

2.9.3 

Abbreviations 

FID 

HFID 

NDIR 

CLD 

HCLD 

PDP 

CFV 

Flame  ionization  detector. 

Heated  flame  ionization  detector. 

Non-dispersive  infrared  analyzer. 

Chemiluminescent  detector. 

Heated  chemiluminescent  detector. 

Positive  displacement  pump. 

Critical  flow  venturi. 

48 

3 

ENGINE MARKINGS 

3.1 

The engine approved as a technical unit must bear: 

3.1.1 

3.1.2 

the trademark or trade name of the manufacturer of the 
engine; 

the engine type, engine family  (if applicable), and a 
unique engine identification number; 

3.1.3 

the EC type-approval number as described in Annex VII. 

3.2 

These marks must be durable for the useful life of the 
engine and must be clearly  legible and indelible. If 
labels  or plates  are  used,  they must be  attached  in 
such a manner that in addition the fixing  is durable 
for  the  useful  life  of  the  engine,  and  the 
labels/plates cannot be removed without destroying or 
defacing them. 

3.3 

The marking must be secured to an engine part necessary 
for normal engine operation and not normally requiring 
replacement during engine life. 

It must be located so as to be readily visible to the 
average  person  after  the  engine  is  installed  in the 
equipment.  Where  covers  eventually  have  to  be 
dismantled  this  requirement  is  considered  to  be 
satisfied if this is easily possible without the use of 
tools. 

Where the fulfillment of this requirement is uncertain, 
it  is  considered  to  be  met  by  the  use  of  a 
supplementary marking  containing  at least  the unique 
engine  identification  number . together  with  the 
trademark, trade name or logo of the manufacturer. This 
supplementary  marking  must  be  located  either  on, or 
adjacent to, a major component not normally requiring 
replacement  during  the  life  of  the  engine, which  is 
easily accessible for routine servicing without the use 
of  tools,  or  it  must  be  affixed  at  a  considerable 
distance  from the original marking onto the engine's 
crankcase. Both the original  and the  (if applicable) 
supplementary marking must be readily visible  to the 
average person after the engine has been completed with 
all  auxilaries  necessary  for  engine  operation.  The 
previous  dismantling  of  eventual  covers  as  defined 
above is permissible. The supplementary marking must be 
done directly on the engine's surface by the use of a 
durable  method  like  imprinting  or  affixed  with  a 
label/plate  that meets  the  requirements of point  3.2 
above. 

3.4 

The coding of the engines in context with the identi 
fication numbers must be such that it allows  for the 
indubitable  determination  of  the  sequence  of 
production. 

49 

3.5 

3.6 

4 

4.1 

Before  leaving  the  production  line  the  engines must 
bear all markings. 

The  exact  location  of  the  engine  markings  shall  be 
declared in Annex VÎ, Section 1. 

SPECIFICATIONS AND TESTS 

General 

The components liable to affect the emission of gaseous 
and  particulate  pollutants  shall  be  so  designed, 
constructed and assembled as to enable the engine, in 
normal use, despite the vibrations to which it may be 
subjected,  to  comply  with  the  provisions  of  this 

• Directive. 

The technical measures taken by the manufacturer must 
be such as to ensure that the mentioned emissions are 
effectively  limited,  pursuant  to  this  Directive, 
throughout  the  normal  life  of  the  engine  and  under 
normal conditions of use. These provisions are deemed 
to be met if the provisions of sections 4.2.1., 4.2.3. 
and 5.3.2.1. are respectively complied with. 

If a catalytic converter and/or a particulates trap is 
used the manufacturer must prove by durability tests, 
which he himself may carry out in accordance with good 
engineering  practice,  and  by  corresponding  records, 
that  these aftertreatment devices  can be expected to 
function properly for the lifetime of the engine. The 
records  must  be  produced  in  compliance  with  the 
requirements  of  section  5.2  and  in  particular  with 
5.2.3  . A corresponding warranty must be guaranteed to 
the  costumer.  Systematic  replacement  of  the  device 
after  a  certain  running  time  of  the  engine,  is 
permissible.  Any  adjustment,  repair,  disassembly, 
cleaning,  or  replacement  of  engine  components  or 
systems  which  is  performed  on  a  periodic  basis  to 
prevent malfunction of the engine in context with the 
aftertreatment device, shall only be done to the extent 
that  is  technologically  necessary  to  assure  proper 
functioning of the emission control system. Accordingly 
scheduled maintenance requirements must be included in 
the customer's manual, and be covered by the warranty 
provisions mentioned above, and be approved before an 
approval is granted. The corresponding extract from the 
manual with respect to maintenance/replacements of the 
treatment  device(s),  and  to  the warranty conditions, 
must be included in the information document as set out 
in annex II to this Directive. 

4 .2 

Specifications concerning the emissions of pollutants 

The gaseous and particulate components emitted by the 
engine submitted  for testing shall be measured by the 

50 

methods described in Annex V. 

Other  systems  or  analyzers  may  be  accepted  if «.they 
yield  equivalent  results  to  the  following  reference 
systems: 

for gaseous emissions measured in the raw exhaust, 
the system shown .in Figure 2 of Annex V; 

for  gaseous  emissions  measured  in  the  dilute 
exhaust of a full flow dilution system, the system 
shown in Figure 3  of Annex V; 

for particulate emissions, the full flow dilution 
system, operating  either with a separate  filter 
for each mode or with the. single  filter method, 
shown in Figure 13 of Annex V. 

The determination of system equivalency shall be based 
upon a seven test cycle  (or larger) correlation study 
between the system under consideration and one or more 
of the above reference systems. 

The equivalency criterion is defined as a ± 5% agree 
ment of the averages of the weighted  cycle emissions 
values.  The cycle to be used shall be that given in 
Annex III, paragraph 3.6.1. 

For introduction of a new system into the Directive the 
determination of equivalency  shall be based upon the 
calculation  of repeatability  and  reproducibility,  as 
described in ISO 5725. 

4.2.1 

The emissions of the carbon monoxide, the emissions of 
hydrocarbons, the emissions of the oxides of nitrogen 
and the emissions  of particulates  obtained  shall for 
Stage I not exceed the amount shown in the table below: 

Net  Power 

V) 

(kW) 
130 < P<  560 

75  < P<  130 

3 7 < P < 75 

Carbon  Mon 
oxide 
(CO) 
(g/kWh) 

Hydrocarbons 

(HC) 
(g/kWh) 

Oxides  of 
Nitrogen 
(NOJ 
(g/kWh) 

Particulates 

(PT) 
(g/kWh) 

5,0 

5,0 

6,5 

1,3 

1,3 

1,3 

9,2 

9,2 

9,2 

0,54 

0,70 

0,85 

4.2.2 

The  emission  limits  given  in  paragraph  4.2.1.  are 
engine-out  limits  and  shall  be  achieved  before  any 
exhaust after-treatment device. 

51 

4.2.3 

The emissions of the carbon monoxide, the emissions of 
hydrocarbons,- the emissions of the oxides of nitrogen 
and  the emissions of particulates  obtained  shall for 
Stage  II  not  exceed  the  amount  shown  in  the  table 
below: 

Net  Power 

Carbon  Monoxide 

Hydrocarbons 

(P) 
(kW) 

(CO) 
(g/kWh) 

- 

(HC) 
(g/kWh) 

Oxides of 
Nitrogen 
(NOJ 
(g/kWh) 

Particulates 

(PT) 
(g/kWh) 

130 < P<  560 

75  < P<  130 

3 7 < P < 75 

18 < P<  37 

3,5 

5,0 

5,0 

5,5 

1,0 

1,0 

1,3 

1,5 

7,0 

7,0 

8,0 

8,5 

0,2 

0,3 

0,4 

0,8 

4.2.4 

Where, as defined according to section 6 in conjunction 
with Annex  II, Appendix  2, one  engine  family  covers 
more  than one power band, the emission values of the 
parent engine  (type approval) and of all engine types 
within  the  same  family  (COP)  must  meet  the  more 
stringent  requirements of  the higher power band. The 
applicant  has  the  free  choice  to  restrict  the 
definition of engine families  to single power bands, 
and to correspondingly apply for certification. 

4.3 

Installation on the mobile machinery 

4.3.1 

4.3.2 

5 

5.1 

The engine installation on the mobile machinery shall 
comply with the restrictions  set out in the scope of 
the type-approval. Additionally the following charac 
teristics  in  respect  to  the  approval  of  the  engine 
always must be met: 

Intake depression shall not exceed that specified for 
the  approved  engine  in  Annex  II,  Appendix  1  or  3 
respectively. 

Exhaust back pressure shall not exceed that specified 
for the approved engine in Annex  II, Appendix  1 or 3 
respectively. 

SPECIFICATION OF CONFORMITY OF PRODUCTION ASSESSMENTS 

With  regard  to the verification  of  the  existence  of 
satifactory  arrangements  and procedures  for  ensuring 
effective  control  of  production  conformity  before 
granting  type-approval,  the  approval  authority  must 
also  accept  the  manufacturer's  registration  to 
harmonized  standard EN 29002  (whose scope covers the 

52 

engines  concerned)  or. an  equivalent  accreditation 
standard  as  satisfying  the  requirements.  The 
manufacturer must provide details of the registration 
and undertake to inform the approval authority of any 
revisions to its validity or scope. In order to verify 
that the requirements of paragraph 4.2 are continuously 
met,  suitable  controls  of  the  production  shall  be 
carried out. 

5.2 

The holder of the approval shall in particular: 

5.2.1  *  ensure  existence  of  procedures  for  the  effective 

control of the quality of the product; 

5.2.2 

5.2.3 

5.2.4 

5.2.5 

5.3 

5.3.1 

5.3.2 

have  access  to  the  control  equipment  necessary  for 
checking the conformity to each approved type; 

ensure that data of test results are recorded and that 
annexed documents shall remain available for a period 
to  be  determined  in  accordance  with  the  approval 
authority; 

analyses the results of each type of test, in order to 
verify and ensure the stability of the engine charac-
. teristics,  making  allowance  for  variations  in  the 

industrial production process; 

ensure  that  any  sampling  of  engines  or  components 
giving evidence of non-conformity with the type of test 
considered  shall  give  rise  to  another  sampling  and 
another test. All the necessary steps shall be taken to 
re-establish  the  conformity  of  the  corresponding 
production. 

The competent authority which has granted approval may 
at  any  time  verify  the  conformity  control  methods 
applicable to each production unit. 

In  every  inspection,  the  test  books  and  production 
survey  record  shall  be  presented  to  the  visiting 
inspector. 

When the quality level appears unsatisfactory or when 
it seems necessary to verify the validity of the data 
presented in application of paragraph 4.2, the follow 
ing procedure is adopted: 

5.3.2.1  An engine is taken from the series and subjected to the 
test  described  in  Annex  III.  The  emissions  of  the 
carbon monoxide, the emissions of the hydrocarbons, the 
emissions of the oxides of nitrogen and the emissions 
of particulates obtained  shall not exceed the amounts 
shown in the table in paragraph  4.2.1, subject to the 
requirements of paragraph 4.2.2, or those shown in the 
table in paragraph 4.2.3  respectively. 

5.3.2.2  If the engine taken  from the series does not satisfy 

53 

the requirements of paragraph 5.3.2.1 the manufacturer 
may ask for measurements to be performed on a sample of 
engines of the same specification taken from the series 
and including the engine originally taken. The manufac 
turer  shall  determine  the  size  n  of  the  sample  in 
agreement  with  the  technical  service.  Engines  other 
than the engine originally taken shall be subjected to 

a test. The arithmetical mean 
of the results 
obtained with the sample shall then be determined for 
each pollutant. The production of the series shall then 
be deemed to confirm if the following condition is met: 

(x) 

x  +  k-St  £  L  (l) 

where: 

L 

is  the  limit  value  laid  down  in  paragraph 
4.2.1./4.2.3. for each pollutant considered; 

is a statistical factor depending on n and given 
in the following table: 

n 

k 

n 

k 

2 

3 

4 

5 

6 

7 

8 

9 

10 

0.973 

0.613 

0.489 

0.421 

0.376 

0.342 

0.317 

0.296 

0.279 

11 

12 

13 

14 

15 

16 

17 

18 

19 

0.265 

0.253 

0.242 

0.233 

0.224 

0.216 

0.210 

0.203 

0.198 

if  n  z 20, 

k =  0.860 

5.3.3 

5.3.4 

The  approval  authority  or  the  technical  service 
responsible for verifying the conformity of production 
shall carry out tests on engines which have been run-in 
the 
partially 
manufacturer's specifications. 

completely, 

according 

or 

to 

The normal frequency of inspections authorized by the 
competent  authority  shall be  1 per  year.  If the re 
quirements of paragraph 5.3.2 are not met, the compet 
ent authority shall ensure that all necessary steps are 
taken to re-establish the conformity of production as 
rapidly as possible. 

n-l 

(') 

where  x  is anv  one  of  the  individual  results  obtained  with  the  sample  n 

54 

6 

PARAMETERS DEFINING THE ENGINE FAMILY 

The  engine  family  may  be  defined  by  basic  design 
parameters which must be common to engines within the 
family.  In  some  cases  there  may  be  interaction  of 
parameters.  These  effects  must  also  be  taken  into 
consideration to ensure that only engines with similar 
exhaust emission characteristics are included .within an 
engine family. 

In order that.engines may be considered to belong to 
the  same  engine  family,  the  following  list of basic 
parameters must be common: 

6.1 

Combustion cycle: 

2 cycle 
4 cycle 

6.2 

Cooling medium: 

air 
water 
oil 

6.3 

Individual cylinder displacement: 

engines to be within a total spread of 15%. 
number of cylinders for engines with after-
treatment device 

6.4 

Method of air aspiration: 

naturally aspirated 
pressure charged 

6.5 

Combustion chamber type/design: 

pre-chamber 
swirl chamber 
open chamber 

6.6 

Valve and porting - configuration, size and number: 

cylinder head 
cylinder wall 
crankcase 

6.7 

Fuel system: 

pump-line-injector 
in-line pump 
distributor pump 
single element 
unit injector 

55 

6.8 

Miscellaneous  features: 

exhaust  gas  recirculation 
water 
injection/emulsion 
a ir 
charge  cooling  system 

injection 

6.9 

Exhaust  after-treatment 

oxidation catalyst 
reduction catalyst 
thermal reactor 
particulates trap 

7 

7.1 

CHOICE OF THE PARENT ENGINE 

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 author 
ity may select an additional engine for test based upon 
features which indicate that  it may have the highest 
emission levels of the engines within that family. 

7.2 

If engines within the family incorporate other variable 
features which could be  considered  to affect exhaust 
emissions, these features must also be identified and 
taken  into  account  in  the  selection  of  the  parent 
engine. 

56 

ANNEX  II 

INFORMATION  DOCUMENT No... 

relating  to  EEC type-approval  and referring to measures to  be taken against the emission of 
gaseous and particulate  pollutants  from internal  combustion engines  to  be installed in non 
road mobile  machinery 

(Directive 95/.../EEC as last amended by Directive  ../.../EEC) 

Parent-  (') 

Engine  type: 

0. 

0.1. 

0.2. 

0.3. 

0.4. 

0.5. 

General 

Make (name of undertaking): 

Type and commercial description of the parent- and (if applicable) of the family 

enginefsX1): 

Manufacturer's type coding as marked on the engine(s)(l): 

Specification  of machinery to be propelled by the engine (2): 

Name and address of manufacturer: 

Name and address of manufacturer's authorized representative (if any): 

0.6. 

Location, coding and method of affixing  of the engine identification  number : 

0.7. 

Location and method of affixing  of the EEC approval mark  : 

0.8 

Address(es) of assembly  plant(s)  : 

( •) 

Delete as appropriate 

As defined in Annex  I, section i  (e.g.: "A") 

57 

Attachments 

Essential  characteristics  of  the  parent  engine(s) 

(see  Appendix  1) 

Essential  characteristics  of  the  engine  family 

(see  Appendix  2) 

Essential  characteristics of  engine types  within  the family 

(see Appendix  3) 

Characteristics  of  engine-related  parts  of  the  mobile  machinery  (if  applicable) 

Photographs  of the parent  engine 

List  further  attachments  if  any 

1.1. 

1.2. 

1.3. 

2. 

3. 

4. 

Date,  File 

58 

mm 

mm 

cm3 

Appendix  1 

ESSENTIAL CHARACTERISTICS  OF THE (PARENT)  ENGINE (l) 

1. 

1.1. 

1.2. 

1.3. 

1.4. 

1.5. 

1.6. 

1.7. 

1.8. 

1.9. 

1.10. 

1.11. 

1.12. 

1.13. 

114. 

Description  of  engine 

Manufacturer: 

Manufacturer's  engine  code: 

Cycle:  four  stroke /  two  stroke (2) 

Bore: 

Stroke: 

Number  and  layout  of  cylinders: 

Engine  capacity: 

Rated speed:  . 

Maximum  torque  speed: 

Volumetric  compression  ratio  (3): 

Combustion  system  description: 

Drawing(s)  of  combustion  chamber  and  piston  crown 

Minimum  cross  sectional  area  of  inlet  and  outlet  ports: 

Cooling  system 

1.14.1. 

Liquid 

1.14.1.1. 

Nature  of  liquid: 

1.14.1.2. 

Circulating  pump(s): yes/no (2) 

(1) 

(2) 

(3) 

For the  case  of several  parent engines  to  be submitted  tor each  of them 

Strike out what does  not apply 

Specify  the tolerance 

59 

1.14.1.3. 

Characteristics  or make(s)  and type(s)  (if  applicable): 

1.14.1.4. 

Drive  ratio(s)  (if  applicable): 

1.14.2. 

Air 

1.14.2.1. 

Blower:  yes/no  (') 

1.14.2.2. 

Characteristics  or make(s)  and type(s)  (if  applicable): 

1.14.2.3. 

Drive  ratio(s)  (if  applicable): 

115. 

Temperature  permitted by the  manufacturer 

1.15.1. 

• Liquid  cooling:  Maximum temperature  at outlet: 

1.15.2. 

Air  cooling:  Reference  point: 

Maximum  temperature  at reference  point: 

1.15.3. 

1.15.4. 

1.15.5. 

1.16. 

Maximum  charge  air outlet temperature  of  the  inlet  intercooler 
(if  applicable): 

Maximum  exhaust temperature  at the point  in the  exhaust  pipe(s) 
adjacent  to the outer flange(s)  of  the  exhaust  manifold(s): 

Lubricant  temperature:  min: 
max: 

Pressure  charger: yes/no  (1) 

1.16.1. 

Make: 

1.16.2. 

Type: 

K 

K 

K 

K 

K 
K 

1.16.3. 

Description  of  the system  (e.g.  max  charge  pressure,  waste-gate, 
if  applicable): 

1.16.4. 

Intercooler:  yes/no (!) 

1.17. 

1.18. 

2. 

Intake  system:  Maximum  allowable  intake  depression  at rated  engine 
speed  and at  100% load: 

kPa 

Exhaust  system:  Maximum  allowable  exhaust  backpressure at 
rated  engine  speed  and at  100% load: 

kPa 

Additional  anti-pollution devices (if any, and if not covered by another heading) 
-  Description  and/or diagram(s): 

(  ') 

Strike  oui  what  docs  not  apply. 

60 

3. 

3.1. 

Fuel  feed 

Feed  pump 

Pressure  (')  or  characteristic  diagram: 

kPa 

3.2. 

Injection  system 

3.2.1. 

Pump 

3.2.1.1. 

Make(s): 

3.2.1.2. 

Type(s): 

3.2.1.3. 

Delivery: 
speed  of: 

and 

mm3  (1)  per  stroke  or  cycle  at  full  injection  at  pump 
rpm  (max.  torque)  respectively,  or 

rpm  (rated)  and 

characteristic  diagram. 

Mention  the  method  used:  On  engine/on  pump  bench  (2) 

3.2.1.4. 

Injection  advance 

3.2.1.4.1. 

Injection  advance  curve  (1)  : 

3.2.1.4.2. 

Timing  (1)  : 

3.2.2. 

Injection  piping 

3.2.2.1. 

Length: 

3.2.2.2. 

Internal  diameter: 

3.2.3. 

Injector(s) 

3.2.3.1. 

Make(s): 

3.2.3.2. 

Type(s): 

mm 

mm 

3.2.3.3. 

Opening  pressure  (1)  or  characteristic  diagram: 

kPa 

3.2.4. 

Governor 

3.2.4.1. 

Make(s): 

3.2.4.2. 

Type(s): 

(  ') 

(  ") 

Specify  the  tolerance. 

Strike  out  what  does  not  apply. 

61 

3.2.4.3. 

Speed  at  which  cut-off  starts  under  full  load  (1): 

3.2.4.4. 

Maximum  no-load  speed  (')  : 

3.2.4.5. 

Idling  speed  (1)  : 

rpm 

rpm 

rpm 

3.3. 

3.3.1. 

3.3.2. 

3.3.3. 

4. 

4.1. 

4.2. 

Cold  Start  System 

Make(s): 

Type(s): 

Description: 

Valve  timing 

Maximum  lift  and  angles  of  opening  and  closing  in  relation  to  dead 
centres  or  equivalent  data: 

Reference  and/or  setting  ranges (:) 

(  ') 

(  :) 

Specify  the  tolerance. 

Strike  out  what  does  not  apply. 

62 

Appendix  2 

ESSENTIAL CHARACTERISTICS  OF THE ENGINE FAMILY 

1. 

Common  parameters  (') : 

1.1. 

1.2. 

1.3. 

1.4. 

.1.5. 

1.6. 

1.7. 

Combustion  cycle: 

Cooling  medium: 

Method  of  air  aspiration: 

Combustion  chamber  type/design: 

Valve  and  porting  - configuration,  size  and  number: 

Fuel  system: 

Engine  management  systems: 

Proof  of  identity  pursuant  to  drawing  number(s): 

charge  cooling  system: 
exhaust  gas recirculation  (2): 
water  injection/emulsion  (2): 
air  injection  (2): 

1.8. 

Exhaust  after-treatment  system  (2): 

Proof  of  identical  (or lowest for  the parent  engine)  ratio:  system  capacity  /  fuel 
delivery  per  stroke,  pursuant  to  diagram  number(s)  : 

(  l) 

To  be  completed  in  conjunction  with  the  specifications  given  in 
section  6 and 7 of Annex I 

( -) 

If not applicable mark n.a. 

63 

ENGINE FAMILY  LISTING 

Name of  Engine  family  : 

Specification  of  engines  within  this  family: 

2.1. 

2.2. 

Engine  Type 

No.  of  cylinders 

Rated  Speed 

(rprn) 

Fuel  delivery  per  stroke 
(mm3) 

Rated  Net Power  (kW) 

Maximum  Torque 
Speed 

(rpm) 

Fuel  delivery  per  stroke 
(mm3) 

Maximum  Torque 

(Nm) 

Low  Idle  Speed 

(rpm) 

Cylinder  displacement 
(in  % of  parent  engine) 

Parent 
Engine (*) 

100 

For full details see Appendix 1 

R4 

Appendix  3 

ESSENTIAL  CHARACTERISTICS  OF  ENGINE  TYPE  WITHIN  THE 
FAMILY  (') 

mm 

mm 

cm3 

1. 

1.1. 

1.2. 

1.3. 

1.4. 

1.5. 

1.6. 

1.7. 

1.8. 

1.9. 

1.10. 

1.11. 

1.12. 

1.13. 

1.14. 

Description  of  engine 

Manufacturer: 

Manufacturer's  engine  code: 

Cycle:  four  stroke  /  two  stroke (2) 

Bore: 

Stroke: 

Number  and  layout  of  cylinders: 

Engine  capacity: 

Rated  speed: 

Maximum  torque  speed: 

Volumetric  compression  ratio  (3): 

Combustion  system  description: 

Drawing(s)  of  combustion  chamber  and  piston  crown 

Minimum  cross  sectional  area  of  inlet  and  outlet  ports: 

Cooling  system 

1.14.1. 

