The Non-Road Mobile Machinery (Emission of Gaseous and Particulate Pollutants) Regulations 1999

© Crown Copyright 1999

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(a) "Directive 97/68/EC" means the European Parliament and Council Directive 97/68/EC on the approximation of laws of the member States relating to measures against the emission of gaseous and particulate pollutants from internal combustion engines to be installed in non-road mobile machinery[3];

(b) "the 1987 Act" means the Consumer Protection Act 1987[4];

(c) "non-road mobile machinery" means any mobile machine, transportable industrial equipment or vehicle with or without body work, not intended for the use of passenger-or goods-transport on the road, in which an internal combustion engine as specified in regulation 3(1) is installed;

(d) "type approval" means the procedure whereby the approval authority certifies that an internal combustion engine type or engine family satisfies the relevant technical requirements of these Regulations with regard to the level of emissions of gaseous and particulate pollutants by the engine;

(e) "engine type" means a category of engines which are similar in such essential engine characteristics as specified in Schedule 2, Appendix 1;

(f) "parent engine" means an engine selected from an engine family in such a way that it complies with the requirements set out in paragraphs 6 and 7 of Schedule 1;

(g) "engine family" means a manufacturer's grouping of engines which, through their design, are expected to have similar exhaust emission characteristics as specified in Schedule 2 and which comply with the requirements of these Regulations;

(h) "engine power output" means net power output of the engine;

(i) "engine production date" means the date when the engine has passed the final check after it has left the production line and being the stage at which the engine is ready to be delivered or to be put in stock;

(j) "placing on the market" means the action of making available on the Community market, for payment or free of charge, a product to which these Regulations apply with a view to distribution or use or both in the Community;

(k) "manufacturer" means the person responsible for the construction of an engine and responsible to the approval authority for all aspects of the type approval process and for ensuring conformity of production.

(l) "technical service body" means the approval authority or the person that has been appointed as a testing laboratory to carry out tests or inspections;

(m) "information document" means the document set out in the format specified by Schedule 2 containing the information prescribed by that Schedule;

(n) "information folder" means the total folder or file of data, drawings, photographs and any other material supplied by the applicant to the approval authority or the technical service body as prescribed in the information document;

(o) "information package" means the information folder plus any test results or other documents that the approval authority or the technical service body has added to the information folder in the course of carrying out its functions;

(p) "index to the information package" means the document in which the contents of the information package, suitably numbered or otherwise marked to clearly identify all the pages, are listed;

(q) "competent approval authorities" means the bodies appointed as the approval authority in a member State other than the United Kingdom in accordance with Directive 97/68/EC.

    (2) For the purposes of these Regulations, the terms, symbols and abbreviations set out in paragraph 2 of Schedule 1 shall be interpreted in accordance with that paragraph.

    (3) For the purposes of these Regulations, Annexes, I, II, III, IV, V, VI, and VII to Directive 97/68/EC are respectively set out in Schedules 1, 2, 3, 4, 5, 6, and 7, and a reference in a regulation to a paragraph of a Schedule is a reference to a section in the Annex as set out in the relevant Schedule.

    (4) For the purposes of these Regulations, the Secretary of State is the approval authority.

    (4) These Regulations do not apply to engines for the propulsion of vehicles as defined by Council Directive 70/156/EEC[5] as amended by Council Directive 92/53/EEC[6] and by Council Directive 92/61/EEC[7] or agricultural tractors as defined by Council Directive 74/150/EEC[8] as amended by Council Directive 82/890/EEC[9].

    (5) These Regulations do not apply to engines granted type approval in accordance with the provisions of Council Directive 88/77/EEC[10] as amended by Council Directives 91/542/EEC[11] and 96/1/EEC[12] provided that—

(a) the type approval has been granted for an engine with a category set out in the first column of regulation 6(2) on or before the dates specified in the second column of regulation 6(2), and

(b) the engine is placed on the market before the final date specified in regulation 7 for that category of engine.

General duty relating to placing on the market
     4. —(1) Subject to regulations 7 and 15, no person shall place on the market any new engine, whether or not already installed in machinery, unless the requirements of paragraph (2) have been complied with in relation to it.

    (2) The requirements in respect of any engine are that—

(a) the approval authority has issued a type approval certificate,

(b) the engine conforms to the requirements of the type approval, and

(c) the engine has affixed to it markings in accordance with regulation 11(1), including the type approval number.

Categories of engines
     5. —(1) This regulation defines the engine categories for the purposes of regulations 6 and 7.