Liquid 

1.14.1.1. 

Nature  of  liquid: 

1.14.1.2. 

Circulating  pump(s):  yes/no (2) 

(  ') 

(  2) 

(  3) 

To  be  submitted  tor  each  engine  of  the  family 

Strike  out  what  does  not  apply 

Specify  the  tolerance 

65 

1.14.1.3. 

Characteristics  or  make(s)  and  type(s)  (if  applicable): 

1.14.1.4. 

Drive  ratio(s)  (if  applicable): 

1.14.2. 

Air 

1.14.2.1. 

Blower:  yes/no  (') 

1.14.2.2. 

Characteristics  or  make(s)  and  type(s)  (if  applicable): 

1.14.2.3. 

Drive  ratio(s)  (if  applicable): 

. 

1.15. 

Temperature  permitted  by  the  manufacturer 

1.15.1. 

Liquid  cooling:  Maximum  temperature  at  outlet: 

1.15.2. 

Air  cooling:  Reference  point: 

Maximum  temperature  at  reference  point: 

1.15.3. 

1.15.4. 

1.15.5. 

1.16. 

Maximum  charge  air  outlet  temperature  of  the  inlet  intercooler 
(if  applicable): 

Maximum  exhaust  temperature  at  the  point  in  the  exhaust  pipe(s) 
adjacent  to  the  outer  flange(s)  of  the  exhaust  manifold(s): 

Lubricant  temperature:  min: 
max: 

Pressure  charger:  yes/no  (1) 

1.16.1. 

Make: 

1.16.2. 

Type: 

K 

K 

K 

K 

K 
K 

1.16.3. 

Description  of  the  system  (e.g.  max  charge  pressure,  waste-gate, 
if  applicable): 

1.16.4. 

Intercooler:  yes/no  (i) 

1.17. 

1.18. 

Intake  system:  Maximum  allowable  intake  depression  at  rated  engine 
speed  and  at  100% load: 

kPa 

Exhaust  system:  Maximum  allowable  exhaust  backpressure  at 
rated  engine  speed  and  at  100% load: 

kPa 

(  ') 

Strike  out  what  does  not  apply 

66 

2. 

3. 

Additional  anti-pollution  devices (if any, and if not covered  by another heading) 
-  Description  and/or  diagram(s): 

Fuel  feed 

3.1. 

Feed  pump 

Pressure  (*) or  characteristic  diagram: 

kPa 

3.2. 

Injection  system 

3.2.1. 

Pump 

3.2.1.1. 

Make(s): 

3.2.1.2. 

Type(s): 

3.2.1.3. 

and 

Delivery: 
speed  of: 
characteristic  diagram. 

mm3  (1)  per  stroke  or  cycle  at  full  injection  at  pump 
rpm  (max.  torque)  respectively,  or 

rpm  (rated)  and 

Mention  the  method  used:  On  engine/on  pump  bench  (2) 

3.2.1.4. 

Injection  advance 

3.2.1.4.1. 

Injection  advance  curve  (1)  : 

3.2.1.4.2. 

Timing  (,)  : 

3.2.2. 

Injection  piping 

3.2.2.1. 

Length: 

3.2.2.2. 

Internal  diameter: 

3.2.3. 

Injector(s) 

3.2.3.1. 

Make(s): 

3.2.3.2.  • 

Type(s): 

mm 

mm 

3.2.3.3. 

Opening  pressure  (1) or  characteristic  diagram: 

kPa 

(  ') 

(  ") 

Specify  the  tolerance. 

Strike  out  what  does  not  apply. 

67 

3.2.4. 

Governor 

3.2.4.1. 

Make(s): 

. . 

3.2.4.2. 

Type(s): 

3.2.4.3. 

Speed  at which  cut-off  starts under full  load  (1): 

3.2.4.4. 

Maximum  no-load speed (')  : 

3.2.4.5. 

Idling  speed  (I)  : 

rpm 

. rpm 

rpm 

3.3. 

3.3.1. 

3.3.2. 

3.3.3. 

4. 

4.1. 

4.2. 

Cold  Start System 

Make(s): 

Type(s): 

Description: 

Valve  timing 

Maximum  lift  and angles of  opening  and closing  in  relation  to dead 
centres  or equivalent  data: 

/ 

2> 
Reference  and/or setting  ranges ( ) 

(  ') 

(  :) 

Specify  the  tolerance. 

Strike  out  what  does  not  apply. 

68 

ANNEX  III 

TEST  PROCEDURE 

Introduction 

1.1. 

1.2. 

2. 

2.1. 

2.2. 

2.2.1. 

This  Annex  describes  the  method  of  determining  emissions  of  gaseous  and 
particulate  pollutants  from  the  engines  to  be  tested. 

The  test  shall  be  carried  out  with  the  engine  mounted  on  a  test  bench  and 
connected  to  a  dynamometer. 

Test Conditions 

General  Requirements 

All  volumes  and  volumetric  flow  rates  shall  be  related  to  273K  (0°C)  and 
101.3  kPa. 

Engine  Test  Conditions 

The  absolute  temperature  Ta of  the  engine  intake  air  expressed  in  Kelvin,  and 
the  dry  atmospheric  pressure  ps,  expressed  in  kPa,  shall  be  measured,  and  the 
parameter fa shall  be  determined  according  to  the  following  provisions: 

Naturally  aspirated  and  mechanically  supercharged  engines: 

Turbocharged  engine  with  or  without  cooling  of  the  intake  air: 

Mif-i^r 

2.2.2. 

Test  Validity 

For  a test  to  be  recognised  as valid,  the  parameter fa shall  be  such  that: 

0.9  8  <  fa  <  1.02 

2.2.3. 

Engines  with  Charge  Air  Cooling 

The  temperature  of  the  cooling  medium  and  the  temperature  of  the  charge  air 
have  to  be  recorded. 

69 

2.3. 

Engine  Air Inlet  System 

The test engine shall be equipped with an air inlet system presenting an air inlet 
restriction  at  the  upper  limit  specified  by  the  manufacturer  for  a  clean  air 
cleaner  at  the  engine  operating  conditions  as  specified  by  the  manufacturer 
which  result in  maximum  air flow. 

A test shop system may be used, provided it duplicates actual  engine operating 
conditions. 

2.4. 

Engine  Exhaust  System 

The test engine shall be equipped with an exhaust system presenting an exhaust 
back  pressure  at the  upper  limit  specified  by  the  manufacturer  for  the  engine 
operating  conditions  which  result  in  maximum  declared power. 

2.5. 

Cooling  System 

An  engine  cooling  system  with  sufficient  capacity  to  maintain  the  engine  at 
normal  operating  temperatures  prescribed  by the  manufacturer. 

2.6. 

Lubricating  Oil 

Specifications  of  the  lubricating  oil  used  for  the  test  shall  be  recorded  and 
presented with the results of  the test. 

2.7. 

Test Fuel 

The fuel  shall  be the  reference  fuel  specified  in  Annex  IV. 

The cetane  number  and the  sulphur  content  of  the  reference  fuel  used for test 
shall  be  recorded  at paragraph  5.1.  of  Annex  II, Appendix  1. 

The fuel  temperature at the injection  pump inlet shall be 306-316 K (33-43°C). 

2.8. 

Determination  of  dynamometer  settings 

The settings of  inlet restriction  and exhaust pipe backpressure shall be adjusted 
to the manufacturer's  upper limits, in accordance with  paragraphs 2.3. and 2.4. 

The maximum torque values at the specified  test speeds shall  be determined by 
experimentation  in  order  to  calculate  the  torque  values  for  the  specified  test 
modes.  For engines  which  are not  designed  to  operate  over  a speed  range on 
a  full  load  torque  curve,  the  maximum  torque  at  the  test  speeds  shall  be 
declared  by  the  manufacturer. 

The engine  setting  for  each  test  mode  shall  be  calculated  using  the formula: 

S  = ( ( iV  p« >xT r J ô)  ~  PA* 

70 

If  the  ratio, 

PAE 
-^ 

z 

0 . 03 

the  value  of  PAE  may  be  verified  by  the  technical  authority  granting  type 
approval. 

3 

3.1. 

Test Run 

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 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  re-
weighed  before  use. 

3.2. 

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. 

3.3. 

Starting  the  Dilution  System  and  Engine 

The  dilution  system  and  the  engine  shall  be  started  and  warmed  up  until  all 
temperatures  and  pressures  have  stabilised  at  full  lead  and  rated  speed 
(paragraph  3.6.2). 

3.4. 

Adjustment  of  the  Dilution  Ratio 

The particulate sampling  system  shall  be started  and  running on  bypass for  the 
single  filter  method  (optional  for  the  multiple  filter  method).  The  particulate 
background  level  of the dilution  air  may  be  determined  by  passing  dilution  air 
through  the particulate  filters.  If  filtered  dilution  air  is  used, one  measurement 
may  be done at any time prior to, during, or  after  the test.  If the dilution  air is 
not  filtered,  measurements  at  a  minimum  of  three  points,  after  the  starting, 
before  the  stopping,  and  at  a point  near  the  middle  of  the  cycle,  are  required, 
and  the  values  averaged. 

The  dilution  air  shall  be  set  to  obtain  a  maximum  filter  face  temperature  of 
325  K (52°C)  or  less  at  each  mode.  The  total  dilution  ratio  shall  not  be  less 
than  four. 

For  the  single  filter  method,  the  sample  mass  flow  rate through  the filter  shall 
be  maintained  at  a constant proportion  of  the  dilute  exhaust  mass flow  rate  for 

71 

full  flow  systems for all modes.  This  mass  ratio  shall  be within  ±5%,  except 
for  the first 10 seconds  of  each  mode  for systems  without  bypass  capability. 
For partial  flow  dilution  systems  with  single  filter  method, the mass flow rate 
through the filter shall be constant within ±5% during each mode, except for the 
first 10 seconds of each mode for systems  without  bypass capability. 

For C02  or NOx  concentration  controlled  systems, the C02  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  C02  or NOx  concentration  measurements of 
the dilution  air must be within  100 ppm or 5 ppm of each  other, respectively. 

When  using  a  dilute  exhaust  gas  analysis  system,  the  relevant  background 
concentrations shall be determined by sampling dilution air into a sampling bag 
over the complete test sequence. 

Continuous (non bag) background concentration  may be taken at the minimum 
of three points, at the beginning  at the end, and a point near the middle of the 
cycle  and averaged.  At the manufacturers  request  background  measurements 
may  be omitted. 

3.5. 

Checking the Analyzers 

3.6. 

3.6.1. 

3.6.1.1. 

The emission  analyzers  shall  be set at zero  and spanned. 

Test  Cycle 

Specification  A of machinery  according to Annex I, Section  1 : 

The following  8-mode  cycle(1)  shall be followed  in dynamometer operation on 
the test engine: 

Mode  Number 

Engine  Speed 

Percent  Load 

Weighting  Factor 

1 

2 

3 

4 

5 

6 

7 

8 
' 

' 

Rated 

Rated 

Rated 

Rated 

Intermediate 

Intermediate 

Intermediate 

Idle 

' 

3.6.2. 

Conditioning  of the Engine 

100 

75 

50 

10 

100 

75 

50 

-

0.15 

0.15 

0.15 

0.1 

0.1 

0.1 

0.1 

0.15 

Warming  up of  the engine  and the system  shall  be at maximum  speed and 

Identical with Cl cycle of the draft  ISO 8178-4  Standard 

72 

torque in order to stabilise the engine parameters according to the recommenda 
tions of  the  manufacturer. 

Note: 

The  conditioning  period  should  also  prevent  the  influence  of  deposits  from  a 
former, test in the exhaust system. There is also a required period of stabilisation 
between  test  points  which  has  been  included  to  minimise  point  to  point 
influences. 

3.6.3. 

Test  Sequence 

The test sequence  shall be started.  The test shall be performed  in the order of 
the mode  numbers  as set out  above  for the test  cycle. 

During  each  mode  of  the  test  cycle  after  the  initial  transition  period,  the 
specified  speed shall be held to within ±1% of rated speed or iSmin"1 whichever 
is  greater except  for  low idle which  shall  be  within the tolerances  declared by 
the manufacturer.  The specified  torque  shall  be  held so  that the  average over 
the period during which the measurements are being taken is within ±2% of the 
maximum  torque  at the test speed. 

For each  measuring point  a minimum time  of  ten minutes  is necessary.  If for 
the  testing  of  an  engine  longer  sampling  times  are  required  for  reasons  of 
obtaining sufficient particulate mass on the measuring filter the test mode period 
can be  extended  as necessary. 

The  mode  length  shall  be recorded  and reported. 

The  gaseous  exhaust  emission  concentration  values  shall  be  measured  and 
recorded  during the  last three minutes  of  the mode. 

The  particulate  sampling  and  the  gaseous  emission  measurement  should  not 
commence  before engine stabilisation, as defined  by the manufacturer has been 
achieved  and their  completion  must be  coincident . 

The  fuel  temperature  shall  be  measured  at the  inlet to  the fuel  injection  pump 
or as specified  by the manufacturer,  and the location of measurement recorded. 

3.6.4. 

Analyzer  Response 

The  output  of  the  analyzers  shall  be  recorded  on  a  strip  chart  recorder  or 
measured  with  an  equivalent  data  acquisition  system  with  the  exhaust  gas 
flowing  through  the  analyzers  at  least  during  the  last  three  minutes  of  each 
mode.  If bag sampling is applied for the diluted CO and CO. measurement (see 
Annex  III,  Appendix  1, paragraph  1.4.4),  a sample  shall  be  bagged  during the 
last three  minutes  of  each  mode,  and the^bâg' sample  analyzed  and recorded. 

73 

3.6.5. 

Particulate  Sampling 

The  particulate  sampling  can  be  done  either  with  the  single  filter  method  or 
with  the  multiple  filter  method  (Annex  III,  Appendix  1,  paragraph  1.5). 
Since the  results of  the methods may  differ  slightly,  the  method  used must be 
declared with the results. 

For  the  single filter method  the  modal  weighting  factors  specified  in  the test 
cycle procedure shall be taken into account during sampling by adjusting sample 
flow  rate and/or sampling time,  accordingly. 

Sampling  must  be  conducted  as  late  as  possible  within  each  mode.  The 
sampling time per mode must be at least 20  second for the single filter method 
and at least 60 seconds for the multi-filter method.  For systems without bypass 
capability,  the  sampling  time  per  mode  must  be  a least  60  seconds  for  single 
and multiple filter methods. 

3.6.6. 

Engine  Conditions 

The engine speed and load, intake air temperature, fuel  flow  and air or exhaust 
gas flow  shall  be measured for each mode once the engine  has been stabilised. 

If the measurement of the exhaust gas flow  or the measurement  of  combustion 
air and fuel  consumption  is not possible,  it  can  be  calculated  using the carbon 
and oxygen  balance  method  (see  Annex  III, Appendix  1, paragraph  1.2.3). 

Any  additional  data required for  calculation  shall  be  recorded  (see  Annex  IE, 
Appendix  3, paragraphs  1.1  and  1.2). 

3.7. 

Re-checking the  Analyzers 

After  the  emission  test  a zero  gas  and the  same  span  gas  will  be  used for re-
checking.  The test will  be considered acceptable  if the difference  between the 
two  measuring  results is less than 2%. 

74 

1. 

Measurement  and Sampling  Procedures 

Appendix 1 

Gaseous and particulate components emitted by the engine submitted for testing 
shall  be  measured  by  the  methods  described  in  Annex  V.  The  methods  of 
annex V describe the recommended analytical systems for the gaseous emissions 
(paragraph 1.1)  and the recommended particulate dilution and sampling systems 
(paragraph  1.2). 

1.1. 

Dynamometer  Specification 

An engine dynamometer with adequate characteristics to perform the test cycle 
described in Annex III, paragraph 3.6.1  shall be used.  The instrumentation for 
torque and speed measurement shall  allow the measurement of the shaft power 
within  the given  limits.  Additional  calculations  may  be necessary. 

The  accuracy  of  the  measuring  equipment  must  be  such  that  the  maximum 
tolerances of  the figures given  in paragraph  1.3  are not  exceeded. 

12. 

Exhaust Gas Flow 

The exhaust gas flow  shall  be determined by one of the methods mentioned in 
paragraphs  1.2.1  to  1.2.4. 

1.2.1. 

Direct  Measurement Method 

Direct measurement of the exhaust flow  by flow nozzle or equivalent  metering 
system  (for  detail  see  ISO  5167). 

Note: 

Direct gaseous flow  measurement is a difficult  task.  Precautions must be taken 
to  avoid  measurement  errors which  will  impact emission  value errors. 

1.2.2. 

Air  and Fuel  Measurement  Method 

Measurement  of  the air flow  and the fuel  flow. 

Air flowmeters  and fuel  flowmeters  with  an accuracy  defined  in paragraph  1.3 
shall  be used. 
The  calculation  of  the  exhaust  gas flow  is  as follows: 

GFYHW  = GAT™  + GVTIFT 

(f°r 

wet 

exhaust 

mass) 

or: 

VFxm  =  VATRD  ~  0.7 66  x  GFUEL  {for  dry  exhaust 

volume) 

75 

or: 

VEXHW  =  VAIRW

  +  0.1  A6  x  GFUEL  {for  wet  exhaust 

volume) 

1.2.3. 

Carbon  Balance Method 

Exhaust mass calculation from fuel consumption and exhaust gas concentrations 
using  the carbon balance  method  (see  Annex III,  Appendix  3). 

1.2.4. 

Total  Dilute  Exhaust  Gas  Flow 

When  using  a  full  flow  dilution  system,  the  total  flow  of  the  dilute  exhaust 
(GT0TW  , VT0TW) shall  be  measured  with  a PDP or  CFV  -  Annex  V,  paragraph 
1.2.1.2.  The accuracy  shall  conform  to the provisions  of  Annex  III, Appendix 
2,  paragraph 2.2. 

1.3. 

Accuracy 

The  calibration  of  all  measurement  instruments  shall  be  traceable  to  national 
(international)  standards  and comply  with  the following  requirements: 

Number 

Item 

Permissible 
Deviation 
(±  Values  based 
on  Engines 
Maximum 
Values) 

Permissible 
Deviation 
(±  Values  Accor 
ding  to  ISO 
3046) 

Calibration  Intervals 
(Months) 

3 

3 

not  applicable 

6 

not  applicable 

6 

6 

3 

3 

3 

3 

3 

3 

3 

2% 

2% 

3% 

3% 

3% 

5% 

not  applicable 

2K 

2K 

5% 

5% 

15K 

2K 

0.5% 

Engine  Speed 

Torque 

Power 

Fuel  Consumption 

2% 

2% 

2%  * 

2%  • 

Specific  Fuel  Consumption 

not  applicable 

1 

2 

3 

4 

5 

6 

7 

8 

9 

Air  Consumption 

Exhaust  Gas  Flow 

Coolant  Temperature 

Lubricant  Temperature 

10 

Exhaust  Gas  Pressure 

11 

Inlet  Manifold  Depressions 

12 

13 

Exhaust  Gas  Temperature 

Air  Inlet  Temperature  (Combus 
tion  Air) 

14 

Atmospheric  Pressure 

2% 

• 

4% 

• 

2K 

2K 

5% 
of  max 

5% 
of  max 

15K 

2K 

0.5% 
of  reading 

76 

15 

16 

17 

18 

Intake  Air  Humidity  (Relative) 

Fuel  Temperature 

Dilution  Tunnel  Temperatures 

Dilution  Air  Humidity 

3% 

2K 

1.5K 

3% 

not  applicable 

5K 

not  applicable 

not  applicable 

1 

3 

3 

1 

19 

Diluted  Exhaust  Gas  Flow 

2%  of  reading 

not  applicable 

24  (Partial  flow)  (full 
flow)  ** 

Key: 

The  calculations  of the  exhaust  emissions  as  described  in  this  Directive  are, in 
some  cases,  based  on  different  measurement  and/or  calculation  methods. 
Because  of  limited  total  tolerances  for  the  exhaust  emission  calculation,  the 
allowable  values  for  some  items,  used  in  the  appropriate  equations,  must  be 
smaller  than  the  allowed  tolerances  given  in  ISO  3046-3 

Full  flow  systems  -  The  CVS  positive  displacement  pump  or  critical  flow 
Venturi  shall  be  calibrated  following  initial  installation,  major  maintenance  or 
as necessary  when indicated by the CVS system verification  described in Annex 
V. 

1.4. 

1.4.1. 

Determination  of  the  Gaseous  Components 

General  Analyser  Specifications 

The  analysers  shall  have  a  measuring  range  appropriate  for  the  accuracy 
required  to  measure  the  concentrations  of  the  exhaust  gas  components 
(paragraph  1.4.1.1).  It is recommended  that the analysers be operated such that 
the  measured  concentration  falls  between  15% and  100% of  full  scale. 

If  the  full  scale  value  is  155  ppm  (or  ppm  C)  or  less  or  if  read-out  systems 
(computers,  data loggers)  that  provide  sufficient  accuracy  and  resolution  below 
15%  of  full  scale  are  used  concentrations  below  15% of  full  scale  are  also 
acceptable. 
In  this  case,  additional  calibrations  are to  be  made  to  ensure  the 
accuracy  of  the  calibration  curves  -  Annex  III,  Appendix  2, paragraph  1.5.5.2. 

The  electromagnetic  compatibility  (EMC)  of the  equipment  shall  be on  a level 
as to  minimise  additional  errors. 

1.4.1.1 

Measurement  Error 

The total  measurement  error,  including  the cross sensitivity  to other gases - see 
Annex  III,  Appendix  2,  paragraph  1.9  shall  not  exceed  ±5% of  the  reading  or 
3.5  %  of  full  scale,  whichever  is  smaller.  For  concentrations  of  less  than  100 
ppm  the  measurement  error  shall  not  exceed  ±  4 ppm. 

77 

1.4.1.2. 

Repeatability 

The  repeatability,  defined  as  2.5  times  the  standard  deviation  often  repetitive 
responses  to  a  given  calibration  or  span  gas,  must  be  no  greater  than  ±1% of 
full  scale concentration  for  each range used  above  155 ppm (or ppm C) or ±2% 
of  each  range  used  below  155 ppm  (or  ppm  C). 

1.4.1.3. 

Noise 

The  analyser  peak-to-peak  response  to zero  and  calibration  or  span gases  over 
any  ten  seconds  period  shall  not  exceed  2% of  full  scale  on  all  ranges  used. 

1.4.1.4. 

Zero  Drift 

The  zero  drift  during  a one  hour  period  shall  be  less than  2% of  full  scale  on 
the  lowest  range  used.  The  zero  response  is  defined  as  the  mean  response, 
including  noise, to  a zero  gas  during  a 30  seconds  time  interval. 

1.4.1.5. 

Span  Drift 

The  span  drift  during  a one  hour  period  shall  be  less  than  2% of  full  scale on 
the  lowest  range  used.  Span  is  defined  as  the  difference  between  the  span 
response  and  the  zero  response.  The  span  response  is  defined  as  the  mean 
response,  including  noise, to  a span  gas  during  a  30  seconds  time  interval. 

1.4.2. 

Gas  Drying 

The optional gas drying device must have a minimal  effect  on the concentration 
of  the  measured  gases.  Chemical  dryers  are  not  an  acceptable  method  of 
removing  water  from  the  sample. 

1.4.3. 

Analysers 

Paragraphs  1.4.3.1  to  1.4.3.5  of  this  Appendix  describe  the  measurement 
principles  to  be  used.  A  detailed  description  of  the  measurement  systems  is 
given  in  Annex  V. 

The  gases  to  be  measured  shall  be  analysed  with  the  following  instruments. 
For  non-linear  analysers, the  use of  linearising  circuits  is  permitted. 

1.4.3.1. 

Carbon  Monoxide  (CO)  Analysis 

The carbon monoxide analyser shall be of the Non-Dispersive Infra-Red (NDIR) 
absorption  type. 

1.4.3.2. 

Carbon  Dioxide  (CO:)  Analysis 

The  carbon  dioxide  analyser  shall  be of  the  Non-Dispersive  Infra-Red  (NDIR) 
absorption  type. 

78 

1.4.3.3. 

Hydrocarbon  (HC)  Analysis 

The  hydrocarbon  analyser  shall  be  of  the  Heated  Flame  Ionisation  Detector 
(HFID) type with detector, valves, pipework,  etc, heated so as to maintain a gas 
temperature  of  463K  (190°C) ±  10K. 

1.4.3.4. 

Oxides of  Nitrogen  (NO„)  Analysis) 

The  oxides  of  nitrogen  analyser  shall  be  of  the  ChemiLuminescent  Detector 
(CLD)  or Heated  ChemiLuminescent  Detector  (HCLD)  type  with  a  N02/NO 
converter,  if  measured on  a dry  basis. 
If  measured  on  a wet  basis,  a HCLD 
with converter maintained above 333K (60°C) shall be used, provided the water 
quench  check  (Annex  III, Appendix  2, paragraph  1.9.2.2)  is  satisfied. 

1.4.4. 

Sampling  for  Gaseous  Emissions 

The  gaseous  emissions  sampling  probes  must  be  fitted  at least  0.5m  or three 
times the  diameter of  the  exhaust  pipe  -  whichever  is  the  larger -  upstream of 
the exit of the exhaust gas system  as far as applicable  and sufficiently  close to 
the  eng'ine as to  ensure  an exhaust  gas temperature  of  at least  343K  (70°C) at 
the probe. 

In the  case  of  a multi-cylinder  engine  with  a branched  exhaust  manifold,  the 
inlet  of  the  probe shall  be  located  sufficiently  far  downstream  so  as to ensure 
that  the  sample  is  representative  of  the  average  exhaust  emissions  from  all 
cylinders.  In multi-cylinder  engines having  distinct groups of manifolds, such 
as in a 'V'-engine configuration, it is permissable to acquire a sample from each 
group individually  and calculate an average exhaust emission.  Other methods 
which have been shown to correlate with the above methods may be used.  For 
exhaust emissions calculation the total exhaust mass flow of the engine must be 
used. 

If  the  composition  of  the  exhaust  gas  is  influenced  by  any  exhaust  after-
treatment system, the exhaust sample must be taken downstream of this device. 
When  a full  flow  dilution  system  is  used  for the  determination  of  the particu 
lates, the gaseous emissions  may  also be determined in the diluted exhaust gas. 
The  sampling  probes  shall  be  close  to  the  particulate  sampling  probe  in the 
dilution tunnel (Annex V, paragraph  1.2.1.2, DT and paragraph  1.2.2, PSP).  CO 
and C02  may optionally  be determined  by  sampling into  a bag and subsequent 
measurement  of  the  concentration  in the  sampling bag. 

1.5. 

Determination  of  the  Particulates 

The determination of the particulates requires a dilution system.Dilution may be 
accomplished  by  a partial  flow  dilution  system  or a full  flow  dilution  system. 
The  flow  capacity  of  the  dilution  system  shall  be  large  enough  to  completely 
eliminate water condensation in the dilution and sampling systems, and maintain 
the temperature of the diluted exhaust gas at or below 325K (52°C) immediately 
upstream  of  the  filter  holders.  De-humidifying  the  dilution  air before  entering 

79 

the  dilution  system  is  permitted,  if  the  air humidity  is  high.  Dilution  air pre 
heating  above  the  temperature  limit  of  303K  (30°C)  is  recommended,  if  the 
ambient temperature is below 293K (20°C). However, the diluted air temperature 
must  not  exceed  325K  (52°C)  prior  to  the  introduction  of  the  exhaust  in  the 
dilution tunnel. 

For a partial flow dilution system, the particulate sampling probe must be fitted 
close to  and upstream  of the gaseous probe  as defined  in paragraph 4.4  and in 
accordance  with  Annex  V,  paragraph  1.2.1.1,  figures  4-12  EP and SP. 

The partial  flow  dilution  system  has to be designed to split the exhaust  stream 
into two fractions, the smaller one being diluted with air and subsequently  used 
for particulate measurement.  From that it is essential  that the dilution ratio be 
determined  very  accurately. 
Different  splitting  methods  can  be  applied, 
whereby the type of  splitting used dictates to a significant  degree the sampling 
hardware  and procedures to  be used  (Annex  V,  paragraph  1.2.1.1). 

To  determine  the  mass  of  the  particulates,  a  particulate  sampling  system, 
particulate  sampling  filters,  a  microgram  balance  and  a  temperature  and 
humidity  controlled  weighing  chamber  are required. 

For particulate  sampling,  two  methods  may  be applied: 

The Single Filter Method  uses one pair of filters  (see  paragraph  1.5.1.3  of 
this Appendix) for all modes of the test cycle.  Considerable attention must 
be paid to sampling times  and flows  during the sampling phase of the test. 
However,  only  one pair of  filters  will  be  required for the test  cycle. 

The Multiple  Filter Method  dictates that one pair of  filters  (see paragraph 
1.5.1.3.  of  this Appendix)  is  used  for  each of  the individual  modes  of  the 
test  cycle.  This  method  allows  more  lenient  sample procedures  but  uses 
more  filters. 

1.5.1. 

Particulate  Sampling  Filters 

1-5.1.1. 

Filter  Specification 

Fluorocarbon  coated glass  fibre  filters  or fluorocarbon  based  membrane  filters 
are  required  for  certification  tests.  For  special  applications  different  filter 
materials may be used.  All filter types shall have a 0.3  urn DOP (di-octylphtha-
late) collection  efficiency  of at least 95% at a gas face velocity  between  35 and 
'  80 cm/s.  When performing  correlation tests between  laboratories or between a 
manufacturer and an approval authority, filters of identical quality must be used. 

1.5.1.2. 

Filter  Size 

Particulate  filters  must  have  a  minimum  diameter  of  47mm  (37mm  stain 
diameter).  Larger diameter  filters  are  acceptable  (paragraph  1.5.1.5). 

R0 

1.5.1.3. 

Primary  and Back-up Filters 

The  diluted  exhaust shall  be sampled  by  a pair of filters placed  in series  (one 
primary  and one  back-up  filter)  during  the test  sequence.  The  back-up  filter 
shall  be  located  no  more  than  100mm  downstream  of,  and  shall  not  be  in 
contact  with the primary  filter.  The filters may  be weighed  separately  or as a 
pair with  the filters  placed stain side  to stain side. 

1.5.1.4. 

Filter Face  Velocity 

A  gas face  velocity  through the filter of  35  to  80  cm/s shall  be achieved. 

1.5.1.5. 

Filter  Loading 

The recommended minimum filter loading shall  be 0.5  mg/1075 mm2 stain area 
for the single filter method.  For the most common filter size the values are as 
follows: 

Filter  Diameter 
(mm) 
__ 

Recommended  Stain 
Diameter  (mm) 
__ 

Recommended  Minimum 
Loading  (mg) 
__ 

70 

90 

110 

60 

80 

100 

*—•—— 

— —— m —— 

— —— 

I 

— —— 

I 

1.3 

.  2.3 

3.6 
— . — — — » — —J 

For the multiple filter method, the recommended minimum filter loading for the 
sum  of  all filters shall  be the product  of  the  appropriate  value  above  and the 

• square  root of  the total  number of modes. 

1.5.2. 

Weighing  Chamber and Analytical  Balance  Specifications 

1.5.2.1. 

Weighing  Chamber Conditions 

The  temperature  of  the  chamber  (or  room)  in  which  the  particulate filters are 
conditioned  and  weighed  shall  be  maintained  to  within  295K  (22°C)  ±  3K 
during all filter conditioning and weighing.  The humidity  shall  be maintained 
to  a dewpoint  of  282.5  (9.5°C) ±  3K  and a relative  humidity  of  45  ± 8%. 

1.5.2.2. 

Reference  Filter  Weighing 

The chamber (or room) environment shall be free of  any ambient contaminants 
(such  as  dust)  that  would  settle  on  the  particulate  filters  during  their 
stabilisation.  Disturbances  to  weighing  room  specifications  as  outlined  in 
paragraph  1.5.2.1  will  be  allowed  if  the  duration  of  the  disturbances  does  not 
exceed 30 minutes.  The weighing room should meet the required  specifications 

81 

prior  to  personnel  entrance  into  the  weighing  room.  At  least  two  unused 
reference  filters  or  reference  filter  pairs  shall  be  weighed  within  four  hours  of, 
but preferably  at the same time as the sample  filter  (pair)  weighing.  They shall 
be the  same  size  and  material  as the  sample  filters. 

If  the  average, weight  of  the  reference  filters  (reference  filter  pairs)  changes 
between  sample filter weighing  by more than ±5% (±7.5% for the filter pair) of 
the  recommended  minimum  filter  loading  (paragraph  1.5.1.5), then  all  sample 
filters  shall  be  discarded  and  the  emissions  test  repeated. 

If the weighing  room  stability  criteria  outlined  in  paragraph  1.5.2.1 is not  met, 
but  the  reference  filter  (pair)  weighing  meet  the  above  criteria,  the  engine 
manufacturer  has  the  option  of  accepting  the  sample  filter  weights  or  voiding 
the tests, fixing  the  weighing  room  control  system  and  re-running  the test. 

1.5^2.3. 

Analytical  Balance 

The  analytical  balance  used  to  determine  the  weights  of  all  filters  shall  have a 
precision  (standard  deviation)  of  20ug  and  a  resolution  of  lOug  (1  digit  = 
lOug).  For  filters  less than  70mm  diameter,  the  precision  and  resolution  shall 
be  2ug  and  lug,  respectively. 

1.5.2.4. 

Elimination  of  Static  Electricity  Effects 

To eliminate  the effects  of static  electricity,  the  filters  shall be neutralised  prior 
to  weighing,  for  example,  by  a  Polonium  neutraliser  or  a  device  of  similar 
effect. 

1.5.3. 

Additional  Specifications  for  Particulate  Measurement 

All parts of the  dilution  system  and the  sampling  system  from  the exhaust pipe 
up  to  the  filter  holder,  which  are  in  contact  with  raw  and  diluted  exhaust  gas, 
must  be  designed  to  minimise  deposition  or  alteration  of  the  particulates.  All 
parts  must  be  made  of  electrically  conductive  materials  that  do  not  react  with 
exhaust  gas  components,  and  must  be  electrically  grounded  to  prevent 
electrostatic  effects. 

82 

Appendix 2 

1. 

1.1. 

Calibration of the analytical  instruments 

Introduction 

Each  analyser  shall  be  calibrated  as  often  as  necessary  to  fulfil  the accuracy 
requirements  of  this  standard.  The  calibration  method  that  shall  be  used  is 
described in this paragraph  for the analysers indicated in Appendix  1, paragraph 
1.4.3. 

1.2. 

Calibration  Gases 

The  shelf  life  of all calibration  gases  must  be  respected. 

The  expiry  date  of  the  calibration  gases  stated  by  the  manufacturer  shall  be 
recorded. 

12.1. 

Pure  Gases 

The  required  purity  of  the  gases  is  defined  by  the contamination  limits  given 
below.  The following  gases  must  be available  for  operation: 

• 

Purified  Nitrogen 

(Contamination  < 1 ppm C, < 1 ppm CO, < 400 ppm C02,  < 0.1 ppm NO) 

• 

Purified  Oxygen 

(Purity  > 99.5%  vol  0:) 

Hydrogen-Helium  Mixture 

(40  ± 2% hydrogen,  balance  helium) 

(Contamination  <  1 ppm C, < 400 ppm CO) 

• 

Purified  Synthetic  Air 

(Contamination  <  1  ppm C, < 1  ppm CO, < 400 ppm CO:,  < 0.1 ppm NO) 
(Oxygen  content  between  18-21% vol) 

1.2.2. 

Calibration  and  Span  Gases 

Mixture of gases having the following  chemical compositions shall be available: 

C3H,j and purified  synthetic  air (see paragraph  1.2.1) 

•  CO and purified  nitrogen 

83 

NO and purified nitrogen (the amount of N02  contained in this calibration 
gas must not exceed  5% of  the  NO  content) 

• 

02  and purified  nitrogen 

•  C02  and purified  nitrogen 

•  CH4 and purified  synthetic air 

•  C2H6 and purified  synthetic air 

Note:  Other  gas  combinations  are  allowed  provided  the  gases  do  not  react 

with one another. 

The true concentration of à calibration  and span gas must be within ±2% of the 
nominal  value.  All  concentrations  of  calibration  gas  shall%be  given  on  a 
volume  basis (volume percent or volume ppm). 

The gases used for calibration and span may also be obtained by means of a gas 
divider,  diluting  with purified  N2 or with purified  synthetic  air.  The accuracy 
of  the  mixing  device  must  be  such  that  the  concentration  of  the  diluted 
calibration  gases may  be determined to  within ±2%. 

1.3. 

Operating Procedure for Analysers  and Sampling  System 

/ 

The  operating  procedure  for  analysers  shall  follow  the  start-up  and  operating 
instructions of the instrument manufacturer.  The minimum requirements given 
in paragraphs  1.4  to  1.9  shall  be included. 

14. 

Leakage Test 

A system leakage test shall be performed. The probe shall be disconnected from 
the exhaust  system  and the end plugged.  The analyser pump  shall  be  switched 
on. After  an initial  stabilisation period all  flow  meters should read zero. If not, 
the  sampling  lines  shall  be  checked  and  the  fault  corrected.  The  maximum 
allowable leakage rate on the vacuum side shall be 0.5% of the in-use flow rate 
for  the  portion  of  the  system  being  checked.  The  analyser  flows  and  bypass 
flows  may  be used to estimate  the in-use flow rates. 

Another  method  is  the  introduction  of  a  concentration  step  change  at  the 
beginning  of the sampling  line  by  switching  from  zero to  span gas. 

If  after  an  adequate  period  of  time  the  reading  shows  a  lower  concentration 
compared  to the  introduced concentration,  this points to  calibration  or leakage 
problems. 

84 

1.5. 

Calibration  Procedure 

1.5.1. 

Instrument  Assembly 

The  instrument  assembly  shall  be  calibrated  and  calibration  curves  checked 
against  standard  gases. 
The  same  gas  flow  rates  shall  be  used  as  when 
sampling  exhaust. 

15.2. 

Warming-up  Time 

The  warming-up  time  should  be  according  to  the  recommendations  of  the 
If not specified,  a minimum  of  two hours is recommended  for 
manufacturer. 
warming-up  the analysers. 

1.5.3. 

NDIR  and HFID Analyser 

The  NDIR  analyser shall  be tuned,  as necessary,  and the  combustion flame  of 
the HFID  analyser  shall  be optimised  (paragraph  1.8.1). 

1.5.4. 

Calibration 

Each normally  used operating  range shall  be calibrated. 

Using  purified  synthetic  air  (or  nitrogen),  the  CO,  C02,  NOx,  HC  and  02 
analysers  shall  be set at zero. 

The appropriate calibration gases shall be introduced to the analysers, the values 
recorded,  and the  calibration  curve  established  according  to paragraph  1.5.6. 

The zero  setting  shall  be re-checked  and the calibration  procedure  repeated, if 
necessary. 

1.5.5. 

Establishment  of  the Calibration  Curve 

1.5.5.1. 

General  Guidelines 

The  analyser  calibration  curve  is  established  by  at least  five  calibration  points 
(excluding  zero)  spaced  as  uniformly  as  possible. 
The  highest  nominal 
concentration  must  be equal  to or higher than 90% of  full  scale. 

The  calibration  curve  is  calculated  by  the  method  of  least  squares. 
If  the 
resulting  polynomial  degree  is  greater  than  three,  the  number  of  calibration 
points (zero included) must be at least equal to this polynomial  degree plus two. 

The calibration curve must not differ by more than ±2% from the nominal value 
of  each  calibration  point  and by  more than ±1% of  full  scale  at zero. 

From the calibration curve and the calibration points, it is possible to verify that 
the  calibration  has  been  carried  out  correctly.  The  different  characteristic 

85 

parameters of  the  analyser  must  be indicated,  particularly: 

• 

• 

• 

the  measuring range 

the  sensitivity 

the date of  carrying out the  calibration 

1.5.5.2. 

Calibration  Below  15% of  Full  Scale 

The  analyser  calibration  curve  is  established  by  at  least  ten  calibration  points 
(excluding  zero)  spaced so  that 50% of  the calibration  points is  below  10% of 
full  scale. 

The  calibration  curve is  calculated by  the  method  of least squares. 

The calibration curve must not differ by more than ±4% from the nominal value 
of  each  calibration  point  and by more than ±1% of  full  scale  at zero. 

15.5.3. 

Alternative  Methods 

If  it  can  be  shown  that  alternative  technology  (eg.  computer,  electronically 
controlled  range  switch,  etc)  can give  equivalent  accuracy,  then these  alterna 
tives  may  be used. 

1.6. 

Verification  of  the  Calibration 

Each  normally  used operating  range  shall  be checked  prior to  each analysis in 
accordance  with the following  procedure. 

The  calibration  is  checked  by  using  a zero  gas  and a span  gas whose nominal 
value  is  more than  80% of full  scale  of  the  measuring  range. 

If,  for the two  points  considered, the value  found  does not  differ  by more than 
±4% of full  scale from the declared reference  value, the adjustment parameters 
may  be  modified.  Should this not  be the  case,  a new  calibration  curve shall 
be  established  in  accordance  with paragraph  1.5.4. 

1.7. 

Efficiency  Test  of  the NO.c Converter 

The efficiency  of the converter used for the conversion of N02  into NO is tested 
as given  in paragraphs  1.7.1  to  1.7.8  (Figure  1). 

1.7.1. 

Test  Set-up 

Using  the  test  set-up  as  shown  in  figure  1 (see  also  Appendix  1, paragraph 
1.4.3.5) and the procedure below,  the efficiency  of  converters  can be tested by 
means  of  an ozonator. 

86 

solenoid valve 

C S3 

7-T 

Variac 

02 

—£&}• 

AC 

N0/N2 

*—&3-

Ozonator 

to analyser 

Figure 1 

Figure 1 

Schematic of N02 converter efficiency device 

87 

1.7.2. 

Calibration 

The  CLD  and  the  HCLD  shall  be  calibrated  in  the  most  common  operating 
range following  the manufacturer's  specifications  using zero  and span gas (the 
NO content of which must amount to about 80% of the operating range and the 
N02  concentration of the gas mixture to less than 5% of the NO concentration). 
The NOx analyser must be in the NO  mode  so that the span  gas does not pass 
through the converter.  The indicated  concentration  has to  be recorded. 

1.7.3. 

Calculation 

The  efficiency  of  the NOx  converter is  calculated  as follows: 

Efficiency 

(%)  =  ( 1 + - —^  )  xlOG 

c-  d 

(a)  NOx  concentration  according  to paragraph  1.7.6; 

(b)  NOx concentration  according  to paragraph  1.7.7; 

(c)  NO concentration  according  to paragraph  1.7.4; 

(d)  NO  concentration  according  to paragraph  1.7.5. 

1.7.4. 

Adding  of  Oxygen 

Via a T-fitting,  oxygen  or zero air is  added continuously  to the gas flow  until 
the  concentration  indicated  is  about  20%  less  than  the  indicated  calibration 
concentration  given  in paragraph  1.7.2. 

(The analyser is  in the  NO  mode.) 

The  indicated  concentration  (c)  shall  be  recorded.  The  ozonator  is  kept  de 
activated  throughout the process. 

1.7.5. 

Activation  of  the Ozonator  -

The  ozonator  is  now  activated  to  generate  enough  ozone  to  bring  the  NO 
concentration down to about 20% (minimum  10%) of the calibration concentra 
tion  given  in  paragraph  1.7.2. 
The  indicated  concentration  (d)  shall  be 
recorded. 

(The analyser  is  in the NO  mode.) 

1.7.6. 

NO.. Mode 

The  NO  analyser  is  then  switched  to  the  NOx  mode  so  that  the  gas  mixture 
(consisting  of  NO,  N02,  02  and  N2)  now  passes  through  the  converter.  The 
indicated  concentration  (a)  shall  be  recorded. 
(The  analyser  is  in  the  NOx 
mode.) 

88 

1.7.7. 

De-activation  of  the Ozonator 

The ozonator is now de-activated.  The mixture of gases described in paragraph 
1.7.6  passes through the converter into the detector.  The indicated concentra 
tion  (b) shall  be recorded. 

(The  analyser is  in the NOx  mode.) 

1.7.8. 

NO  Mode 

Switched  to  NO  mode  with  the  ozonator  de-activated,  the  flow  of  oxygen  or 
synthetic air is also shut off.  The NOx reading of the analyser shall not deviate 
by  more  than  ±5% from  the  value  measured  according  to  paragraph  1.7.2. 
(The  analyser is  in the NO  mode.) 

1.7.9. 

Test Interval 

The  efficiency  of  the  converter must be  tested prior to  each  calibration  of the 

'  NOx  analyser. 

1.7.10. 

Efficiency  Requirement 

The  efficiency  of  the  converter  shall  not  be  less  than  90%,  but  a  higher 
efficiency  of  95% is strongly  recommended. 

Note: 

If,  with  the  analyser  in  the  most  common  range,  the  ozonator  cannot 
give a reduction from  80% to 20% according to paragraph  1.7.5,  then 
the highest range which  will  give  the reduction  shall  be used. 

1.8. 

Adjustment  of the FID 

1.8.1. 

Optimisation  of  the Detector  Response 

The  HFED must  be adjusted  as specified  by  the  instrument  manufacturer.  A 
propane  in  air span  gas  should  be  used  to  optimise  the  response  on  the  most 
common  operating range. 

With  the  fuel  and air flow  rates set  at the  manufacturer's  recommendations,  a 
350 ±75  ppm C span gas shall  be introduced to the analyser.  The response at 
a given fuel flow shall be determined from the difference  between the span gas 
response  and  the  zero  gas  response.  The  fuel  flow  shall  be  incrementally 
adjusted above and below the manufacturer's specification.  The span and zero 
response  at these  fuel  flows  shall  be  recorded.  The  difference  between  the 
span  and zero  response  shall  be plotted  and the fuel  flow  adjusted to the rich 
side  of  the curve. 

1.8.2. 

Hydrocarbon  Response  Factors 

The analyser shall  be calibrated using  propane in air and purified  synthetic air, 
according  to paragraph  1.5 

89 

Response factors shall be determined when introducing  an analyser into service 
and  after  major  service  intervals.  The  response  factor  (Rf)  for  a particular 
hydrocarbon species is the ratio of the FID CI  reading to the gas concentration 
in the  cylinder  expressed  by ppm  CI. 

The  concentration  of  the  test  gas  must  be  at  a  level  to  give  a  response  of 
approximately  80% of  full  scale.  The  concentration  must  be  known  to  an 
accuracy  of  ±2%  in  reference  to  a gravimetric  standard  expressed  in volume. 
In  addition,  the  gas  cylinder  must  be  pre-conditioned  for  24  hours  at  a 
temperature  of  298  (25°C) ±  5K. 

Thé test gases to be used and the recommended  relative  response factor ranges 
are as  follows: 

Methane  and purified  synthetic  air: 

1.00  < Rf <  1.15 

• 

Propylene  and purified  synthetic  air: 

0.90  < Rf <  1.1 

•  Toluene  and purified  synthetic  air: 

0.90  < Rf <  1.10 

These  values  are  relative  to  the  response  factor  (Rf)  of  1.00  for  propane  and 
purified  synthetic air. 