    (2) An engine is within the category in the first column of the table in this paragraph if it has a power output within the range set out in the second column thereof:

Category A	130kW <= P <= 560 kW
Category B	75kW <= P < 130 kW
Category C	37kW <= P < 75 kW
Category D	18kW <= P < 37 kW
Category E	130kW <= P <= 560 kW
Category F	75kW <= P < 130 kW
Category G	37kW <= P < 75 kW.

Provisions for grant of type approval certificate
     6. —(1) After the coming into force of these Regulations, the approval authority shall not issue a type approval certificate under regulation 9(1) for an engine type or engine family, nor any other type approval for non-road mobile machinery in which an engine is installed, where the engine has a power output falling within Category A, Category B or Category C, if the engine does not meet the requirements specified in these Regulations and if the emissions of gaseous and particulate pollutants from the engine do not comply with the limit values set out in the table in paragraph 4.2.1 of Schedule 1.

    (2) After the date specified in the second column of the table in this regulation, the approval authority shall not grant a type approval certificate under regulation 9(1) for an engine type or engine family, nor any other type approval for non-road mobile machinery in which an engine is installed, in respect of an engine within the category set out in the first column of the table if the engine does not meet the requirements specified in these Regulations and if the emissions of gaseous and particulate pollutants from the engine do not comply with the limit values set out in the table in paragraph 4.2.3 of Schedule 1:

Category	Date
Category D	31 December 1999
Category E	31 December 2000
Category F	31 December 2001
Category G	31 December 2002.

Transitional provisions in respect of placing on the market
     7. Notwithstanding the provisions of regulation 4, a manufacturer may place on the market, before the date specified in the third column of the table in this regulation, an engine within a category specified in the first column of the table with a production date prior to the date specified in the second column in respect of that category:

Category	Producton date	Final date
Category A	31 December 1998	31 December 2000
Category B	31 December 1998	31 December 2000
Category C	31 March 1999	31 March 2001
Category D	31 December 2000	31 December 2002
Category E	31 December 2001	31 December 2003
Category F	31 December 2002	31 December 2004
Category G	31 December 2003	31 December 2005.

Application for type approval
     8. —(1) An application for engine type or engine family approval shall be submitted to the approval authority by or on behalf of a manufacturer ("the applicant"), together with—

(a) the fee payable pursuant to regulation 14 to the approval authority,

(b) the information folder, and

(c) a declaration by the applicant that no application in respect of an engine type or engine family has been submitted in respect of that engine type or engine family to a competent approval authority in any other member State.

    (2) The application shall contain the information set out in Schedule 2, and contain an information document.

    (3) An engine conforming to the information provided pursuant to Schedule 2, Appendix 1 shall accompany the application or the applicant shall provide particulars of where the engine may be examined and tested by the approval authority.

    (4) In the case of an application for engine family approval, if the approval authority determines that the engine submitted with the application does not fully represent the engine family described in the information folder, the applicant shall provide an alternative and, if considered necessary by the approval authority, an additional parent engine conforming to the information provided pursuant to Schedule 2 Appendix 1.

Approval of engines
     9. —(1) The approval authority shall on payment of the fee pursuant to regulation 14 issue a type approval certificate for an engine type or engine family in the form set out in Schedule 6, where the approval authority is satisfied, after examination and testing of the engine by the technical service body, that—

(a) the engine or engine family meets the specifications and has passed all the test procedures and requirements of Schedules 1, 3, 4 and 5, and

(b) the engine or engine family is of a type which conforms with the information given in the information folder which accompanied the application, and

(c) that adequate arrangements ensuring effective control of the conformity of production are in place with regard to the specifications as set out in paragraph 5 of Schedule 1.

    (2) Where the approval authority issues a type approval certificate for an engine type or engine family, it shall, within a period of one month, confirm the date on which the certificate was issued, give notice of that approval certificate and the date it was issued to the competent approval authorities of every other member State, and include with that notice a copy of the type approval certificate issued and particulars of the engine and engine type approved.

    (3) Where the approval authority decides that 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 approval authority shall restrict the scope of the type approval of the engine type or engine family accordingly.

    (4) Where the approval authority restricts the scope of the type approval in accordance with paragraph (3), it shall include in the type approval certificate any restrictions on the use of the engine and shall indicate any conditions for fitting it.

    (5) The type approval certificate shall contain the letters, numbers and information set out in Schedule 7.

    (6) The approval authority shall keep a register of the engine types or engine families which have been granted type approval by it.

Amendments to approvals
     10. —(1) Where the approval authority has issued a type approval certificate to a manufacturer under regulation 9, that manufacturer shall immediately give notice in writing to the approval authority of any change in the particulars appearing in the information folder or information package, if appropriate, and make application to the approval authority to amend or extend the type approval.

    (2) An application for the amendment or extension of a type approval shall be submitted to the approval authority which granted the original type approval, together with a fee pursuant to regulation 14 or an undertaking to pay the fee to the approval authority.