1.8.3. 

Oxygen  Interference  Check 

The  oxygen  interference  check  shall  be  determined  when  introducing  an 
analyser  into  service  and after  major service  intervals. 

The response factor is defined and shall be determined as described in paragraph 
1.8.2.  The test  gas to  be  used and the  recommended  relative  response  factor 
range  are as follows: 

•  Propane  and nitrogen: 

0.95  < Rf <  1.05 

This value is relative to the response factor (Rf) of  1.00 for propane and purified 
synthetic  air. 

The  FID  burner  air  oxygen  concentration  must  be  within  ±1  mole  % of  the 
oxygen  concentration  of  the  burner  air  used  in  the  latest  oxygen  interference 
check. 
If  the  difference  is  greater,  the  oxygen  interference  must  be checked 
and the  analyser  adjusted,  if  necessary. 

1.9. 

Interference  Effects  with  NDIR  and CLD  Analysers 

Gases  present  in  the  exhaust  other  than  the  one  being  analysed  can  interfere 
with  the  reading  in  several  ways. 
Positive  interference  occurs  in  NDIR 
instruments  where  the  interfering  gas  gives  the  same  effect  as  the  gas  being 
measured,  but  to  a  lesser  degree.  Negative  interference  occurs  in  NDIR 
instruments  by  the  interfering  gas  broadening  the  absorption  band  of  the 

90 

measured  gas,  and  in  CLD  instruments  by  the  interfering  gas  quenching  the 
radiation.  The  interference  checks  in  paragraphs  1.9.1  and  1.9.2  shall  be 
performed  prior to  an analyser's  initial  use and after  major  service intervals. 

1.9.1. 

CO Analyser  Interference  Check 

Water  and C02  can interfere  with  the  CO analyser performance.  Therefore a 
C02  span  gas  having  a  concentration  of  80  to  100%  of  full  scale  of  the 
maximum  operating  range  used during  testing  shall  be  bubbled through water 
at room temperature and the analyser response recorded.  The analyser response 
must not  be more than  1% of full  scale  for ranges equal  to  or above 300 ppm 
or more than 3 ppm for  ranges below  300 ppm. 

1.9.2. 

NO^ Analyser  Quench  Checks 

The two  gases  of  concern  for  CLD (and HCLD)  analysers  are  C02  and Water 
vapour. Quench responses of these gases are proportional to their concentrations, 
and  therefore  require  test  techniques  to  determine  the  quench  at  the  highest 
expected concentrations  experienced  during testing. 

1.9.2.1. 

CO, Quench Check 

A  CQ2  span  gas  having  a  concentration  of  80  to  100%  of  full  scale  of  the 
maximum operating  range  shall  be passed through the NDIR  analyser and the 
CQ2 value recorded as A.  It shall  then be diluted approximately  50% with NO 
span  gas  and  passed  through  the  NDIR  and  (H)CLD  with  the  CO,  and  NO 
values  recorded  as B  and  C,  respectively.  The  C02  shall  be  shut  off  and only 
the NO span gas be passed through the (H)CLD and the  NO value  recorded as 
D. 

The  quench  shall  be calculated  as follows: 

% CO? .Quench  =  ! 

i 

(CxA) 
{DxA)  -  {DxB) 

xlOO 

and must not be  greater than 3% of  full  scale. 

where: 

A:  Undiluted  C02  concentration  measured  with  NDIR % 

B:  Diluted  CO:  concentration  measured  with  NDIR % 

C:  Diluted  NO  concentration  measured  with  CLD ppm 

D:  Undiluted  NO  concentration  measured with  CLD ppm 

91 

Water  Quench Check 

This check  applies to wet gas concentration  measurements  only.  Calculation of 
water quench must consider dilution of the NO span gas with water vapour and 
scaling  of  water vapour  concentration  of  the  mixture  to  that  expected  during 
testing.  A  NO span gas having  a concentration  of  80 to  100% of  full  scale to 
the  normal  operating  range  shall  be  passed  through  the  (H)CLD  and the  NO 
value  recorded  as  D.  The  NO  gas  shall  be  bubbled  through  water  at  room 
temperature  and passed through the (H)CLD  and the  NO value  recorded as C. 
The  analyser's  absolute  operating  pressure  and the  water  temperature  shall  be 
determined  and  recorded  as  E  and  F,  respectively.  The  mixture's  saturation 
vapour pressure that corresponds to the bubbler water temperature  (F) shall be 
determined  and recorded  as  G.  The  water  vapour  concentration  (in  %) of  the 
mixture  shall  be calculated  as follows: 

H =  lOOx  ( i ?) 
E 

and  recorded  as  H.  The  expected  diluted  NO  span  gas  (in  water  vapour) 
concentration  shall  be calculated  as follows: 

and  recorded  as  De.  For  diesel  exhaust,  the  maximum  exhaust  water  vapour 
concentration  (in%)  expected  during  testing  shall  be  estimated,  under  the 
assumption  of  a fuel  atom H/C ratio of  1.8  to  1, from  the  undiluted  CO, span 
gas concentration  (A, as measured  in paragraph  1.9.2.1)  as  follows: 

Hm  0 .9  x  A 

and recorded  as Hm. 

The water quench  shall  be  calculated  as  follows: 

and must not  be greater than  3% of  full  scale 

Expected  diluted  NO  concentration  (ppm) 
De: 
C: 
Diluted  NO concentration  (ppm) 
Hm:  Maximum  water vapour  concentration  (%) 
H: 

Actual  water vapour  concentration  (%) 

92 

Note: 

It  is  important  that  the  NO  span  gas  contains  minimal  NO,  concentration  for 
this  check,  since absorbtion  of  N02  in  water  has not  been  accounted  for  in  the 
quench  calculations. 

1.10. 

Calibration  Intervals 

The analysers shall be calibrated according to paragraph  1.5  at least every  three 
months  or  whenever  a  system  repair  or  change  is  made  that  could  influence 
calibration. 

2. 

2.1. 

Calibration  of  the Particulate  Measuring  System 

Introduction 

Each  component  shall  be  calibrated  as often  as necessary  to  fulfil  the  accuracy 
requirements  of this standard.  The  calibration  method to  be  used  is described 
in  this  paragraph  for  the  components  indicated  in  Annex  III,  Appendix  1, 
paragraph  1.5  and Annex  V. 

2.2. 

Flow  Measurement 

The calibration  of gas flowmeters  or flow measurement instrumentation  shall be 
traceable  to  national  and/or  international  standards. 

The  maximum  error  of  the  measured  value  shall  be  within  ±2% of  reading. 

If  the  gas  flow  is  determined  by  differential  flow  measurement,  the  maximum 
error  of  the  difference  shall  be  such  that  the  accuracy  of  GEDF  is  within  ±4% 
(see also  Annex V, paragraph  1.2.1.1 EGA).  It can be calculated  by taking the 
root-mean-square  of  the  errors  of  each  instrument. 

2.3. 

Checking  the  Dilution  Ratio 

When  using  particulate  sampling  systems  without  EGA  (Annex  V,  paragraph 
1.2.1.1), the dilution ratio shall be checked for each new engine installation with 
the  engine  running  and  the  use  of  either  the  CO,  or  NOx  concentration 
measurements  in  the  raw  and  dilute  exhaust. 

The measured dilution  ratio shall be within ±10% of the calculated dilution ratio 
from  CO,  or  NO.  concentration  measurement. 

93 

2.4. 

Checking  the Partial  Flow  Conditions 

The  range  of  the  exhaust  gas  velocity  and  the  pressure  oscillations  shall  be 
checked  and  adjusted  according  to  the  requirements  of  Annex  V,  paragraph 
1.2.1.1,  EP, if  applicable. 

2.5. 

Calibration  Intervals 

The  flow  measurement  instrumentation  shall  be  calibrated  at least  every  three 
months, or whenever a system change is made that could influence  calibration. 

94 

Appendix 3 

1 • 

1.1. 

Data Evaluation and Calculations 

Gaseous  Emissions  Data Evaluation 

For  the  evaluation  of  the  gaseous  emissions,  the  chart  reading  of  the  last  60 
seconds of each mode shall be averaged, and the average concentrations (cone) 
of  HC,  CO,  NOx  and CO,  if  the  carbon  balance  method  is  used,  during  each 
mode shall be determined from the average chart readings and the corresponding 
calibration  data.  A  different  type  of  recording  can  be  used  if  it  ensures  an 
equivalent  data acquisition. 

The average background concentrations (concd) may be determined from the bag 
readings  of  the  dilution  air  or  from  the  continuous  (non-bag)  background 
reading  and the corresponding  calibration data. 

1.2. 

Particulate  Emissions 

For  the  evaluation  of  the  particulates,  the  total  sample  masses  (MSAKU)  or 
volumes  (VSAMi) through the filters shall  be recorded for  each mode. 

The filters shall  be  returned  to  the  weighing  chamber  and  conditioned  for  at 
least  one  hour,  but  not  more  than  80  hours,  and  then  weighed.  The  gross 
weight of the filters shall be recorded and the tare weight  (see paragraph  11.1) 
subtracted.  The particulate  mass  (Mf  for  the  single  filter  method; Mfi  for the 
multiple  filter  method)  is  the  sum  of  the  particulate  masses  collected  on  the 
primary  and back-up  filters. 

If background correction is to be applied, the dilution air mass (MDIL) or volume 
(VDIL)  through  the filters and the  particulate  mass  (Md)  shall  be  recorded.  If 
more than one  measurement was  made, the  quotient Md/MDIL or Md/VDIL must 
be calculated  for  each  single  measurement  and the values  averaged. 

1.3. 

Calculation  of  the  Gaseous  Emissions 

The finally reported test  results shall  be  derived  through  the  following  steps: 

13.1. 

Determination  of  the Exhaust  Gas Flow 

The exhaust gas flow rate (GEXHW, VEXHW or VEXHD) shall be determined for each 
mode  according  to Annex  III, Appendix  1, paragraphs  1.2.1  to  1.2.3. 

When  using  a full  flow  dilution  system,  the  total  dilute  exhaust  gas  flow  rate 
(GT0TW,  VTOTW)  shall  be  determined  for  each  mode  according  to  Annex  III, 
Appendix  1, paragraph  1.2.4. 

95 

1.3.2. 

Dry/Wet Correction 

When applying GEXHW, VE X H W,  GTOTW or VT0TW, the measured concentration shall 
be converted to a wet basis according to the following  formulae,  if not already 
measured on  a wet basis: 

cone 

{wet)  = kw x  cone 

{dry) 

For the  raw exhaust gas: 

or: 

For the diluted  exhaust gas: 

or: 

_  ( 

w'e'2 

1  + 

V 

FFH  may  be calculated by: 

l  -  kvl 

' 
1.88  x  C02%  {dry) 
1— 

; 
200 

\ 

) 

„  _ 
™  7 

1.969 
? 

FUEL 

li  + 

\ 

For the  dilution air: 

*tt,  d 

^ 

*tfi 

96 

1 . 6 08  x  [Hd  X  (1  -  l/DF)  +  Ha  X 

{l/DF)] 

>W1 

1 0 00  +  1 . 6 08 x 

[Hd  x  (1  -  l/DF)  +  Ha  X 

{l/DF)] 

6 . 22  x  Rdx 

pd 

"d  = 

PB  -  Pd  x  i?d  x  1 0 "2 

For  the  intake  air (if different  from  the  dilution  air): 

k 

=  i 

-  k 

^W2 

1 . 6 08  x  HB 
1 0 00  +  ( 1 . 6 08  XHJ 

"a  = 

6 . 22  x  Ra  x  pa 

PB  ~ Pa  x  Ra  x 

1 0'2 

where: 

Ha 
Hd 
Rd 
Ra 
Pd: 
Pa: 
PB: 

absolute  humidity  of the  intake  air, g  water  per kg dry  air 
absolute  humidity  of the  dilution  air, g  water  per kg dry  air 
relative  humidity  of the  dilution  air,  % 
relative  humidity  of the  intake  air, % 
saturation  vapour  pressure  of the  dilution  air, kPa 
saturation  vapour  pressuré  of the  intake  air, kPa 
total  barometric  pressure,  kPa 

1.3.3. 

Humidity  Correction  for NO. 

As  the N Ox  emission  depends  on  ambient  air conditions,  the NOx  concentration 
shall  be corrected  for ambient  air temperature  and humidity  by the  factors  KH 
given  in the  following  formula: 

where:  A:  0.309  GP l„ , /G 

Fuel 

'AIRD 

B: 
T: 

-0.209  GP,.„ / G 
temperatures  of the  air in K 

r.MRD 

Fuel 

0.0266 
+  0.00954 

97 

JFUEL 

7AIRD 

Fuel  air  ratio 

{dry  air 

basis) 

HL 

humidity  of  the  intake  air,  g  water  per  kg  dry  air: 

"a  = 

6  . 2 20  x  Ra  x 

pa 

PB  ~  Pa  x  Ra  X 

10 

R,: 
pa: 
pB: 

relative  humidity  of  the  intake  air,  % 
saturation  vapour  pressure  of  the  intake  air,  kPa 
total  barometric  pressure,  kPa 

1.3.4. 

Calculation  of  Emission  Mass  Flow  Rates 

The  emission  mass  flow  rates  for  each  mode  shall  be  calculated  as  follows: 

a)  For  the  raw  exhaust  gas('): 

Gas  mo„  =  u  x cone  x  G, 'EXHW 

Gasmo„  =  v  x cone  * V  EXHD 

Gas  mass  =  w  x  cone  X  VEXHW 

or: 

or: 

b)  For  the  dilute  exhaust  gas('): 

Gasma5S  =  u  x concc  * GT0TW 

or: 

Gas  mass  =  w  x  concc  x VT0TW 

where: 

concc  is  the  background  corrected  concentration 
concc  =  conc-concd  x (1  -  (l/DF)) 
DF =  13.4/(concCO:  +  (concCO  +  concHC)  x  10"4) 
or: 

DF  = 

13.4/concCO. 

j 

(1) 

In the case of NOx, the NOv cocentration  (NOyconc or NOvConc.) has to 
be multiplied  by "Kf!NOx (humidity  correction  factor  for NO., quoted  in 
the previous paragraph 1.3.3.) as follows: 

KUN 

cone  or 

cone. 

98 

The  coefficients  u  -  wet,  v  -  dry,  w  -  wet  shall  be  used  according  to  the 
following  table: 

Gas 

NOx 

CO 

HC 

co2 

u 

V 

w 

0.001587 

0.002053 

0.002053 

0.000966 

0.00125 

0.00125 

0.000479 

15.19 

-

19.64 

0.000619 

19.64 

percent 

cone 

ppm 

ppm 

ppm 

The density of HC is based upon  an average carbon to hydrogen  ratio of 1/1.85. 

1.3.5. 

Calculation  of  the  Specific  Emissions 

The specific  emission (g/kWh) shall be calculated  for  all individual  components 
in  the  following  way: 

Individual 

gas  _ 

£  GasMBBi  x WFi 
i=l 

Pi  x  «Fi 

£ 
2 =1 

where  P( = ?nJL  +  PAE>1 

The weighting factors  and the number of modes(n) used in the above calculation 
are  according  to  Annex  III, paragraph  3.6.1. 

1.4. 

Calculation  of  the Particulate  Emission 

The particulate  emission  shall  be  calculated  in  the  following  way: 

1.4.1 

Humidity  Correction  Factor  for  Particulates 

As the particulate emission of diesel engines depends on ambient air conditions, 
the particulate  mass flow  rate  shall  be  corrected  for  ambient  air  humidity  with 
the  factor  K^ given  in  the  following  formula: 

Kp  =  1/(1  +0.0133  x (Ha.  10.71)) 

H  =  humidity  of  the  intake  air,  grammes  of  water  per  kg  dry  air 

H a  = 

6  . 22  x  Ra  x 

pa 

PB  ~  Pa  x  Rax 

99 

i O "2 

Ra  =  relative humidity  of  the  intake  air, % 

pa  = 

saturation vapour pressure  of  the  intake  air, kPa 

pB  = 

total  barometric  pressure, kPa 

1.4.2. 

Partial  Flow Dilution  System 

The  final  reported  test  results  of  the  particulate  emission  shall  be  derived 
through the following  steps.  Since various types of  dilution  rate control may 
be used, different  calculation  methods  for  equivalent  diluted  exhaust gas mass 
flow  rate GEDF or equivalent  diluted exhaust gas volume  flow  rate V^  apply. 
All  calculations shall be based upon the average values of the individual modes 
(i)  during the sampling period. 

1.4.2.1. 

Isokinetic  Systems 

or: 

or: 

GEDFW.I 

GE X HW  j  x  /q. 

*EDFW.i 

— 

*  EXHW.i  X  Qi 

_  ^DILW, i  + 

(  GEXHWt 

i  x  r  ) 

_  VpiLW, i  + 

(  VEXHH,  i  X 

r 

' 

where  r corresponds  to  the  ratio  of  the  cross  sectional  areas  of  the  isokinetic 
probe  Ap and the  exhaust pipe AT: 

100 

1.4.2.2. 

Systems  with  Measurement of C0-> or NO^ Concentration 

or: 

where: 

^EDFw.i 

V E X H W .I  x  q. 

Qi  = 

Cone E,i 
ConcDti 

Cone A,i 
-  ConcAfi 

ConcE ... = 
Concp  . = 
ConcA  = 

wet concentration  of the tracer gas in raw exhaust 
wet concentration of the tracer gas in the diluted exhaust 
wet  concentration  of the tracer gas in the dilution air 

Concentrations  measured  on  a  dry  basis  shall  be  converted  to  a wet basis 
according to paragraph  1.3.2.  of this Appendix. 

1.4.2.3. 

Systems  with  CQ2 Measurement  and  Carbon Balance  Method 

7EDFW,i 

206  .6  x GFUELi 
-  co2Ati 
co2Dti 

where: 

C02D 

= 

C02  concentration  of the  diluted  exhaust 

CQ2A  = 

CO: concentration  of the  dilution air 

(concentrations  in volume  % on wet basis) 

This  equation  is  based  upon  the  carbon  balance  assumption  (carbon  atoms 
supplied  to the engine  are emitted  as CO,)  and derived  through the following 
steps:  * 

'EDFW.i 

~ 

GE X H W -1  x  q( 

and: 

Qi  = 

2 0 6 .6  x G FUEL,i 
7EXHW ,1  x  (co2 D -i  -  co2A:i: 

101 

1.4.2.4. 

Systems  with Flow  Measurement 

'EDFW.i 

G E X H W ,I 

X  q; 

Qi  = 

7TOTW,i 

( G-rOTW, i 

^DILW, i  i 

1.4.3. 

Full  Flow  Dilution  System 

The  final  reported  test  results  of  the  particulate  emission  shall  be  derived 
through the following  steps. 
All  calculations shall be based upon the average values of the  individual  modes 
(i)  during the sampling period. 

or: 

G EDFW.i 

'TOTW.i 

V 
v  EDFW.i 

= 

v 
v  TOTW.i 

1.4.4. 

Calculation  of  the Particulate  Mass Flow  Rate 

The particulate mass flow rate shall  be  calculated  as follows: 

For the  Single  Filter Method: 

pr„ 

PT„ 

M* 
M, SAM 

M< 

SAM 

\  ^FTiFffi 
EDFW'  aver 
1000 

\  *RnFW' 
EDFW'  aver 
1000 

or: 

where: 

(GEDFW  L er  ,  ( VE D FW  ),¥«r  > ( MS AM  )aver  .  ( VS AM  )avcr  o v er  t he  test  c y c le  shall  be 
determined by summation of the average values of the individual  modes during 
the  sampling period: 

^EDFW' 

avez  ~ 

)v 
1=1 

^EDFW,i 

X  "^i 

'  VpriFw) 

EDFW' aver 

£ 

VBDFW.i  X  Wi 

102 

MSAM =  £ 
i »l 

MSAM,i 

V, SAM  2^  ^SAM, i 
i -1 

where  i  =  1,... n 

For the Multiple Filter Method: 

or: 

PT 

maSS'i 

= 
Mffi 
'  * Wi 

V 

^ G EDFW, i  ' 
1000 

PT 

- 
mass,i  "  *W 

Mffi 

V 

^  VEDFW, i  * 
1000 

where  i  =  l,...n 

The particulate  mass  flow  rate may  be background  corrected  as follows: 

For Single  Filter Method: 

or: 

If more than one measurement is made, (Md/MDIL) or (Md/VDIL) shall be replaced 
with  (Md/MDIL) aver or (M/VD[L)  aver,  respectively. 

DF  = 

13.4 
concCO?  +  {concCO  +  concHC)  x 10 -4 

or: 

103 

DF  =  13.4/concCO-, 

For Multiple  Filter Method: 

"PT 

.  = 

"t.t  A  M*  „u  _ 
l*W 
%r,i 

\ 

i \ï 
^/J 

X 

G'EDFW.i 
1000 

or: 

PT 
*  mass, 2 

.  = 

[ ^ W i. 

\VDiL 

\  DF))\ 

X 

"EDFW,  i 
1000  . 

If more than one measurement is made, (Md/MDIL) or (Md/VDIL) shall be replaced 
with  (Md/MDIL )aver or (Md/VDIL)aver, respectively. 

DF = 

1 3 .4 
concCO?  +  {concCO  +  concHC)  x  10 -4 

or: 

DF =  13.4/concCO, 

1.4.5. 

Calculation  of  the  Specific  Emissions 

The  specific  emission  of  particulates  PT  (g/kWh)  shall  be  calculated  in  the 
following  way('): 

For the  single  filter  method: 

PT 

1) 

The  Particulate  mass  flow  rate  P TMM  has  to  be  multiplied  by  Kp 
(humiditv  correction  factor  for  particulates  quoted  in  paragraph 
1.4.1.)." 

104 

For the  multiple filter method: 

£  PTnass.i  *  Wl 
i »l 

PT  _ 

£  Pi  x  wFt 

i -1 

*  i  Mn.i  +  *AE,i 

1.4.6. 

Effective  Weighting Factor 

For the single filter method, the effective  weighting factor WFE { for each mode 
shall  be calculated  in the following  way: 

WFt 
E.i 

_  MSAMf  £  * 

( 0'EDFW i aver 

**sAM  X 

'  & EDFW,  i  ' 

or: 

WF, E,i 

^SAM, i 

X 

'  VEDFW' 

aver 

^SAM  X 

'  ^EDFW,  i  ' 

where  i  = 

l,...n 

The  value  of  the  effective  weighting  factors  shall  be  within  ±0.005  (absolute 
value)  of  the weighting  factors  listed in  Annex  III, paragraph  3.6.1. 

105 

ANNEX  IV 

TECHNICAL  CHARACTERISTTCS  OF  REFERENCE  FUEL  PRESCRIBED  FOR 
APPROVAL TESTS  AND  TO VERIFY  CONFORMITY  OF PRODUCTION 

NON-ROAD  MOBILE MACHINERY  REFERENCE FUEL (1) 

Note: 

Key  properties  for  engine  performance/exhaust  emissions  are  highlighted. 

Cetane Number (4) 

Density  at 15°C 

Distillation (3) 
-  95% point 

Viscosity  at 40°C 

Sulphur content 

Flash  Point 

CFPP 

Copper  corrosion 

Conradson  carbon  residue 
(10%  DR) 

Limits and Units  (2) 

Test Method 

min. 45  (7) 
max.  50 

min.  835  kg/m3 
max.  845  kg/m3  (10) 

ISO  5165 

ISO  3675,  ASTM  D4052 

Maximum  370°C 

ISO  3405 

Minimum  2.5  mm2/s 
Maximum  3.5  mnr/s 

ISO  3104 

Minimum  0.1% mass  (9) 
Maximum  0.2%  mass  (8) 

ISO  8754, EN  24260 

Minimum  55°C 

Minimum 
Maximum 

Maximum: 

+5°C 

ISO  2719 

EN  116 

ISO  2160 

Maximum  0.3% mass 

ISO  10370 

Ash  content 

Water  content 

Maximum  0.01%  mass 

ASTMD482  (12) 

Maximum  0.05%  mass 

ASTM  D95, D1744 

Neutralisation  (strong  acid) 
number 

Minimum  0.20  mg  KOH/g 

Oxidation  stability  (5) 

Maximum  2.5  mg/100  ml 

ASTM  D2274 

Additives  (6) 

106 

Note  1 : 

If  it  is  required  to  calculate  thermal  efficiency  of  an  engine  or  vehicle,  the 

calorific  value  of  the fuel  can  be calculated from: 

Specific  energy  (calorific  value)  (net) MJ/kg = 

(46.423  -  8.792  • d2 + 3.17  • d)  x  (1  -  (x  + y  +  s))  +  9.42  • s  - 2.499  •  x 
where: 

d is the  density  at 288  K (15°C) 
x  is the proportion  by  mass of  water (%/100) 
y  is the proportion  by mass of  ash (%/l 00) 
s  is the proportion  by  mass of  sulphur (%/l 00) 

Note 2: 

The  values  quoted  in  the  specification  are  "true  values".  In  establishment  of 
their  limit  values  the terms of  ASTM  D3244  "Defining  a basis for petroleum 
produce  quality  disputes" have been  applied and in fixing  a minimum value, a 
minimum  difference  of 2R above zero has been taken into account; in fixing a 
maximum and minimum value, the minimum difference is 4R (R = reproducibil 
ity). 

Notwithstanding  this  measure,  which  is  necessary  for  statistical  reasons,  the 
manufacturer  of  fuel  should  nevertheless  aim  at  a  zero  value  where  the 
stipulated maximum value is 2R and at the mean value in the case of quotations 
of maximum and minimum limits. Should it be necessary to clarify  the question 
as to  whether  a fuel  meets the requirements  of the specifications,  the terms of 
ASTM  D3244  should be applied. 

The  figures  quoted  show  the  evaporated  quantities  (percentage  recovered  + 
percentage  loss). 

The  range  of  cetane  is not  in  accordance  with  the  requirement  of  a minimum 
range of  4R.  However, in cases of  dispute between fuel  supplier  and fuel  user, 
the  terms  in  ASTM  D3244  can  be  used  to  resolve  such  disputes  provided 
replicate measurements, of sufficient  number to achieve the necessary precision, 
are made in preference  to single determinations. 

Even  though  oxidation  stability  is  controlled,  it is  likely  that shelf  life  will  be 
limited.  Advice should be sought from the supplier as to storage conditions and 
life. 

This  fuel  should  be  based  straight  run  and  cracked  hydrocarbon  distillate 
components only; desulphurization  is allowed.  It must not contain any metallic 
additives  or cetane  improver additives. 

Note 3: 

Note  4: 

Note  5: 

Note  6: 

Note  7: 

Lower  values  are permitted,  in which  case  the  cetane  number of the  reference 
fuel  used  is  to  be reported. 

107 

Note  8: 

Note  9: 

Higher values are permitted, in which  case the sulphur content of the reference 
fuel  used is to  be reported. 

To  be  kept  under  constant  review  in  the  light  of  trends  in  the  markets.  For 
measurements to prove compliance  with the limit values  as set out in the table 
in  section  4.2.3.  of  Annex  I  to  this  Directive  (Stage  II),  0.05%  mass sulphur 
minimum  is permissible. 

Note  10: 

Higher values  are permitted up to  855  kg/m3,  in  which  case the density  of the 
reference  fuel  used is to be reported. 

Note  11 : 

All  fuel  characteristics  and limit values  are to be kept under review in light of 
trends  in the markets. 

Note  12: 

To be replaced by EN/ISO  6245  with  effect  of  the  date of  implementation 

108 

ANNEX  V 

1. 

Analytical  and Sampling  System 

Gaseous  and  particulate  sampling  systems 

Figure  Number 

Description 

, 

2 

3 

4 

5 

6 

7 

8 

9 

10 

11 

12 

13 

14 

15 

Exhaust  gas  analysis  system  for  raw  exhaust; 

Exhaust  gas  analysis  system  for  dilute  exhaust; 

Partial  flow,  isokinetic  flow,  suction  blower  control, 
fractional  sampling; 

Partial flow,  isokinetic flow,  pressure blower control, 

fractional  sampling; 

Partial flow, CO-, or NOx control, fractional  sampling; 

Partial  flow,  C02  and carbon  balance, total  sampling; 

flow, 

single  venturi  and  concentration 

Partial 
measurement,  fractional  sampling; 
Partial flow,  twin venturi  or orifice  and  concentration 
measurement,  fractional  sampling; 

Partial flow, multiple tube splitting and  concentration 

measurement,  fractional  sampling; 

Partial  flow,  flow  control,  total  sampling; 

Partial  flow,  flow  control,  fractional  sampling; 

Full flow, positive displacement pump or critical  flow 

venturi,  fractional  sampling; 

Particulate  sampling  system; 

Dilution  system  for  full  flow  system. 

1.1. 

Determination  of  the  Gaseous  Emissions 

Paragraph  1.1.1  and  figures  2  and  3  contain  detailed  descriptions  of  the 
recommended  sampling  and  analysing  systems.  Since  various  configurations 
can  produce  equivalent  results,  exact  conformance  with  these  figures  is  not 

109 

required.  Additional components such as instruments, valves, solenoids, pumps 
and switches may be used to provide additional information  and co-ordinate the 
functions  of the component systems.  Other components  which are not needed 
to maintain the accuracy  on  some  systems,  may be  excluded  if their exclusion 
is based  upon good  engineering judgement. 

1.1.1. 

Gaseous  Exhaust  Components  CO. CO?. HC.  NOr 

An analytical  system for the determination of the gaseous emissions in the raw 
or diluted  exhaust gas is  described based on the  use  of: 

HFID  analyser  for the  measurement  of hydrocarbons; 

•  NDIR  analysers  for  the  measurement  of  carbon  monoxide  and  carbon 

dioxide; 

•  HCLD or equivalent analyser for the measurement  of  nitrogen oxide. 

For the raw exhaust gas  (see figure 2), the sample  for  all  components  may be 
taken  with  one  sampling  probe  or with  two  sampling  probes  located  in  close 
proximity  and internally  split to  the  different  analysers.  Care must be  taken 
that  no  condensation  of  exhaust  components  (including  water  and  sulphuric 
acid)  occurs  at any point of  the analytical  system. 

For the diluted exhaust gas (see figure 3), the sample for the hydrocarbons shall 
be  taken  with  another  sampling  probe  than  the  sample  for  the  other  compo-
nents.Care must be taken that no condensation of exhaust components (including 
water and sulphuric  acid) occurs  at any  point of  the  analytical  system. 

110 

Z HSL1 

9P1 

Zero 

F1 

F2 

P 

V1 

F1 

F2 

P 

Opfloral 2 Minpino prebM 

S p an 
Span 
o aa 

_ 
. I rt 

_ -A 

Vsnt 

—  HC w 

l R2 
Air  Fuel 

Vant 

R1 » 

FL1 

Figure 2 

Flow Diagram of Exhaust Gas Analysis System for CO, NOx and HC 

111 

Figure 3  Flow Diagram of Dilute Exhaust Gas Analysis System 
for CO, C02, N0X and HC 

112 

Descriptions  - Figures  2  and  3 

General  statement: 

A II components in the sampling gas path must be maintained at the temperature 
specified for  the respective systems. 

• 

SP1  Raw Exhaust  Gas Sampling  Probe  (figure  2  only) 

A  stainless  steel  straight  closed  end  multi-hole  probe  is  recommended. 
The  inside  diameter  shall  not  be  greater  than  the  inside  diameter  of  the 
sampling  line.  The wall  thickness  of  the  probe  shall  not  be greater than 
lmm.  There shall  be a minimum  of  three holes  in three different  radial 
planes  sized  to  sample  approximately  the  same  flow.  The  probe  must 
extend  across  at least 80% of  the  diameter of  the  exhaust pipe. 

• 

SP2 Dilute  Exhaust Gas HC Sampling  Probe  (figure  3  only) 

The probe shall 

Be defined as the first 254mm to 762mm of the hydrocarbon  sampling 
line (HSL3); 

Have  a 5mm minimum  inside  diameter; 

Be  installed  in  the  dilution  tunnel  DT  (paragraph  1.2.1.2)  at  a point 
where the dilution air and exhaust gas are well mixed (ie. approximate 
ly  10  tunnel  diameters  downstream  of  the  point  where  the  exhaust 
enters the dilution tunnel); 

Be sufficiently  distant (radially) from other probes and the tunnel wall 
so  as to  be free  from the influence  of  any  wakes  or eddies; 

Be  heated  so  as  to  increase  the  gas  stream  temperature  to  463K 
(190°C) ±  10K at the exit  of  the probe. 

• 

SP3  Dilute  Exhaust  Gas CO. CO:.  NO.. Sampling  Probe  (figure  3 only) 

The probe shall: 

Be  in the same plane as SP2; 

Be sufficiently  distant (radially)  from other probes and the tunnel  wall 
so  as to  be free  from  the influence  of  any  wakes  or eddies; 

Be heated and insulated  over its entire  length  to  a minimum tempera 
ture of  328K  (55°C) to prevent  water  condensation. 

113 

•  HSL1  Heated  Sampling  Line 

The  sampling  line  provides  gas  sampling  from  a  single  probe  to  the  split 
point(s)  and  the  HC  analyser. 

The  sampling  line shall: 

Have  a  5mm  minimum  and  a  13,5mm  maximum  inside  diameter; 

Be  made  of  stainless  steel  or  PTFE; 

Maintain  a  wall  temperature  of  463  (190°C)  ±  10K  as  measured  at 
every  separately  controlled  heated  section,  if  the  temperature  of  the 
exhaust  gas  at the  sampling  probe  is  equal  or  below  463K  (190°C); 

Maintain  a wall temperature  greater than 453K (180°C) if the tempera 
ture  of  the exhaust  gas at  the  sampling  probe  is  above  463K  (190°C); 

Maintain a gas temperature of 463K ( 190°C) ±  1 OK immediately  before 
the heated  filter  (F2)  and  the  HFID. 

HSL2  Heated  NO^ Sampling  Line 

The  sampling  line  shall: 

-  Maintain  a wall  temperature  of  328  to  473K  (55  to  200°C)  up  to  the 
converter  when  using  a  cooling  bath,  and  up  to  the  analyser  when  a 
cooling  bath  is not  used; 

Be  made  of  stainless  steel  or  PTFE; 

Since  the  sampling  line  need  only  be  heated  to  prevent  condensation 
of water  and sulphuric  acid, the sampling  line temperature  will  depend 
on  the  sulphur  content  of  the  fuel. 

• 

SL  Sampling  Line  for  CO  (COO 

The  line  shall  be  made  of  PTFE  or  stainless  steel. 
unheated. 

It  may  be  heated  or 

•  BK  Background  Bag  (optional;  Figure  3  only) 

For  the  measurement  of  the  background  concentrations. 

BG  Sample  Bag  (optional;  Figure  3  CO  and  CO:  only) 

For  the  measurement  of  the  sample  concentrations. 

114 

Fl  Heated  Pre-Filter (Optional) 

The temperature  shall  be  the same  as HSL1 

• 

F2 Heated Filter 

The filter  shall  extract any  solid particles from the gas sample prior to the 
analyser.  The temperature  shall  be the same  as HSL1.  The filter  shall be 
changed  as needed. 

• 

P Heated  Sampling  Pump 

The pump shall  be heated to the temperature  of  HSLL 

•  HC 

Heated  flame  ionisation  detector  (HFID)  for  the  determination  of  the 
hydrocarbons.  The  temperature  shall  be  kept  at  453  to  473K  (180  to 
200°C). 

•  CO. CO, 

NDIR  analysers  for  the  determination  of  carbon  monoxide  and  carbon 
dioxide. 

•  N02 

(H)CLD  analyser  for  the  determination  of  the  oxides  of  nitrogen. 
If  a 
HCLD  is  used  it  shall  be  kept  at  a  temperature  of  328  to  473K  (55  to 
200°C). 

C Converter 

A converter shall be used for the catalytic reduction of N02  to NO prior to 
analysis  in the CLD or HCLD. 

•  B  Cooling  Bath 

To cool  and condense  water from  the  exhaust  sample.  The bath shall be 
maintained  at a temperature  of  273  to  277K  (0  to 4°C) by  ice or refriger 
ation.  It is optional  if the analyser is free  from  water vapour interference 
as determined  in Annex  III,  Appendix  3, paragraphs  1.9.1  and  1.9.2. 

Chemical  dryers  are not allowed  for  removing  water  from  the sample. 

Tl.  T2. T3 Temperature  Sensor 

To  monitor the temperature  of  the  gas stream. 

115 

T4 Temperature Sensor 

Temperature of the  N02  -  NO converter. 

•  T5 Temperature  Sensor 

To monitor the temperature  of the  cooling bath. 

•  Gl.  G2. G3  Pressure Gauge 

To  measure the pressure  in the  sampling  lines. 

•  RI.  R2 Pressure Regulator 

To control  the pressure of the air and the fuel,  respectively,  for the HFID. 

R3. R4. R5 Pressure  Regulator 

To control the pressure in the sampling  lines and the flow to the analysers. 

• 

FL1. FL2. FL3  Flowmeter 

To  monitor the sample  bypass  flow. 

• 

FL4 to FL7 Flowmeter  (optional 

To monitor the flow  rate through the  analysers 

VI  to V6  Selector  Valve 

Suitable  valving  for  selecting  sample,  span  gas  or  zero  gas  flow  to  the 
analyser. 

•  V7.  V8  Solenoid  Valve 

To bypass the  N02  -  NO converter. 

•  V9  Needle  Valve 

To  balance the flow  through the  N02  -  NO converter  and the bypass. 

•  V10.  VI1  Needle  Valve 

To regulate the flows  to the analysers. 

•  VI2.  VI3  Toggle  Valve 

To drain the  condensate  from  the Bath B. 

116 

V14  Selector  Valve 

Selecting  the sample  or background bag. 

1.2. 

Determination  of  the Particulates 

Paragraphs  1.2.1  and 1.2.2  and figures  4 to  15 contain  detailed descriptions of 
the recommended dilution and sampling systems.  Since various configurations 
can  produce  equivalent  results,  exact  conformance  with  these  figures  is  not 
required.  Additional components such as instruments, valve, solenoids, pumps 
and switches may be used to provide additional information and co-ordinate the 
functions of the component systems.  Other components which are not needed 
to maintain the accuracy  on some  systems,  may be  excluded if their exclusion 
is based  upon good  engineering judgement. 

1.2.1. 

Dilution  System 

12.1.1. 

Partial  Flow  Dilution  System  (Figures  4 to  12) 

A  dilution system  is described based upon the dilution of  a part of the exhaust 
stream.  Splitting  of the exhaust stream  and the following  dilution process may 
be  done  by  different  dilution  system  types.  For subsequent  collection  of  the 
particulates, the entire dilute exhaust gas or only  a portion of the dilute exhaust 
gas  may  be passed to the particulate  sampling  system  (paragraph  1.2.2,  figure 
14).  The first method is referred to as total sampling type, the second method 
as fractional  sampling type. 

The  calculation  of the dilution  ratio  depends  upon the type  of  system used. 
The following  types are recommended: 

• 

Isokinetic  Systems  (figures  4  and 5) 

With these  systems, the flow  into  the transfer tube is  matched to the bulk 
exhaust  flow  in  terms  of  gas  velocity  and/or  pressure,  thus  requiring  an 
undisturbed  and  uniform  exhaust  flow  at  the  sampling  probe.  This  is 
usually achieved by using a resonator and a straight approach tube upstream 
of  the  sampling  point.  The  split  ratio  is  then  calculated  from  easily 
measurable  values like  tube diameters. 
It should  be noted that isokinesis 
is only  used for matching the flow  conditions and not for matching the size 
distribution.  The  latter  is  typically  not  necessary,  as  the  particles  are 
sufficiently  small  as to follow  the fluid  streamlines. 

Flow Controlled Systems with Concentration Measurement (figures 6 to 10) 

With  these  systems,  a  sample  is  taken  from  the  bulk  exhaust  stream  by 
adjusting  the  dilution  air  flow  and  the  total  dilution  exhaust  flow.  The 

117 

dilution ratio is determined from the concentrations of tracer gases, such as 
C02  or NOx  , naturally  occurring  in  the  engine  exhaust  The concentra 
tions  in  the  dilution  exhaust  gas  and  in  the  dilution  air  are  measured, 
whereas the  concentration  in the  raw  exhaust  gas  can  be  either measured 
directly  or determined from  fuel  flow  and the carbon  balance equation, if 
the  fuel  composition  is  known.  The  systems  may  be  controlled  by  the 
calculated  dilution  ratio  (figures  6  and 7)  or by  the  flow  into the transfer 
tube (figures  8,  9 and 10). 

Flow  Controlled  Systems  with Flow Measurement  (figures  11 and  12) 

With  these  systems,  a  sample  is  taken  from  the  bulk  exhaust  stream  by 
setting  the  dilution  air  flow  and  the  total  dilution  exhaust  flow.  The 
dilution  ratio  is  determined  from  the  difference  of  the  two  flow  rates. 
Accurate calibration of the flow  meters relative to one another is required, 
since  the relative  magnitude  of  the  two  flow  rates  can lead to  significant 
errors at higher dilution ratios (figures  9 and above).  Flow control is very 
straightforward by keeping the dilute exhaust flow rate constant and varying 
the  dilution  air flow rate, if needed. 

In  order  to  realise  the  advantages  of  the  partial  flow  dilution  systems, 
attention  must  be  paid  to  avoiding  the  potential  problems  of  loss  of 
particulates  in  the  transfer  tube,  ensuring  that  a  representative  sample  is 
taken from the engine  exhaust,  and determination  of  the split ratio. 

The systems  described pay  attention  to these  critical  areas. 

118 

Figure 4  Partial Flow Dilution System with Isokinetic Piobe 

and Fractional Sampling  (SB Control) 

DAF 

PB 

FM1 

air 

vent 

fct>, 

XT 

y 

to 

see figure 14  particulate 

sampling 
system 

DPT 
delta p 

i FC1 

Figure 4 

Raw exhaust gas is transferred from the exhaust pipe to EP to the dilution tunnel  DT through 
the  transfer  tube  TT by  the  isokinetic  sampling  probe  ISP.  The  differential  pressure  of  the 
exhaust  gas  between  exhaust  pipe  and  inlet  to  the  probe  is  measured  with  the  pressure 
transducer DPT.  This signal  is transmitted to the flow  controller FC1 that controls the suction 
blower  SB  to  maintain  a differential  pressure  of  zero  at  the  tip  of  the  probe.  Under  these 
conditions,  exhaust  gas  velocities  in EP and ISP  are identical,  and the  flow  through ISP and 
TT is a constant fraction  (split) of the exhaust gas flow.  The split ratio is determined from the 
cross  sectional  areas  of  EP  and  ISP.  The  dilution  air  flow  rate  is  measured  with  the  flow 
measurement device  FMI.  The dilution  ratio is calculated  from  the dilution  air flow rate and 
the split ratio. 

119 

Figura 5 

Partial Flow Dilution System with Isokinetic 
Probe and Fractional Sampling  (PB Control) 

DAF 

FM1 

air 

[ / ^^ 

see figure 14 

>FC1 

t0 

particulate 
sampling 
system 

Rgura5 

Raw  exhaust gas  is  transferred  from  the exhaust  pipe  EP to  the dilution  tunnel  DT through 
the  transfer  tube  TT by  the  isokinetic  sampling  probe  ISP.  The  differential  pressure  of  the 
exhaust  gas  between  exhaust  pipe  and  inlet  to  the  probe  is  measured  with  the  pressure 
transducer DPT.  This signal is transmitted to the flow controller FC1 that controls the pressure 
blower PB to maintain  a differential  pressure of  zero at the tip of  the probe.  This is done by 
taking a small fraction of the  dilution air whose flow rate has already been measured with the 
flow  measurement device FMI,  and feeding  it to TT by  means of a pneumatic orifice.  Under 
these conditions, exhaust gas velocities  in EP and ISP are identical, and the flow through ISP 
and TT is a constant fraction (split) of the exhaust gas  flow.  The split ratio is determined from 
the cross sectional  areas of EP and ISP.  The dilution air is sucked through DT by the suction 
blower  SB, and the  flow  rate is measured with FMI  at the inlet  to DT.  The dilution  ratio  is 
calculated  from  the dilution  air flow  rate and the split ratio. 

120 

Figure 6 

Partial Flow Dilution System with C02 or N0X 
Concentration Measurement and Fractional Sampling 

FC2 

EGA 

optional 
H  to PB or SB 

DAF 

EGA 

air 

EGA 

vent 

i c ra 

TT  see figure 14 

t0  ^ ^ 1^ 
sampling 
system 

SP 

EP 

Figure 6 

Raw exhaust gas is transferred  from  the exhaust  pipe EP to the dilution tunnel  DT through the 
sampling probe SP and the transfer  tube TT.  The concentrations of a tracer gas (C02  or NOx) 
are measured  in the raw and diluted  exhaust gas as well as in the dilution  air with the exhaust 
gas  analyser(s)  EGA. These  signals  are transmitted  to the flow  controller  FC2 that  controls 
either  the pressure  blower  PB or the suction  blower  SB to maintain  the desired  exhaust  split 
and  dilution  ratio  in DT.  The dilution  ratio  is calculated  from  the tracer  gas concentrations 
in the raw exhaust  gas, the diluted  exhaust  gas, and the dilution air. 

121 

Figure 7  Partial Flow Dilution System with CO^ Concentration 

Measurement, Carbon Balance and Total Sampling 

FC2 

EGA 

optional to P 

DAF 

PB 

DT 

d=> 

TT 

G F U EL 

SP 

EP 

optional from 
FC2 

EGA 

N  PTT 

PSS 

FH 

details see figure 15 

Figure 7 

Raw  exhaust  gas  is transferred  from  the  exhaust  pipe  EP  to the  dilution  tunnel  DT 
through the sampling probe SP and the transfer tube TT.  The C02  concentrations are 
measured  in  the  diluted  exhaust  gas  and  in  the  dilution  air  with  the  exhaust  gas 
analyser(s) EGA.  The C02 and fuel flow GFUEL signals are transmitted either to the flow 
controller  FC2, or to the flow  controller  FC3  of the  particulate  sampling  system  (see 
figure  14).  FC2  controls the  pressure  blower  PB, while  FC3  controls the  particulate 
sampling system (see figure 14), thereby adjusting the flows into and out of the system 
so as to maintain the desired exhaust split and dilution ration in DT.  The dilution ratio 
is  calculated 
assumption. 

from  the  C02  concentrations  and  G p^  using  the  carbon  balance 

19.9 

Figure 8 

Partial Flow Dilution  System with  Single Venturi, 
Concentration Measurement  and Fractional  Sampling 

EGA 

EGA 

DAF 

PB 

> 10*d 

air 

A 

VN 

TT 

D T/  PTT 

vent 

see figure 14 

to particulate 
sampling 
system 

EGA 

Figure 8 

Raw  exhaust  gas  is  transferred  from  the  exhaust  pipe  EP  to  the  dilution  tunnel  DT 
through the sampling probe SP and the transfer tube TT due to the negative  pressure 
created  by  the  venturi  VN  in  DT.  The  gas  flow  rate  through  TT  depends  on  the 
momentum  exchange  at  the  venturi  zone,  and  is  therefore  affected  by  the  absolute 
temperature  of the  gas at the exit of TT.  Consequently,  the exhaust  split for  a given 
tunnel flow  rate is not constant, and the dilution  ratio at low  load is slightly  lower than 
at  high  load.  The  tracer  gas  concentrations  (C02  or  NOx)  are  measured  in the  raw 
exhaust  gas,  the  diluted  exhaust  gas,  and  the  dilution  air  with  the  exhaust  gas 
analyser(s)  EGA,  and the  dilution  ratio  is calculated from  the values  so measured. 