    (3) Where the particulars appearing in the information package have changed, the approval authority shall, subject to paragraph (4) and on payment of a fee pursuant to regulation 14—

(a) issue revised pages of the information package as necessary, marking each revised page to show clearly the nature of the change and the date of re-issue, and

(b) issue a revised approval certificate (denoted by an extension number) if any information on the type approval certificate (excluding its attachments) has changed or if the standards of Directive 97/68/EC have changed since the date of the type approval certificate.

    (4) If the approval authority finds that an amendment to an information package warrants fresh tests or checks it shall inform the manufacturer thereof and issue the documents referred to in praragraph (3) only after the conduct of successful fresh tests or checks to ensure compliance with these Regulations.

    (5) Where the approval authority issues revised pages pursuant to paragraph (3) it shall amend the index to the information package (which is attached to the approval certificate) to show the date the pages were revised.

    (6) Where the approval authority issues a revised approval certificate pursuant to paragraph (3), the revised certificate shall show clearly the reason for the revision and the date of issue of the revised certificate.

Conformity
     11. —(1) Where a type approval certificate has been issued pursuant to regulation 9, the manufacturer shall affix to each unit manufactured in accordance with the approved type the markings as defined in paragraph 3 of Schedule 1 including the type approval number.

    (2) Where the type approval certificate, in accordance with the provisions of regulation 9(4), includes restrictions on the use of the engine—

(a) the manufacturer shall deliver with each unit manufactured a document containing detailed information on those restrictions and indicating any conditions for fitting, but

(b) where a series of engine types is delivered to one single producer of machinery, the manufacturer may provide only one such document, which shall, in addition to the information required by paragraph (a), list the engine identification numbers to be delivered to that producer and which shall be provided not later than the date of delivery to him of the first engine.

    (3) Where any type approval certificate has been issued pursuant to regulation 9, the approval authority may by notice in writing require the manufacturer to send it a list which—

(a) contains identification numbers for each engine type or engine family produced in accordance with the requirements of these Regulations since the list was last supplied to the approval authority in accordance with these Regulations,

(b) specifies correlations of the identification numbers to the corresponding engine types or engine families and to the type approval numbers, where not clarified by the engine coding system,

(c) contains information relating to the cessation of production, where the manufacturer has ceased production of an engine type or engine family, including the date production ceased, the number of engines remaining unsold and the place where those engines are being stored or will be stored.

    (4) If the approval authority requires the manufacturer to send to it a list pursuant to a notice served pursuant to paragraph (3), the list shall be sent—

(i) within 45 days after the end of each calendar year, and

(ii) when the requirements change for each category of engine under regulation 6.

    (5) A manufacturer upon whom a notice has been served pursuant to paragraph (3) shall maintain records of the information provided under paragraph (3) for a minimum period of 20 years.

    (6) A manufacturer upon whom a notice has been served pursuant to paragraph (3) shall send to the approval authority within 45 days after the end of each calendar year and at each date when the requirements change for each category of engine under regulation 6, a declaration specifying the engine types and engine families together with the relevant engine identification codes for those engines the manufacturer intends to produce from the date of the declaration.

    (7) The manufacturer shall send with each list required under paragraph (3) a declaration specifying that each engine bearing a type approval number conforms with the description in the approval certificate.

    (8) The manufacture shall permit the approval authority at any time to carry out tests and inspection of any engine bearing a type approval number in order to verify that the engine conforms to the description given on the approval certificate.

    (9) The manufacturer shall permit the approval authority at any reasonable time to inspect its production procedures to ensure that the requirements set out in paragraph 5 of Schedule 1 continue to be met.

Provision of Technical Service
     12. The approval authority shall notify to the European Commission and the competent approval authorities of the other member States, the names and addresses of the bodies that will be the technical service body for the purposes of these Regulations.

Non-conformity with the approved type or family
     13. —(1) If it appears to the approval authority—

(a) that engines bearing the approval marking in accordance with paragraph 3 of Schedule 1 fail to conform to the type or engine family it has approved, and

(b) that the manufacturer to whom the relevant type approval certificate was issued is unable or unwilling to effect a sufficient remedy,

the approval authority may withdraw the type approval certificate after giving the manufacturer to whom it was issued the opportunity of making representations within a reasonable period as to why it should not be withdrawn.

    (2) Where the approval authority, having considered any representations made under paragraph (1), withdraws a type approval certificate, it shall, in writing—

(a) inform the manufacturer to whom it was issued of the withdrawal of the certificate and of its reasons for the withdrawal, and

(b) inform the competent approval authorities of the member States of its withdrawal.