Figure 9 

Partial Flow Dilution System Twin Venturi or Twin 
Orifice, Concentration Measurement and Fractional 

Sampling 

EGA 

EGA 

DAF 

PCV2 

HE 

• 
~_ 

l> 10*d 
1 
_£ .PSP 
DT  PTT 

* * ^r a 14 

TT 

t°sSPlingte' 
system 

SB 

vent 

exhaust 

EGA 

Figure 9 

Raw  exhaust  gas  is transferred  from  the  exhaust  pipe  EP  to the  dilution  tunnel  DT 
through the sampling probe SP and the transfer tube TT by a flow divider that contains 
a set of orifices or Venturis.  The first one FD1) is located in EP, the second one (FD2) 
in TT.  Additionally,  two pressure  control valves  (PCV1  and  PCV2)  are  necessary to 
maintain  a  constant  exhaust  split  by  controlling  the  backpressure  in  EP  and  the 
pressure  in  DT.  PCV1  is  located  downstream  of  SP  in  EP,  PCV2  between  the 
pressure  blower  PB  and  DT.  The  tracer  gas  concentrations  (C02  or  NOx)  are 
measured in the raw exhaust gas, the diluted exhaust gas, and the dilution air with the 
exhaust gas analyser(s) EGA.  They are necessary for checking the exhaust split, and 
may be used to adjust PCV1  and PCV2 for precise split control.  The dilution ration is 
calculated from the tracer gas concentrations. 

124 

Figure 10 

Partial Flow Dilution System with Multiple Tube 
Splitting, Concentration Measurement 
and  Fractional Sampling 

EQA 

EGA 

OAF 

« 

I >  10*d 

• 

HE 

air 

EQA 

fresh  air  Injection 

FD3 

V 

/I 

~1 
/L^L 

: 

T 
Î/P8P 
PTT 

sas figure 14 

f\  sa 

To 
Particulate 
Sampling 
System 

•—t>r<K<h 
P^ 
T 

DPT 

* C1 

DC 

air 

DAF 

vent 

Figure  10 

Raw  exhaust  gas  is  transferred  from  the  exhaust  pipe  EP  to  the  dilution  tunnel  DT 
through the transfer tube TT by the flow divider  FD3 that consists of a number of tubes 
of the same dimensions  (same diameter, length  and bed radius)  installed in EP.  The 
exhaust gas through one of these tubes is lead to DT, and the exhaust gas through the 
rest of the tubes is passed through the damping chamber  DC.  Thus, the exhaust  split 
is  determined  by  the  total  number  of  tubes.  A  constant  split  control  requires  a 
differential pressure of zero between DC and the outlet of TT, which is measured with 
the differential  pressure transducer  DPT.  A differential pressure of zero is achieved by 
injecting fresh  air  into  DT at the outlet  of TT.  The  tracer  gas  concentrations  (C02  or 
NOx)  are measured  in the  raw exhaust  gas, the  diluted  exhaust  gas, and the  dilution 
air  with  the  exhaust  gas  analyser(s)  EGA.  They  are  necessary  for  checking  the 
exhaust  split  and  may  be  used  to  control  the  injection  air  flow  rate  for  precise  split 
control.  The  dilution  ratio  is calculated from  the  tracer  gas  concentrations. 

125 

Figure 11 

Partial Flow Dilution  System with Flow Control 

and Total Sampling 

DAF 

-optional to P (PSS) 

FM1 

DT 

PS6 

GEXH 

or 

QAJR 

or 

QRJEL 

TT 

-SP 

EP 

PTT 

FH 

vent 

details see figure 15 

Figure 11 

Raw  exhaust  gas  is transferred  from  the  exhaust  pipe  EP  to the  dilution  tunnel  DT 
through the sampling  probe  SP and the transfer tube TT.  The total flow through the 
tunnel  is  adjusted  with  the  flow  controller  FC3  and  the  sampling  pump  P  of  the 
particulate  sampling system (see figure  16).  The dilution air flow is controlled by the 
flow controller  FC2, which may  use GEXH, GAIRf  or GFUEL as command  signals, for the 
desired exhaust split.  The sample flow into DT is the difference  of the total flow and 
the  dilution  air  flow.  The  dilution  air flow  rate  is measured  with flow  measurement 
device FM1, the total flow rate with the flow measurement device FM3 of the particulate 
sampling system  (see figure  14).  The dilution ratio is calculated from these two flow 
rates.-

126 

Figure 12 

Partial Flow Dilution  System with Flow Control 
and Fractional Sampling 

Figure 12 

Raw  exhaust  gas  is  transferred  from  the  exhaust  pipe  EP  to  the  dilution  tunnel  DT 
through the  sampling  probe  SP  and the  transfer  tube  TT.  The  exhaust  split  and  the 
flow into DT is controlled  by the flow controller  FC2 that adjusts the flows (or  speeds) 
of the  pressure  blower  PB and  the  suction  blower  SB, accordingly.  This  is  possible 
since the sample taken with the particulate sampling system is returned into DT.  GEXH, 
GAIR, or GFUEL may  be used as command  signals for  FC2.  The dilution air flow rate is 
measured  with  the  flow  measurement  device  FM1,  the  total  flow  with  the  flow 
measurement  device  FM2.  The  dilution  ratio  is calculated from  these two flow rates. 

127 

Description  -  Figures 4 to 12 

EP  Exhaust Pipe 

The exhaust pipe may be insulated. To reduce the thermal inertia of 
the  exhaust  pipe  a  thickness  to  diameter  ratio  of  0.015  or  less  is 
recommended.  The  use  of flexible  sections  shall  be  limited  to  a 
length to diameter  ratio of  12  or less.  Bends will  be  minimised to 
reduce inertia] deposition.  If the system includes a test bed silencer, 
the silencer may also be insulated. 

For an isokinetic system, the  exhaust  pipe  must be free  of elbows, 
bends and sudden diameter changes for at least six pipe diameters 
upstream  and  three  pipe  diameters  downstream  of  the  tip  of  the 
probe.  The gas velocity  at the sampling zone must be higher than 
10 m/s except at idle mode.  Pressure oscillations of the exhaust gas 
must  not  exceed  ±500  Pa  on  the  average.  Any  steps  to  reduce 
pressure  oscillations  beyond  using  a  chassis-type  exhaust  system 
(including silencer and after treatment device) must not alter engine 
performance  nor cause the deposition of particulates. 

For systems without isokinetic probes, it is recommended to have a 
straight pipe of six pipe diameters upstream and three pipe diameters 
downstream  of the tip of the probe. 

•  SP Sampling  Probe  (figures 6 to  12) 

The minimum inside diameter shall be 4mm.  The minimum diameter 
ratio between exhaust pipe and probe shall be four.  The probe shall 
be an open tube facing upstream on the exhaust pipe centre-line, or 
a  multiple  hole prolge as described  under  SP1^ in  paragraph  1.1.1. 

ISP  Isokinetic Sampling  Probe  (figures 4  and 5) 

The isokinetic sampling probe must be installed facing upstream on 
the exhaust pipe centre-line where the flow conditions in section EP 
are  met,  and designed to provide a  proportional  sample  of the  raw 
exhaust gas.  The  minimum  inside diameter  shall be 12mm. 

A  control  system  is  necessary  for  isokinetic  exhaust  splitting  by 
maintaining  a  differential  pressure  of  zero  between  EP  and  ISP. 
Under  these  conditions  exhaust  gas  velocities  in  EP  and  ISP  are 
identical and the mass flow through ISP is a constant fraction of the 
exhaust  gas  flow.  The  ISP  has  to  be  connected  to  a  differential 
pressure transducer.  The control to provide a differential pressure of 
zero  between  EP  and  ISP  is  done  with  blower  speed  or  flow 
controller. 

128 

• 

FD1. FD2  Flow Divider (figure  9) 

A set of Venturis or orifices is installed in the exhaust pipe EP and in 
the transfer tube TT, respectively, to provide a proportional sample of 
the  raw  exhaust  gas.  A control  system  consisting  of two pressure 
control valves PCV1 and PCV2 is necessary for proportional splitting 
by controlling the pressures in EP and  DT. 

• 

FD3  Flow Divider (figure 10) 

A set of tubes (multiple tube unit) is installed in the exhaust pipe EP 
to provide a proportional sample of the raw exhaust gas.  One of the 
tubes feeds exhaust gas to the dilution tunnel DT, whereas the other 
tubes exit exhaust gas to a  damping  chamber  DC. The tubes must 
have the same dimensions (same diameter,  length, bend radius), so 
that the exhaust split depends on the total number of tubes. A control 
system  is  necessary  for  proportional  splitting  by  maintaining  a 
differential pressure of zero between the exit of the multiple tube unit 
into  DC  and  the  exit  of TT.  Under  these  conditions,  exhaust  gas 
velocities  in  EP  and  FD3  are  proportional,  and  the  flow  TT  is  a 
constant fraction of the exhaust gas flow.  The two points have to be 
connected to a differential  pressure transducer DPT.  The control to 
provide a differential pressure of zero is done with the flow controller 
FC1. 

EGA  Exhaust  Gas Analyser  (figures 6  to  10) 

C02 or NOx analysers may be used (with carbon balance method C02 
only).  The  analysers  shall  be  calibrated  like  the  analysers  for the 
measurement of the gaseous emissions.  One or several analysers 
may  be  used to determine the  concentration differences. 

The  accuracy  of  the  measuring  systems  has  to  be  such  that  the 
accuracy  of GEDFWi or VEDFWi is within ±4%. 

TT Transfer Tube  (figures 4 to  12) 

The  particulate  sample transfer tube shall be: 

-  As short as possible, but not more than  5m in length; 

Equal to or greater than the  probe  diameter,  but not more than 
25mm  in diameter; 

Exiting on the centre-line of the dilution tunnel and pointing down 
stream. 

If  the  tube  is  1  metre  or  less  in  length,  it  is  to  be  insulated  with 
material with a maximum thermal conductivity of 0.05 W/(m • K) with 

129 

a  radial  insulation  thickness  corresponding  to  the  diameter  of  the 
If the  tube  is longer  than  1 metre,  it  must  be insulated  and 
probe. 
heated  to  a  minimum  wall  temperature  of  523K  (250°C). 

Alternatively,  the  transfer  tube  wall  temperatures  required  may  be 
determined  through  standard  heat  transfer  calculations. 

DPT  Differential  Pressure  Transducer  (figures  4.  5  and 10) 

The differential pressure transducer shall have a range of ±500 Pa or 
less. 

• 

FC1  Flow  Controller  (figures  4.  5 and  10) 

(figures  4  and  5)  a  flow  controller  is 
For  the  isokinetic  systems 
necessary to maintain a differential pressure of zero between EP and 
ISP. The  adjustment  can  be done  by: 

a)  Controlling  the  speed  or  flow  of  the  suction  blower  (SB)  and 
keeping  the  speed  of the  pressure  blower  (PB)  constant  during 
each  mode  (figure 4); 

or: 

b)  Adjusting the suction  blower  (SB) to a constant  mass flow of the 
diluted  exhaust  and  controlling  the  flow  of  the  pressure  blower 
PB, and therefore the exhaust sample flow in a region at the end 
of the  transfer  tube  (TT)  (figure  5). 

In the case of a pressure controlled system the remaining error in the 
control loop must not exceed ±3Pa.  The pressure oscillations in the 
dilution  tunnel  must  not  exceed  ±250Pa  on the  average. 

For a multi-tube  system (figure  10) a flow  controller  is necessary for 
proportional  exhaust  splitting  to  maintain  a  differential  pressure  of 
zero  between  the  outlet  of  the  multi-tube  unit  and  the  exit  of  TT. 
The adjustment  can De done  by controlling  the  injection air flow rate 
into  DT at the  exit  of TT. 

•  PCV1  PCV2  Pressure  Control  Valve  (figure  9) 

Two  pressure  control  valves  are  necessary  for  the  twin  venturi/twin 
orifice  system  for  proportional  flow  splitting  by  controlling  the 
backpressure  of  EP  and  the  pressure  in  DT.  The  valves  shall  be 
located  downstream  of  SP  in  EP and  between  PB  and DT. 

•  DC  Damping  Chamber  (figure  10) 

A damping chamber  shall be installed at the exit  of the multiple tube 

130 

unit to  minimise  the  pressure  oscillations  in the  exhaust  pipe  EP. 

VN Venturi  (figure  8) 

A  venturi  is  installed  in  the  dilution  tunnel  DT  to  create  a  negative 
pressure  in  the  region  of  the  exit  of the  transfer  tube  TT.  The  gas 
flow  rate  through  TT  is  determined  by  the  momentum  exchange at 
the venturi zone, and is basically  proportional  to  the flow  rate of the 
pressure  blower  PB  leading  to  a  constant  dilution  ratio.  Since  the 
momentum exchange is affected by the temperature at the exit of TT 
and the  pressure  difference  between  EP and  DT, the  actual  dilution 
ratio  is slightly  lower  at  low  load than  at  high  load. 

• 

FC2  Flow  Controller  (figures 6.  7.  11 and  12:  optional) 

A  flow  controller  may  be  used  to  control  the  flow  of  the  pressure 
blower PB and/or the suction blower SB.  It may be connected to the 
exhaust flow or fuel flow  signal  and/or to the  C02  or  NOx  differential 
signal. 

When using a pressurised air supply (figure 11 ) FC2 directly  controls 
the  air flow. 

FM1  Flow  Measurement  Device  (figures  6.  7.  11 and  12) 

Gas  meter  or  other flow  instrumentation  to  measure  the  dilution  air 
flow.  FM1 is optional  if  PB  is calibrated to  measure  the flow. 

FM2  Flow  Measurement  Device  (figure  12) 

Gas  meter  or  other  flow  instrumentation  to  measure  the  diluted 
exhaust  gas  flow.  FM2  is  optional  if  the  suction  blower  SB  is 
calibrated  to  measure  the flow. 

•  PB  Pressure  Blower  (figures  4,  5. 6.  7.  8. 9 and  12) 

To control the dilution air flow rate, PB may be connected to the flow 
controllers  FC1  or  FC2.  PB  is  not  required  when  using  a  butterfly 
valve.  PB may be used to measure the dilution air flow, if calibrated. 

•  SB  Suction  Blower  (figures  4,  5, 6.  9.  10 and  12) 

For fractional  sampling systems only.  SB may  be  used to  measure 
the dilute  exhaust  gas flow,  if calibrated. 

•  DAF  Dilution  Air  Filter  (figures  4  to  12) 

It  is  recommended  that  the  dilution  air  be  filtered  and  charcoal 
scrubbed  to  eliminate  background  hydrocarbons.  The  dilution  air 

131 

shall have a temperature  of 298K  (25°C)  ± 5K. 

At  the  manufacturers  request  the  dilution  air  shall  be  sampled 
according to good engineering practice to determine the background 
particulate  levels,  which  can  then  be  subtracted  from  the  values 
measured  in the diluted exhaust. 

PSP  Particulate  Sampling  Probe  (figures 4,  5, 6,  8,  9,  10 and  12 ) 

The probe is the leading section of PTT and 

Shall be installed facing upstream at a point where the dilution air 
and  exhaust  gas  are  well  mixed,  i.e.  on the  dilution tunnel  DT 
centre-line  of  the  dilution  systems  approximately  10  tunnel 
diameters downstream of the point where the exhaust enters the 
dilution tunnel; 

Shall be  12 mm in minimum  inside diameter; 

May be heated to no greater than 325K (52°C) wall temperature 
by direct  heating  or by dilution  air pre-heating,  provided  the air 
temperature  does  not  exceed  325K  (52°C)  prior  to  the 
introduction of the exhaust  in the dilution tunnel; 

/ 

May  be insulated. 

DT Dilution Tunnel (figures 4 to  12) 

The dilution tunnel: 

-  Shall  be  of a  sufficient  length  to cause  complete  mixing  of the 

exhaust  and dilution air under turbulent flow conditions; 

Shall be constructed  of stainless steel with: 

a  thickness  to  diameter  ratio  of  0.025  or  less for  dilution 
tunnels of greater than 75mm  inside diameter; 

a nominal wall thickness of not less than 1.5mm for dilution 
tunnels of equal to or less than 75mm  inside  diameter; 

-  Shall  be  at  least  75mm  in  diameter  for  the  fractional  sampling 

type; 

Is recommended  to  be  at  least  25mm  in diameter  for the  total 
sampling type. 

May be heated to no greater than  325K  (52°C) wall temperature by 

132 

direct  heating  or  by  dilution  air  pre-heating,  provided  the  air 
temperature does not exceed 325K (52°C) prior to the introduction of 
the exhaust  in the dilution tunnel. 

May  be insulated. 

The  engine exhaust shall be thoroughly  mixed with the dilution air. 
For fractional sampling systems, the mixing quality shall be checked 
after introduction into service by means of a C02  profile of the tunnel 
with  the  engine  running  (at  least  four  equally  spaced  measuring 
points). 

If necessary,  a mixing orifice may  be used. 

Note:  If the ambient temperature in the vicinity of the dilution tunnel 
(DT)  is  below  293K  (20°C),  precautions  should  be  taken  to  avoid 
particle  losses onto the cool walls of the dilution tunnel.  Therefore, 
heating  and/or  insulating the  tunnel within the  limits given above is 
recommended. 

At high engine loads, the tunnel may be cooled by a non-aggressive 
means  such as a  circulating fan, as long as the temperature  of the 
cooling medium  is not below 293K (20°C). 

HE  Heat  Exchanger  (figures 9  and 10) 

The  heat  exchanger  shall  be  of  sufficient  capacity  to  maintain  the 
temperature at the inlet to the suction blower SB within ± 11K of the 
average  operating temperature  observed  during the test. 

1.2.1.2. 

Full Flow  Dilution System  (figure  13) 

A dilution system is described based upon the dilution of the total exhaust 
using the Constant Volume Sampling (CVS) concept.  The total volume 
of the  mixture  of exhaust and  dilution air  must be measured.  Either a 
PDP  or a CFV  system  may  be used. 

For  subsequent  collection  of  the  particulates,  a  sample  of  the  dilute 
exhaust  gas  is  passed  to  the  particulate  sampling  system  (paragraph 
1.2.2,  figures  14  and  15). 
If this  is  done  directly,  it  is  referred  to  as 
single dilution. 
If  the  sample  is  diluted  once  more  in  the  secondary 
dilution tunnel, it is referred  to as double  dilution.  This  is useful, if the 
filter face  temperature  requirement  cannot  be  met with  single dilution. 
Although partly a dilution system, the double dilution system is described 
as  a  modification  of a  particulate  sampling  system  in  paragraph  1.2.2, 
figure  15,  since  it  shares  most  of  the  parts  with  a  typical  particulate 
sampling system. 

The gaseous emissions may also be determined in the dilution tunnel of 
a  full  flow  dilution  system.  Therefore,  the  sampling  probes  for  the 
gaseous  components  are  shown  in figure  13  but  do  not  appear  in the 

133 

description list.  The respective requirements are described in paragraph 
1.1.1. 

Descriptions - Figure 13 

EP Exhaust Pipe 

The exhaust pipe length from the exit of the engine exhaust manifold, 
turbocharger outlet or aftertreatment  device to the dilution tunnel is 
required  to  be  not  more  than  10m. 
If the  system  exceeds  4m  in 
length, then all tubing in excess of 4m  shall be insulated, except for 
an in-line smokemeter, if used.  The radial thickness of the insulation 
must be at least 25mm.  The thermal  conductivity  of the insulating 
material must have a value no greater than 0.1  W/(m  • K) measured 
at 673K  (400°C).  To reduce the thermal  inertia  of the exhaust pipe 
a thickness to diameter ratio of 0.015 or less is recommended.  The 
use of flexible  sections shall be limited to a  length to diameter ratio 
of 12 or less. 

134 

Figure 13 

Full Flow Dilution System 

see figure 3 

•to background 

to exhaust gas analysis 
system 

DAF 

air  3 

trntimpfit 

HE  optional 

ifs^ 

optional 

SP2 

P8P 

EP  V PTT 

see figure 14 

to particulate sampling system 
or to DDS see figure 15 

)lir 
figure 

• 

-NTT* 

prjp 
,l 

I  . 

If EFC Is used 

TT 

I  vent 

Figure 13 

The total amount of raw exhaust gas is mixed in the dilution tunnel DT with the dilution 
air. 

The diluted  exhaust  gas flow  rate  is measured  either with a  Positive  Displacement 
Pump PDP or with a Critical Flow Venturi CFV.  A heat exchanger  HE or electronic 
flow compensation EFC may be used for proportional particulate sampling and for flow 
determination.  Since  particulate  mass  determination  is  based  on  the  total  diluted 
exhaust gas flow, the dilution ratio is not required to be calculated. 

135 

PDP  Positive  Displacement  Pump 

The  PDP  meters total  diluted  exhaust flow from  the  number  of the 
pump revolutions and the pump displacement.  The exhaust system 
back pressure must not be artificially  lowered by the PDP or dilution 
air  inlet  system.  Static exhaust  back  pressure  measured with the 
CVS  system  operating  shall  remain  within  ±  1.5  kPa  of  the  static 
pressure measured without connection to the CVS at identical engine 
speed and load. 

The gas mixture temperature immediately ahead of the PDP shall be 
within ± 6K of the average operating temperature observed during the 
test, when  no flow compensation  is used. 

Flow compensation  can only be used if the temperature  at the inlet 
of the  PDP  does not exceed  50°C  (323K). 

CFV  Critical  Flow Venturi 

CFV  measures total diluted exhaust flow  by maintaining the flow at 
choked  conditions  (critical  flow).  Static  exhaust  backpressure 
measured  with  the  CFV  system  operating  shall  remain  within  ±1.5 
kPa of the static pressure  measured without connection to the CFV 
at  identical  engine  speed  and  load.  The  gas  mixture  temperature 
immediately  ahead of the CFV  shall be within ±  11K of the average 
operating  temperature  observed  during  the  test,  when  no  flow 
compensation  is used. 

HE  Heat  Exchanger  (optional  if EFC  is used) 

The  heat  exchanger  shall  be  of  sufficient  capacity  to  maintain  the 
temperature  within the limits required above. 

EFC  Electronic  Flow Compensation  (optional if HE is used) 

If the  temperature  at the  inlet to either  the  PDP  or CFV  is not kept 
within the limits stated above, a flow compensation system is required 
for  continuous  measurement  of  the  flow  rate  and  control  of  the 
proportional sampling in the  particulate system. 

To  that  purpose,  the  continuously  measured  flow  rate  signals  are 
used to correct the sample flow rate through the particulate filters of 
the particulate sampling system (see figures 14 and 15), accordingly. 

DT Dilution Tunnel 

The  dilution tunnel: 

Shall  be  small  enough  in  diameter  to  cause  turbulent  flow 

136 

(Reynolds number greater than 4,000) and of sufficient length to 
cause complete mixing of the exhaust and dilution air.  A mixing 
orifice may be used; 

Shall be at least 75mm  in diameter; 

May  be insulated. 

The engine exhaust shall be directed downstream at the point where 
it is introduced into the dilution tunnel, and thoroughly mixed. 

When  using  single dilution,  .a  sample  from  the  dilution  tunnel  is 
transferred to the particulate sampling system (paragraph 1.2.2, figure 
14).  The  flow  capacity  of  the  PDP  or  CFV  must  be  sufficient  to 
maintain the diluted exhaust  at a temperature  of less than or equal 
to 325K  (52°C)  immediately  before the  primary  particulate filter. 

When  using  double dilution,  a  sample  from  the  dilution  tunnel  is 
transferred to the secondary dilution tunnel where it is further diluted, 
and then passed through the sampling filters (paragraph 1.2.2, figure 
15). 

The flow capacity  of the  PDP or CFV  must be sufficient to maintain 
the diluted exhaust stream in the DT at a temperature of less than or 
equal to 464K (191 °C) at the sampling zone.  The secondary dilution 
system must provide sufficient secondary  dilution air to maintain the 
doubly-diluted exhaust stream at a temperature of less than or equal 
to 325K  (52°C)  immediately  before the  primary  particulate filter. 

DAF Dilution Air Filter 

It  is  recommended  that  the  dilution  air  be  filtered  and  charcoal 
scrubbed  to  eliminate  background  hydrocarbons.  The  dilution air 
shall have a temperature of 298K (25°C) ± 5K.  At the manufacturers 
request  the  dilution  air  shall  be  sampled  according  to  good 
engineering practice to determine the background  particulate levels, 
which can then be subtracted from the values measured in the diluted 
exhaust. 

PSP  Particulate  Sampling  Probe 

The  probe is the leading section of PTT and 

Shall be installed facing upstream at a point where the dilution air 
and  exhaust  gas  are  well  mixed,  i.e.  on the  dilution  tunnel  DT 
centre-line  of  the  dilution  systems  approximately  10  tunnel 
diameters downstream of the point where the exhaust enters the 
dilution tunnel; 

137 

Shall  be  12 mm in minimum  inside  diameter; 

May be heated to no greater than 325K (52°C) wall temperature 
by direct  heating or by dilution air  pre-heating,  provided the air 
(52°C)  prior  to  the 
temperature  does  not  exceed  325K 
introduction of the exhaust  in the dilution tunnel; 
May  be insulated. 

1.2.2 

Particulate  Sampling  System  (figures  14 and  15) 

,  The particulate sampling system is required for collecting the particulates 

In the case of total sampling partial flow dilution, 

on the particulate filter. 
which  consists of passing the entire  dilute  exhaust  sample  through the 
filters, dilution (paragraph 1.2.1.1, figures 7 and 11) and sampling system 
usually form  an integral unit. 
In the  case of fractional sampling partial 
flow dilution  or  full flow dilution,  which  consists  of  passing  through the 
filters only a portion of the diluted exhaust, the dilution (paragraph 1.2.1.1, 
figures  4,  5,  6,  8,  9,  10 and  12  and  paragraph  1.2.1.2,  figure  13)  and 
sampling systems usually form different units. 

In this Directive, the double dilution system DDS (figure 15) of a full flow 
dilution  system  is  considered  as  a  specific  modification  of  a  typical 
particulate  sampling system as shown in figure  14.  The double dilution 
system  includes  all important  parts  of the  particulate  sampling system, 
like  filter  holders  and  sampling  pump,  and  additionally  some  dilution 
features,  like a dilution air supply and a secondary  dilution tunnel. 

In order to avoid any impact on the control loops, it is recommended that 
the  sample  pump  be running throughout the  complete test procedure. 
For the single filter method, a bypass system  shall be  used for passing 
the sample through the sampling filters at the desired times.  Interference 
of the switching  procedure  on the control loops must be minimised. 

Descriptions - Figure  14 and 15 

•  PSP  Particulate  Sampling  Probe  (figures  14 and  15) 

The  particulate  sampling  probe  shown  in the figures  is the  leading 
section of the particulate transfer tube  PTT. 

The probe: 

Shall be installed facing upstream at a point where the dilution air 
and  exhaust  gas  are  well  mixed,  i.e.  on the  dilution  tunnel  DT 
centre-line  of  the  dilution  systems  (see  paragraph  1.2.1), 
approximately  10  tunnel  diameters  downstream  of  the  point 
where the exhaust enters the dilution tunnel) 

Shall be  12mm in minimum  inside  diameter. 

138 

May be heated to no greater than 325K (52°C) wall temperature 
by direct  heating  or by dilution air pre-heating,  provided the air 
temperature  does  not  exceed  325K  (52°C)  prior  to  the 
introduction of the exhaust in the dilution tunnel. 

May  be insulated. 

139 

Figure 14 

Particulate Sampling System 

from dilution tunnel DT 
see figures  4 - 13 

FH 

optional 

from EGA 

or  from PDP 

or  from CFV 

FM3 

or  from GFUEL 

Figure  14 

A sample  of  the  diluted  exhaust  gas  is taken  from  the  dilution  tunnel  DT of  a  partial 
flow  or full  flow  dilution  system  through  the  particulate  sampling  probe  PSP  and  the 
particulate  transfer  tube  PTT  by  means  of  the  sampling  pump  P.  The  sample  is 
passed through the filter holder(s)  FH that contain the particulate sampling filters.  The 
sample  flow  rate  is  controlled  by  the  flow  controller  FC3. 
If  electronic  flow 
compensation  EFC  (see figure  13)  is  used,  the  diluted  exhaust  gas  flow  is  used  as 
command  signal for  FC3. 

140 

Figure  15 

D i l u t i on  System  ( f u ll  flow  system  only) 

FM4 

DP 

SOT 

FH 

P 

FM3 

BV 

PDP 
OR 
CFV 

From dilution 
tunnel  DT 
see figura 13 

BV optional 

-O-®^ 

ajy 

» 

Figure  15 

A sample of the diluted exhaust gas is transferred from the dilution tunnel  DT of a full 
flow  dilution  system  through  the  particulate  sampling  probe  PSP  and  the  particulate 
transfer tube  PTT to the secondary  dilution tunnel SDT, where it is diluted once more. 
The sample  is then  passed through the filter  holder(s)  FH that contain the  particulate 
sampling filters.  The dilution airflow rate is usually constant whereas the sample flow 
rate is controlled by the flow controller  FC3.  If electronic flow compensation EFC  (see 
figure  13)  is  used, the  total  diluted  exhaust  gas flow  is  used  as  command  signal  for 
FC3. 

141 

PTT  Particulate  Transfer Tube  (figures  14  and  15) 

The particulate transfer tube must not exceed 1020mm in length, and 
must be minimised in length whenever  possible. 

The  dimensions are valid for: 

The  partial  flow  dilution  fractional  sampling  type  and  the  full  flow 
single dilution system from the probe tip to the filter holder. 

The  partial  flow  dilution  total  sampling  type  from  the  end  of  the 
dilution tunnel to the filter holder. 

The  full  flow  double  dilution  system  from  the  probe  tip  to  the 
secondary  dilution tunnel. 

The transfer tube: 

May be heated to no greater than 325K (52°C) wall temperature 
by direct  heating  or by dilution air pre-heating,  provided the air 
temperature does not exceed 325K (52°C) prior to the introduction 
of the exhaust in the dilution tunnel; 

May  be insulated. 

SDT Secondary  Dilution Tunnel  (figure  15) 

The  secondary  dilution tunnel  should  have  a  minimum  diameter of 
75mm  and  should be sufficient  length  so as to provide a residence 
time  of  at  least  0.25  seconds  for  the  doubly-diluted  sample.  The 
primary filter holder,-FH, shall be located within 300mm of the exit of 
the  SDT. 

The  secondary  dilution tunnel: 

-  May be heated to no greater than 325K (52°C) wall temperature 
by direct  heating or by dilution  air  pre-heating,  provided the air 
temperature  does  not  exceed  325K  (52°C)  prior  to  the 
introduction  of the exhaust  in the dilution tunnel; 

May  be insulated. 

• 

FH  Filter  Holder(s)  (figures  14 and  15) 

For  primary  and  back-up filters  one  filter  housing  or  separate  filter 
housings may be used.  The requirements of Annex  III, Appendix  1, 
paragraph  1.5.1.3 have to be met. 

142 

The filter holder(s): 

May be heated to no greater than 325K  (52°C) wall temperature 
by direct  heating  or by dilution air  pre-heating,  provided the air 
temperature  does not exceed  325K  (52°C); 

May  be insulated. 

P  Sampling  Pump (figures  14 and  15) 

The  particulate  sampling  pump  shall  be  located  sufficiently  distant 
from  the  tunnel  so 'that  the  inlet  gas  temperature  is  maintained 
constant  (±3K),  if flow correction  by FC3  is not used. 

DP  Dilution Air Pump (figure  15)  (full flow double  dilution only) 

The dilution air pump shall be located so that the secondary dilution 
air is supplied at a temperature  of 298K  (25°C)  ± 5K. 

FC3  Flow Controller  (figures  14 and  15) 

A flow controller shall be used to compensate the particulate sample 
flow rate for temperature and backpressure variations in the sample 
path, if not other means are available.  The flow controller is required 
if electronic flow compensation  EFC  (see figure  13)  is used. 

FM3  Flow  Measurement  Device  (figures  14  and  15)  (particulate 
sample flow) 

The  gas  meter  or flow  instrumentation  shall  be  located  sufficiently 
distant  from  the  sample  pump  so  that  the  inlet  gas  temperature 
remains constant  (±3K),  if flow correction  by  FC3  is not used. 

FM4  Flow  Measurement  Device  (figure  15)  (dilution  air,  full  flow 
double dilution only) 

The  gas  meter  or flow  instrumentation  shall  be  located  so that the 
inlet gas temperature  remains at 298K  (25°C)  ± 5K. 

BV Ball Valve  (optional) 

The ball valve shall have a diameter not less than the inside diameter 
of the sampling tube and a switching time of less than 0.5 seconds. 

Note:  If the  ambient temperature  in the vicinity  of  PSP,  PTT,  SDT, 
and FH is below 239K  (20°C), precautions should be taken to avoid 
particle losses onto the cool wall of these  parts.  Therefore, heating 
and/or insulating these parts within the limits given in the respective 
descriptions is recommended.  It is also recommended that the filter 

143 

face temperature  during sampling  be not below 293K  (20°C). 

At  high  engine  loads,  the  above  parts  may  be  cooled  by  a  non-
aggressive  means  such  as  a  circulating  fan,  as  long  as  the 
temperature  of the cooling medium  is not below 293°K (20°C). 

144 

ANNEX  VI 

(MODEL) 

EC TYPE-APPROVAL  CERTIFICATE 

Stamp of 
administration 

Communication  concerning the: 

-  type-approval/extension/refusal/withdrawal  (1) 

of  type-approval 

of  an  engine  type  or family  of  engine  types with  regard to  the  emission  of  pollutants 
pursuant  to  Directive  95/.../EEC  as last  amended  by  Directive.../.../EEC 

EEC type-approval  No: 

Extension  No: 

Reason for  extension  (where  appropriate): 

SECTION I 

0. 

0.1 

0.2. 

General 

Make  (name  of  undertaking): 

Manufacturer's designation of the parent- /and (if applicable) of the family 

engine(s)  type(s)  (1) : 

0.3. 

Manufacturer's  type coding as  marked  on the  engine(s): 

Location  : 

Method  of affixing  : 

0.4. 

Specification  of  machinery  to  be  propelled  by  the  engine  (2):  . . . 

(  !) 

Delete as appropriate 

(  ! 

As defined  in Annex  Z,  section i of this Directive  (e.g.  : "A") 

145 

0.5. 

Name  and  address  of  manufacturer: 

Name  and  address  of  manufacturer's  authorized  representative  (if any): 

0.6. 

Location,  coding  and  method  of  affixing  of  the  engine  identification 
number  : 

0.7. 

Location  and  method  of  affixing  of the  EEC  approval  mark 

0.8 

Address(es)  of  assembly  plant(s)  : 

SECTION  II 

1. 

1.1. 

Restriction  of  use  (if any): 

Particular conditions to be respected in the installation of the engine(s) on 

the  machinery 

1.1.1. 

Maximum  allowable  intake  depression: 

1.1.2. 

Maximum  allowable  back  pressure: 

kPa 

kPa 

2. 

3. 

4. 

Technical  service  responsible  for  carrying  out  the  tests(1): 

. . .. 

Date  of  test  report  :  . 

Number  of test  report 

1) 

F i ll 
a u t h o r i ty 

in  n . a.  where 
i t s e lf 

t he 

t e s ts 

a re 

c a r r i ed  o ut  by 

t he 

a p p r o v al 

146 

5.The  undersigned  hereby  certifies the accuracy  of the  manufacturer's  description in 
the  attached  information  document  of  the  engine(s)  described  above  and  that  the 
attached  test  results  are  applicable  to  the  type.  The  sample(s)  has  (have)  been 
selected by the approval authority and submitted by the manufacturer as the (parent) 
engine type(s) (1). 

Type-approval  is granted/refused/withdrawn (1) 

Place: 

Date: 

Signature: 

Attachments  : 

Information  package. 

Test  results (see Appendix  1) 

Correlation  study  relevant  to  sampling  systems  used  which  are 
different from the reference  systems (2) (if applicable) 

Delete as appropriate 

j 

Specified  in Annex  I paragraph  4.2 

147 

Appendix 1 

TEST  RESULTS 

1. 

Information  concerning  the  conduct  of the  test(s) (1): 

1.1. 

Reference fuel  used for  test 

1.1.1. 

Cetane  number: 

1.1.2. 

Sulphur  content: 

1.2. 

Lubricant 

1.2.1. 

Make(s): 

1.2.2. 

Type(s): 

1.3. 

1.3.1. 

1.3.2. 

(state  percentage  of oil  in mixture  if lubricant  and fuel  are  mixed) 

Engine  driven  eguipment  (if  applicable) 

Enumeration  and identifying  details: 
Power  absorbed  at  indicated  engine  speeds  (as  specified  by  the 
manufacturer): 

Power PAE (kW) absorbed at various engine speeds (2) 

Equipment 

Intermediate 

Rated 

TOTAL: 

(  :) 

For the case of several parent engines to be indicated  for each of 
them 

(  ") 

Must  not  be  greater* than  10% of  the  power  measured  during  the  test. 

148 

1.4. 

Engine  performance 

1.4.1 

Engine  speeds: 

Idle: 

Intermediate: 

Rated: 

rpm 

rpm 

1.4.2. 

Engine  power (1) 

rpm 

Power  setting  (kW)  at various  engine  speeds 

Condition 

Intermediate 

Rated 

Maximum  power 
measured  on test  (PM ) 
(kW)(a) 

Total  power  absorbed  by 
engine  driven  equipment 
as  per  paragraph  1.3:2 
of this  appendix,  or 
paragraph  2.8  of  Annex 
I".  (PAE )  (kW)  (b) 

Net engine  power  as 
specified  in  paragraph 
|  2.4.  of Annex  I (kW)  (c) 

| 

c  = a  + b 

(  ') 

Uncorrected  power measured  in accordance  with the provisions of  paragraph  2.4. ol  Annex  I. 

149 

1.5. 

Emission levels 

1.5.1. 

Dynamometer  setting (kW) 

Percent  Load 

10 

50 

75 

100 

___ 

Dynamometer  setting  (kW)  at  various  engine  speeds 

Intermediate 

XXXXXXX 

Rated 

. 

1.5.2. 

8  mode  emission test results: 

CO: 

HC: 

NO-

g/kWh 

g/kWh 

g/kWh 

Particulates: 

g/kWh 

1.5.3. 

Sampling  system  used for the test: 

1.5.3.1. 

Gaseous emissions (1): 

1.5.3.2. 

Particulates  (1): 

1.5.3.2.1.  Method  (2): Single /  Multiple Filter 

Indicate  figure numbers defined in Annex V paragraph 1 

Delete as appropriate 

150 

ANNEX  VII 

APPROVAL CERTIFICATE  NUMBERING  SYSTEM 
(see Article 4, paragraph 2) 

1. 

The number shall consist of 5 sections  separated by the '*'  character. 

Section  1 :  the lowercase  letter 'e'  followed by the distinguishing  letter(s)  or number of 

the Member  State issuing the approval : 

'1' 
'2' 
'3' 
'5* 
'4' 
'6' 
'9' 
'11' 
'12* 

for  Germany 
for  France 
for Italy 
for  Sweden 
for the  Netherlands 
for  Belgium 
for Spain 
for the  United  Kingdom 
for Austria 

'13' 

for  Luxembourg 

•17' 
•18' 
'21' 
'EU 

for  Finland 
for  Denmark 
for  Portugal 
for  Greece 

'IRLV 

for  Ireland 

Section 2:  the  number  of  this  Directive. As  it  containé  different  implementation  dates 
and  different  technical  standards,  two  alphabetical  characters  are  added. 
These  characters  refer  to  the  different  application  dates  for  the  stages  of 
severity  and  to  the  application  of  the  engine  for  different  specification  of 
mobile  machinery,  on  the  basis  of  which  type-approval  was  granted.  The 
first  character  is  defined  in  Article  9.  The  second  character  is  defined  in 
Annex I, section  1 with regard to the test mode defined in Annex  III, section 
3.6.. 

Section 3:  the  number  of  the  latest  amending  Directive  applicable  to  the  approval.  If 
applicable  two  further  alphabetical  characters  are  to  be  added  depending 
on the conditions described in section 2, even if due to the new  parameters 
only  one  of  the  characters  was  to  be  changed.  If  no  change  of  these 
characters  apply they  shall be omitted. 

Section 4:  a 4-digit sequential number (with leading zeros  as applicable) to denote the 

base approval  number.  The sequence  shall start from 0001. 

•J 

Section  5:  a 2-digit  sequential number  (with a leading zero  if applicable)  to denote the 
extension.  The  sequence  shall  start  from  01  for  each  base  approval 
number. 

Example of the third approval (with, as yet,  no extension)  corresponding  to  application 
date A (Stage I, upper powerbund)  and to the application of the engine for  specification 
A of mobile  machinery,  issued by the  United Kingdom: 

e  11*95/...AA*00/000XX*0003*00 

Example  of  the  second  extension  to  the  fourth  approval  corresponding  to  application 
date  E  (Stage  II,  medium  powerband) 
for  the  same  specification  of  machinery  (A), 
issued by Germany: 

e 1*95/...EA*00/000XX*0004*02 

151 

ANNEX  VIII 

LIST OF  ENGINE  (FAMILY)  TYPE APPROVALS  ISSUED 

Stamp  of 
administration 

List  number  : 

Covering the  period 

to 

The following information in respect of each approval granted, refused or withdrawn in 
the  above  mentioned  period shall  be given : 

Manufacturer 

Approval  number 

Reason for  extension  (where  applicable) 

Make 

Type  of engine /  engine family (1) 

Date of  issue 

First  issued  date  (in the  case  of  extensions) 

( 

'•) 

Delete as appropriate 

152 

ANNEX  IX 

LIST OF  ENGINES  PRODUCED 

Stamp of 
administration 

List  number  : 

Covering the  period 

to 

The following information in respect of identification numbers, types, families and type-
approval numbers of engines produced in the above mentioned period in accordance 
with the  requirements  of this  Directive  shall  be  given : 

Manufacturer  : 

Make  : 

Approval  number  : 

Engine family  name  (1) : 

. .. 

Type  of engine  : 

1 

Engine  identification 

numbers  : 

...001 
...002 

m 

Date  of  issue  : 

First  issued  date  (in the  case  of  addenda): 

...001 
...002 

...001 
...002 

(  ]) 

Omit as appropriate; the example shows an engine family containing 
'n1  different  engine  types  of  which  were  produced  units  bearing 
identification numbers from...001 up to 
...001 up to 
...001 up to 

m of type 1 
p of type 2 
q of type n 

153 

ANNEX X 

DATA SHEET OF TYPE-APPROVED ENGINES 

no. 

date  of 
certifi 
cation 

manu 
facturer 

type 
"/ 
family 

cooling 
medium 

no.  of 
cylinders 

swept 
volume 
(cm3) 

power 

(kW) 

rated 
speed 
(min1) 

combustion 

(2) 

after 
-  treatment 
(3) 

engine  description 

\ 

-

Stamp of 
administration 

emissions (g/kWh) 

PT 

NOx 

CO 

HC 

liquid or air 

Abbreviate:  DI = Direct  Injection,  PC = Pre/Wirl Chamber,  NA = Natural Aspirated, 
TC = Turbocharged, TCA = Turbocharged  incl. Aftercooling. 

Examples : 

DI NA, DI TC, DI TCA, PC NA, PC TC, PC TCA 

Abbreviate: 

CAT = Catalyst, TP = Particulate Trap, EGR = Exaust Gas Recirculation 

FINANCIAL STATEMENT 

SECTION I - Financial Consequences  (part B of the budget) 

1.  TITLE OF OPERATION 

Proposal  for a Directive of  the Council  and  the European 
Parliament 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 
internal  combustion  engines  to  be  installed  in non-road 
mobile machinery 

2.  BUDGET HEADING INVOLVED 

B4-304 Environmental Legislation and other general actions 
based  on  the  5th  Action  Programme  relating  to  the 
environment,  [Projects  (XI/D/3)]. 

LEGAL BASIS 

EU Treaty Article 100a, 

Resolution of  the Council  and  the Representatives  of the 
Governments of the Member States meeting within the Council 
of 1 February 1993 on a Community programme of policy and 
action  in  relation  to  the  environment  and  sustainable 
development  (OJ No C 138, 17.05.1993,  p.l). 

DESCRIPTION OF OPERATION 

4.1  General Objective 

Recent  investigations I1) undertaken by the Commission 
show that the category of engines covered by the scope 
of  the  Directive  Proposal  is  responsible  for  a 
considerable share of air pollution by nitrogenoxides 
(NOx) and particulates  (PT). This is particularly true 
when  it  is  compared  with  that  coming  from  the road 
transport  sector.•  Thus  the  proposal  aims  at 
significant  reduction of air pollution in respect of 
these and other pollutants coming from new engines of 
this category. NOx emissions  cause acidification and 
ozone formation. Particulate emissions are harmful or 
mutagenic and therefore recognized as a serious health 
risk. These reductions of emissions will be beneficial 
for human health and the environment. 

"The  Estimation  of  the  Emissions  of  'Other  Mobile  Sources  and 
Machinery'  Subparts 
and  Machines', 
'Railways', and  'Inland Waterways' in the European Union. 
(Final Report September 1994, prepared  for the European Commission, 
Andrias/Samaras/Zierock). 

'Off-Road  Vehicles 

- 

155 

for human health and the environment. 

Based  on  Article  100a  of  the  Treaty,  the  proposed 
. . Directive  will  not  cause  restrictions  to  the  free 
circulation  of products  within  the  framework  of the 
internal market. 

4.2  Period  covered  and  arrangements  for  renewal  or 

extension 

The proposed Directive requires: 

that Member States: 

take  all  necessary  steps  to  ensure  that 
engines covered by its scope comply with the 
defined requirements in respect of emissions 
of  pollutants.  The  stringency  of  the 
requirements is graded into two stages, and 
their application is staggered depending on 
the power output of the engines. Different 
kinds of application dates are foreseen in 
respect of type-approval, production or sale 
of  the  engines.  In  total  the  first 
obligatory date of the proposed Directive is 
31 March 1997, the last 31 December 2005; 

inform  each  other  with  regard  to  type-
approval issues including particular queries 
(Conformity  of 
in  respect 
Production) ; 

of  COP 

inform the Commission yearly with regard to 
emission-relevant  data  on  the  engines 
certified,  and  with  regard  to  exemptions 
granted; 

participate in the meetings of the Committee 
for Adaptation to Technical Progress. 

that the Commission: 

the 

need, 

investigates 
the 
possibilities, for an eventual extension of 
the scope to engine types not yet covered. 
If  necessary  a  corresponding  amending 
proposal  shall 
1 July 1996; 

presented 

after 

and 

be 

holds  appropriate  consultations  for  the 
purpose of reaching a settlement in the case 
of disputes between Member States in respect 
of type-approval and COP issues; 

convenes the meetings of the Committee for 
Adaptation to Technical Progress. 

156 

5. 

Classification  of expenditure or revenue 

DNO and CD 
There  are no  receipts  following  this  action 

6. 

Type of expenditure 

Technical  services directly  linked with the achievement of 
the  objective  of  the  measure  of  which  they  form  an 
integrated  part  in order  to  give  the  necessary  scientific 
and technical advice in the implementation of the proposal. 

7. 

Financial  Impact 

7.1  Method  of  calculating  total  cost  of  operation 

(definition  of unit  costs) 

-  technical  assistance  (services)  15.000  ECU/year 

7.2  .Itemised breakdown  of  cost  (in 1000  1994 ECUs) 

1995 

1996 

1997 

1998 

TOTAL 

Technical 
Assistance  15 

8. 

Anti-Fraud  Dispositions 

15 

25 

30 

85 

-  It  will  be  explicitly  specified  in  contracts  that  all 

work performed  is the property  of the  Commission 

-  Final payment  of  contractors  will  only  take place  after 
reception  and  examination  of  the- reports  and  services 
requested 

157 

SECTION II - 

Elements of Cost-Effectiveness Analysis 

9.1 

Specific  and  quantifiable  objectives;target 
population 

The general objective of the operation is to increase the 
protection of: 

human  health,  ecosystems,  vegetation  and 
materials against the impact of nitrogen oxides, 
hydrocarbons and ozone; 

human health additionally  against  the impact of 
particulate emissions; 

ecosystems  additionally  against  the  impact  of 
nitrogen oxides deposition  ("acid rain") on land 
or water. 

According  to  the  calculations  described  in  (l), the 
sector covered by the proposed Directive is responsible 
for air pollution by nitrous oxides(NOx) to 855 kilotons 
and  by  particulate  emissions(PT)  to  100  kilotons  per 
year. 

If compared with the total emissions from EU diesel road 
traffic  (2300/300 kilotons NOx/PT) the achievable amount 
of  emission  reduction  from  non-road  mobile  machinery 
engines  (42% NOx, 67% PT - Stage II) is relatively high. 
Also beneficial will be the reduction of hydrocarbon and 
carbon  monoxide  emissions. However  these  are  not  very 
significant in comparison with other major polluters. 

The envisaged reduction of emissions will only reduce the 
environmental and health impact, not eliminat-e it. 

9.2 

Grounds for the operation 

The  engines  covered  by  the  scope  of  the  proposed 
Directive  have  not  been  subject  to  any  emission 
requirement  until  now. According  to  the  considerations 
that  are  described  above  and  in  chapter  2.3  of  the 
explanatory memorandum the amount of air pollution coming 
from  thèse  sources  is  relatively  high  in  respect  of 
nitrogen oxide and particulate emissions. 

Thus it would be unreasonable  to neglect  this source of 
pollutants which can be reduced by economically feasible 
measures,  in  particular  as  the  envisaged  further 
reduction requirements for road vehicle engines may have 

158 

a  higher  cost/benefit  ratio(2) - This  is  caused  by more 
sophisticated  technology needed in the latter case. 

9.3 

Monitoring and evaluation of the operation 

The type-approval Authorities of the Member States that 
granted approvals are committed to control the compliance 
of  new  engines  with  the  requirements.  As  appropriate 
means "Conformity of Production Assessments"  (COP) have 
been defined. 

The  results  obtained  once  all  engines  covered  by  the 
scope  of  the  proposed  Directive  will  comply  with  the 
requirements have been calculated in advance (l)  [see 9.1 
and explanatory memorandum 2.3]. 

For further evaluation of engine emission performance and 
state of the art of technology it is planned to use the 
type-approval  data which  yearly have  to be  sent to the 
Commission by the type-approval Authorities of the Member 
States  (Article 4(5) of the proposed Directive). A date 
for a possible review of the requirements on compression 
ignition  engines  has not been  set  now  as  the proposed 
standards will be applicable in two stages, the latest of 
which enters into force not before 2004 with respect to 
the engine production dates. 

An amendment with regard to an expansion of the scope to 
gasoline  engines  might  be  appropriate  at  an  earlier 
stage, but this is considered as a separate operation. 

(2)  Proposal  for a Directive amending Directive 88/77/EEC; to be presented 
by  the Commission  before  the end  of  1996.  (Article  5(3) of  Directive 
91/542/EEC, OJ No L 295, p.l, 25.10.1991) 

159 

SECTION III - Administrative Expenses  (part A of the budget) 

A  2510: Meeting  expenses  of  Committees  whose  consultation * is 
compulsory in the making of Community acts. 

i)  increase in personnel 

Adoption  of  the  proposal  will  mean  no  net  increase  of 
personnel 

ii)  operating expenses generated by the action  (in 1994 prices) 

From 1997 at the earliest: 

Travel  for  the  Committee  foreseen  in  Article  15  of  the 
proposal. Cost: 

15 x 825 ECU/meeting x 2 meetings/year = 24.750 ECU/year 

The granting of resources by the Commission, including staff and 
additional sums agreed by the budget authority, will enable the 
necessary administrative resources to be mobilized. 

160 

IMPACT ASSESSMENT FORM 

THE IMPACT OF THE PROPOSAL ON BUSINESS 
with special reference to small and medium-sized enterprises 
(SMEs) 

Title of Proposal: 

Proposal for a Directive of the Council and the European Parliament 
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  internal  combustion  engines  to  be 
installed in non-road mobile machinery 

Reference Number  (Repertoire): 

2.  Taking  account 

of 
Community legislation 
main  aims? 

the  principle 
necessary 

of 

subsidiarity, 
in  this  area  and  vhat  are 

why 

is 
its 

The engines subject to this legislation are mobile and will be 
used in mobile machinery. In order to protect human health and 
the  environment.  but  without  restriction  to  the  free 
circulation of products within the framework of the internal 
market, Union-wide action needs to be taken in order to avoid 
any  distortions  of  the market.  In  1993  the  Commission  was 
asked by a Memorandum of four Member States to proceed with 
the preparation of Community legislation in this area. 

In accordance with the "Fifth Action Programme" the proposed 
Directive  aims  at  diminishing  air  pollution  by  reducing 
emissions  of  carbon  monoxide  (CO), nitrogen  oxides  (NOJ , 
hydrocarbons  (HC), and diesel particulates  (PT) from non-road 
mobile machinery.  For this purpose the permissible level of 
emission of these pollutants shall be limited for new engine 
types which are to be installed in this machinery. 

These measures  also contribute  to the  implementation of the 
so-called 'VOC protocol' and 'MOx-protocol' which are part of 
the follow-up activities related to the implementation of the 

161 

UN-ECE Geneva Convention on Long Range Transboundary Transport 
of Air Pollutants. 

2.  Who  will  be  affected 

by  the 

proposal? 

Which sectors of business? 

Primarily  the  proposal  affects  the  manufacturers  of 
diesel  engines  of  the  regulated  range  of power output 
(18 - 560 kW). Secondly the buyers of the engines i.e. 
the  manufacturers  of  non-road  mobile  machinery  are 
concerned. Finally the users of this machinery such as 
construction/road  building  enterprises,  airport  ground 
services, agricultural contractors, forestry Commissions 
and  industry  in  general  are  affected  but  only  at  a 
negligible level. 

Which sizes of business? 

As 'far as the manufacturers of engines are concerned, all 
of them belong to the group of large firms which act at 
international level. 

As far as the manufacturers of non-road mobile machinery 
are concerned, for most of them the statement made above 
is valid. There are also some which belong to the group 
of small and medium-sized firms in respect of production 
of small mobile machinery. 

As far as the users of this machinery are concerned, the 
exact size distribution of firms is not well known, but 
it is evident that the number of small and medium size 
businesses  indirectly  affected,  because  they  are  the 
users of the equipment, is relatively large. 

Are there particular geographical areas of the Community 
where these businesses are found? 

As  far  as  engine manufacturers  are  concerned,  France, 
F.R.  Germany,  Italy  and  the  United  Kingdom  are  most 
affected  by  the  proposal.  This  is  also  true  for 
manufacturers  of  bigger  machinery.  Manufacturers  of 
smaller machinery, and users of all classes of machinery, 
can  be  found  throughout  the  whole  Community.  Their 
density depends mainly on the extent of industrialisation 
of a country or a region. 

162 

3.  What  will  business  have  to  do  to  comply  with 

the 

proposal? 

As far as engine manufacturers are concerned, they will have 
to improve the engine design. Additionally they must arrange 
the  necessary  procedures  for  the  type-approval  and  if not 
already existing they must provide the facilities for emission 
testing. If they have not yet integrated appropriate quality 
assurance  systems  into  their  manufacturing  processes,  they 
will now be forced to do so in order to guarantee conformity 
of production. These requirements are expected to result also 
from other legislation in the international area which is in 
preparation or has just been published, such as the new rule 
of the USA(:) . 

The technologies necessary for achieving compliance with the 
provisions  of  the  Directive  are  already  available  in 
principle, but need to be adapted to the "non-road engines" 
currently manufactured. Therefore, additional time periods for 
compliance  with  the more  stringent  limit values  (Stage II) 
have been provided in the proposal. Stage I limit values are 
already met by many engines currently marketed. 

With regard to the machine manufacturers the proposal demands 
little.  They  just  have  to  follow  the  instructions  of  the 
engine manufacturers for possible changes of installation. In 
some cases due to changes of  the outer  shape of the engine 
type, corresponding  adaptation of the machine design may be 
necessary. 

As  far as the users are concerned, there are no obligations 
associated  with  the  proposed  Directive  because  existing 
machinery does not have to comply with the requirements set 
for new machinerv. 

4.  Which  economic  effects 

is 

the  proposal 

likely 

to  have? 

On employment? 

The  measures  proposed  should  have  a  positive  overall 
effect on employment because new jobs will be created in 
industrial  sectors  dealing  with  the  design  and 
manufacturing of environmentally friendly engines. Bigger 
engine manufacturers which have not yet produced "on-road 
engines" for which type-approval certification procedures 
have had to be carried out already some years, may have 
to  create  jobs  in  order  to  provide  the  necessary 

"Determination  of  Significance 
Standards 
37  kW". 
(US  EPA,  40  CFR  Parts  9  and  89) 

and  Emission 
for  New  Nonroad  Compression-Ignition  Engines  at  or  above 

for  Nonroad  Sources 

mmmmmmmmÊmmmmmmmm 

163 

certifications. 

This  is  also  true  in  respect  of  additional  work  for 
Technical Services and Type-Approval Authorities. Major 
direct negative effects on the employment in the sectors 
covered by the proposal cannot be identified. 

On investment and creation of new business? 

The proposal requires manufacturers of engines to modify 
engine models. In practical terms, the estimated annual 
costs  for  technically  up-grading  the  engines  are 
estimated to be in the range of about 31 to 125 million 
ECUs  per  year,  is  ultimately  to  be  shared  by  several 
thousands of firms using this type of equipment, because 
it can be assumed  that manufacturers  will pass on the 
costs to the users. 

The timetable for the implementation has been designed in 
such a way that, in practical terms, it stretches over a 
period of about 9 years, avoiding peak accumulations of 
expenditures  for the Industry.  It can be expected that 
most  of  the  costs,  from  the  point  of  view  of  the 
manufacturers, will be covered by higher prices. However, 
the potential price  increase  will  be very  small given 
that  the  additional  costs  in  respect  of  the  improved 
engine design are in general in the range of a few per 
cent(2)  of  the  price  of  an- engine.  These  have  been 
calculated to be in the range of 214 - 356 ECU for Stage 
I and 300 - 1050 ECU for Stage II depending on the size 
of the engine. 

Taking  into  account  that  the costs  for  the engines in 
general are only a small fraction of the total costs of 
the  final  machinery,  the  impact  of  the  additional 
requirements on the prices of the completed machines is 
estimated to be marginal. Therefore, it is expected that 
the proposal as such will not have any negative, but will 
rather have positive repercussions on the generation of 
new businesses in the sectors concerned. 

In respect of necessary  investments  in the production-
line  it  is  estimated  that  these  are marginal ' for  the 
following reasons: 

Stage  I  would  come  into  force  between  07/1997  and 

"The  Estimation  of  .the  Emissions  of  'Other  Mobile  Sources  and 
Machinery1  Subparts -  'Off-Road Vehicles and Machines', 'Railways', 
and  'Inland Waterways' in the European Union. 
(Final  Report  September  1994,  prepared  for  the  European  Commission, 
Andrias/Samaras/Zierock). 

164 

01/1999, and compliance would only necessitate the non-
usage  of  obsolete  engine  technology,  i.e.  some engine 
types  would  have  to be  replaced  by  new models. These 
changes  could  in  any  case  have  been  pending  due  to 
competition  forces.  Stage  II  would  come  into  force 
between 01/2001 and 01/2004, thus allowing industry time 
to  plan  the  coinciding  of  application  dates  for  new 
emission performance with pending engine model changes. 
Thus additional costs only would arise if in single cases 
the investment had to be made earlier than foreseen by 
the original depreciation calculation. And even then the 
investment does not appear to be excessive. Most of the 
technical changes can be made by adaptation of existing 
tools  and  the  integration  of  more  sophisticated 
components (e.g. turbocharger, injection pumps, injection 
nozzles) which are available on the market. 

In  addition  to  these  costs,  those  necessary  for 
additional research and development work and for related 
facilities must be mentioned. 

All  in  all,  these  additional  costs  will  differ  from 
manufacturer 
to  manufacturer  depending  on  the 
infrastructure which he already has available. 

For example if a manufacturer is used to produce engines 
for  "on-road"  purposes,  then  emission  measurement 
hardware,  know-how  and  operational  facilities  for the 
preparation of certification  applications, are already 
there. Another  manufacturer,  not  yet  experienced  with 
emission  type-approval  may  be  required  to  invest  some 
capital  in measuring  facilities and in some additional 
personnel  costs.  In  other  words,  in  this  cases  new 
employment will be created. 

The  certification  charges  to  be  paid  for  the  local 
administration  will  raise  the  funds  necessary  for 
additional manpower. Also this fact will have positive 
repercussions on the creation of new employment. 

On the competitiveness of businesses? 

All relevant competitors will be equally affected by the 
costs  for  the  improvement  of  the  engines.  The 
certification  charges  might  only  marginally  differ 
between the Member States. 

In respect of the additional costs which depend on the 
already existing infrastructure of the firms, it must be 
taken  into  account  that  they  compete  at  international 
level. Thus, if not today due to the proposed EC-

165 

Directive, very soon these costs will have to be invested 
anyway  as  international  requirements  will  also  create 
this  need.  For  example  just  in  June  1994, the United 
States  of America  published  a new  rule(3) which,  to a 
large extent, covers the same sector of application as 
this proposed Directive. The title of the US rule is: 

"Determination of Significance for Nonroad Sources 
and Emission Standards for New Nonroad Compression-
Ignition Engines at or above 37 kW". 

As  a  result  of  cooperation  between  the  Commission 
services and the US Environmental Protection Agency (EPA) 
during the preparation of both the new US Rule and the 
proposed  Directive,  an  significant  consensus  of  the 
requirements in terms of measuring procedures and limit 
values has been achieved for this particular category of 
mobile  emission  sources. Both  the  European  and  the US 
industry  have  confirmed  that  this  compatibility  of 
emission  legislation  on  mobile  sources  covering  this 
worldwide market is very important. 

In parallel,  this  Proposal  is  in  line  with  an UN/ECE 
Draft Regulation on emissions from agricultural tractors, 
which  was  recently  proposed  for  adoption' under  the 
framework of the UN/ECE "1958 Agreement". This regulatory 
document covers some of the same kind of engines as this 
Directive  Proposal,  and  is  based  on  the  same  test 
procedure. 

All in all, the additional costs of manufactured products 
generated by the requirements of the proposed Directive 
is estimated to be so low that no negative effects on the 
competitive position of businesses can be identified. 

On  the  contrary,  in  the  case  that  single  engine 
manufacturers  may  be  forced  to  improve  their  quality 
assurance  systems, this will  increase  their  efficiency 
and thus competitiveness. 

Moreover,  as declared  above,  international  competitors 
will  have  to comply with  the  same  emission standards. 
Therefore, the accelerated development of environmentally 
friendly products might  strengthen the position of the 
sectors affected, seeing that environmental protection is 
becoming a major field of policy all over the world. 

US EPA, 40 CFR Parts 9 and 8 9 

166 

5.  Does the  proposal  contain  measures  to  take  into  account  the 

specific  situation  of  small  and medium-size  firms  (reduced, "or 
different 

requirements  etc) ? 

"""  ~" 

The manufacturers of the engines  subject to this regulation 
can all be considered to be large. 

Manufacturers of machinery are only  indirectly concerned as 
the  prices for the engines to be installed  will  increase 
marginally.  This  condition  will  be the same  for  all 
competitive enterprises, independent from their size. 

The users of the machinery will be insignificantly affected by 
negligibly increased prices for new machinery. 

Thus particular measures in favour of small and medium sized 
firms appear to be inadequate. 

6.  Consultation 

List of organizations which have been consulted with regard to 
the proposal, and outline of their main views: 

CECE  (Industry;  Committee  for European  Construction 
Equipment) 

CEMA  (Industry;  Comité  Européen  des Groupements de 
Constructeurs du Machinisme Agricole) 

EUROMOT (Industry; Association of European Manufacturers 
of Internal Combustion Engines) 

ICOMIA  (Industry;  International  Council  of  Marine 
Industry Associations) 

ICOMIA's concern is that marine engines are as yet not covered 
by the scope of the proposed Directive. Not for environmental 
reasons, but with the intention to avoid inconsistencies in 
requirements  arising  in different  regions  from  various 
Authorities, they would welcome a union-wide  requirement on 
emissions from light marine engines  (inland waterways). 

Unfortunately  the  study on the  estimation of European-wide 
emissions from all kinds of machinery, has shown clearly that, 
with  regard to air pollution  from  light marine  engines, an 
emergency  situation  does  not exist.  Thus  the proposed 
Directive focuses firstly on the main polluters in respect of 
NOx and PT emissions. 

A future extension of the Directive could cover these engines 

167 

in  context  with  abatement  of  other  pollutants  coming  from 
gasoline engines to be installed  in different machinery. To 
enable this, comprehensive investigations with regard to the 
state  of  the  art  of  emission  performance  of  the  engines, 
concerned would have to be firstly carried out. 

CECE, CEMA and EUROMOT expressed similar concerns and were all 
related  to  the  certification  and manufacturing  of engines. 
With regard to the production of machinery, there was no great 
apprehension.  In fact, this proposal  does not give rise to 
anxieties of SMEs, but rather there are concerns with regard 
to  engine  production  and  certification  i.e.  of  large-scale 
industry. 

Related to the associations' specific desires outlined during 
the consultations  such as engine marking and exemptions for 
end-of-series  engines,  the  proposal  has  been  extensively, 
aligned. This was possible, as during the advisory meetings 
held by DG XI in respect of these topics, a final agreement 
was reached in compliance with the opinion of the experts of 
the governments of the Member States and the EFTA countries. 

The outstanding Industry criticisms were as follows: 

too strict limit values of Stage II; 

too strict time scale; 

too burdensome administrative procedures. 

and there was limited flexibility for corresponding, amendments 
in relation to same. But in accordance with the opinions of 
Member States' experts some minor alignments of the proposal 
have been made also in respect of these wishes expressed by 
the Industry. 

With regard to the achievable emission performance and state 
of the art of technology of today's engines and up to 9 years 
in  the  future,  amongst  the  statements  of  the  industry 
organizations  own  evaluations  have  been  carried  out. While 
certain of the elements used for this investigation have been 
challenged by some industry representatives, as being overly 
optimistic  the  industry  organizations  were  unwilling  for 
reasons of confidentiality to substantiate their position with 
technical data to a sufficient extent. The Research(4) carried 
out in addition showed clearly the feasibility of the proposed 
requirements.  Thus  the  final  proposal  does  not  completely 
follow industry suggestions. 

The  time  table  for  the application  of  the requirements  has 

Emission  Limits  of  Non-Road  Mobile  Machinery  Engines,  G.Cornetti 
31/08/1994 

168 

been designed in order to comply as far as possible with the 
wishes of the Industry. Thus the corresponding implementation 
scheme has become rather complex due to staggering in respect 
of different powerbands  and different  stages of stringency. 
The lead time is sufficient, as for Stage I (coming into force 
between 01/1997 and 01/1999 for the production of the engines) 
just obsolete engine technology has to be suppressed. Up to 
the application of Stage  II a period  of stability of  five 
years has been foreseen. Thus the application dates of stage 
II  will  come  into- force  9  years  from  now  at  the  latest 
(01/2004) . 

The reporting requirements and the type-approval approach were 
not appreciated by EUROMOT, and this view was supported by the 
other  two  associations.  The  industry  resistance  may  be 
explained  mostly  with  anxieties  of  those  companies  whose 
products have not yet been subject to any type approval. They 
are unaccustomed to these procedures. It should be noted that 
almost all of the procedures foreseen are in harmony with the 
pattern in force for the type approval of  "on-road engines" 
defined  in  Directive  88/77/EEC (5) ,  as  last  amended  by 
Directive  91/542/EEC(6) , 
70/156/EEC(7) , as last amended by Directive 93/81/EEC (8) . The 
desired self-certification approach has not been considered as 
appropriate mainly for the following reason: 

in  conjunction  with  Directive 

In contrast  to  requirements  related  to  security  aspects of 
technology, engine manufacturers do not risk becoming liable 
for possible damages caused by engines which did not comply 
with emission certificates. Thus it can be expected that, by 
the application of a self-certification regime, contractors -
in respect of emission compliance - would be willing to accept 
higher risks than in other areas. Therefore a certain control 
regime is indispensable and the type-approval approach taken, 
is  a  European  method  which  has  stood  the  test  of  time. 
However,  in  comparison  to  existing  legislation  related  to 
engines  for, on-road  use,  substantial  relief  has  been 
incorporated'with the Family-Concept, where only the parent 
engine has to be tested, and the waiver of any registration of 
the machinery once it has been completed with the certified 
engine at the time of entry into service. 

With  regard  to  the  complaints  concerning  the  reporting 
requirements^ it must be pointed out that these objections do 
not appear reasonable in the current era of modern electronic 

"5> 

6) 

71 

31 

OJ No L 36, 09.02.1988, p.33 

OJ No L 295, 25.10.1991, p.l 

OJ No L 42, 23.02.1970,p.l. 

OJ No L 264, 23.10.1993, p.49 

169 

data processing.  Given  the  examples  from  type-approval  for 
"on-road  engines",  gathering,  maintaining  and  regular 
reporting of the relevant data should not be an administrative 
and bureaucratic burden on the  Industry. However, where the 
type-approval  Authority  can  fulfil  its  surveillance  duties 
with  less  reports  from  the manufacturers  using  ether means 
than that foreseen by the drafted scheme, a flexibility clause 
has been integrated which commits the manufacturers to report 
only on demand by the Authority. Of course the provisions of 
the  proposed  Directive  must  always  be  safeguarded  by  the 
Authorities  i.e.  the  effective  control  of  compliance  in 
respect of the implementation dates with regard to production 
and sales, and the compliance with the special conditions for 
the  case  of  exemptions  to  be  granted  (see  Explanatory 
Memorandum esp. 9.6 and 9.11). 

170 

ISSN  0254-1475 

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06  05  14 

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