    (3) Where the approval authority does not withdraw the type approval certificate, it shall inform the competent approval authorities of the other member States of the measures taken to ensure that the engines in production will conform to the approved type or family.

    (4) For the purposes of this regulation, there shall be a failure to conform to the approved type or engine family where the approval authority finds deviations from the particulars in the type-approval certificate or the information package and where those deviations have not been authorised by the approval authority pursuant to regulation 10(3).

    (5) If the approval authority believes that an engine bearing a type approval number and markings does not conform to the approved type or family it may request the competent approval authorities in the member State which granted the type approval to verify that engines in production conform to the approved type or engine family.

Fees
     14. The fees to be paid will be those payable pursuant to regulations made under section 56 of the Finance Act 1973[13].

Exemptions and alternative procedures
     15. —(1) The requirements of regulation 4 do not apply to—

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

(b) engines approved by the competent approval authorities in another member State in accordance with Directive 97/68/EC.

    (2) The approval authority 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 final date for placing on the market as set out in regulation 7 in accordance with the following conditions—

(a) the manufacturer must submit an application to the approval authority before the relevant final date in regulation 7,

(b) the application must include a list of those new engines which remain unsold or have not been placed on the market before the final date and must specify the technical and/or economic reasons on which the application is based,

(c) the engines must conform to a type or family for which the type approval is no longer valid, or which did not require type approval at the time of production, but which have been produced before the production date set out in regulation 7,

(d) the engines must have been physically stored within the European Community between the production date and the final date set out in regulation 7 for that particular category,

(e) the maximum number of new engines of one or more types placed on the market in the United Kingdom under this exemption must not exceed 10 per cent of the new engines of all types concerned placed on the market in the United Kingdom during the previous year.

    (3) If the request is accepted by the approval authority it shall, within one month, send to the competent approval authorities of the other member States particulars of, and reasons for, the exemptions granted to the manufacturer.

    (4) The approval authority shall issue for each engine exempted under paragraph (2) a certificate of conformity on which a special entry has been made.

    (5) The certificate of conformity referred to in paragraph (4) may be included in a consolidated document which contains all the identification numbers of engines exempted under paragraph (2).

    (6) The approval authority shall each year send to the European Commission a list of exemptions granted specifying the reasons.

    (7) The approval authority may not exempt engines under paragraph (2) if a period of 12 months has elapsed since the date on which the engines were for the first time subject to the time limits for placing on the market.

    (4) Nothing in this regulation shall authorise any enforcement authority to bring proceedings in Scotland for an offence.

Offences
     17. Any person who—

(a) places a new engine on the market in contravention of regulation 4, or

(b) fails to send a list in contravention of regulation 11(4), or

(c) fails to maintain records in contravention of regulation 11(5), or

(d) fails to send a declaration in contravention of regulation 11(6), or

(e) fails to comply with the requirements of regulation 11(8), or

(f) in supplying information or producing documents for the purposes of these Regulations—


(i) makes a statement which he knows to be false in a material particular or recklessly makes a statement which is false in a material particular, or

(ii) produces, provides, sends or otherwise makes use of a document which he knows to be false in a material particular or recklessly produces, provides, sends or otherwise makes use of a document which is false in a material particular,



shall be guilty of an offence.

Penalty
     18. —(1) A person guilty of an offence under regulation 17(a) shall be liable on summary conviction to a fine not exceeding the statutory maximum or on conviction on indictment to a fine.

    (2) A person guilty of an offence under regulation 17(b) to (f) shall be liable on summary conviction to a fine not exceeding level 5 on the standard scale.

Defence of due diligence
     19. —(1) Subject to the following provisions of this regulation, in proceedings against any person for an offence under regulation 17, it shall be a defence for that person to show that he took all reasonable steps and exercised all due diligence to avoid committing the offence.

    (2) Where in any proceedings against a person for such an offence the defence provided by paragraph (1) involves an allegation that the commission of the offence was due—

(a) to the act or default of another, or

(b) to reliance on information given by another,

that person shall not, without the leave of the court, be entitled to rely on the defence unless, not later than 7 clear days before the hearing of the proceedings (or, in Scotland, the trial date), he has served a notice under paragraph (3) on the person bringing the proceedings.

    (3) A notice under this paragraph shall give such information identifying or assisting in the identification of the person who committed the act or default or gave the information as is in the possession of the person serving the notice at the time he serves it.

    (4) It is hereby declared that a person shall not be entitled to rely on the defence provided by paragraph (1) by reason of his reliance on information suppied by another, unless he shows that it was reasonable in all the circumstances for him to have relied on the information, having regard in particular—

(a) to the steps which he took and those which might reasonably have been taken, for the purpose of verifying the information, and

(b) to whether he had any reason to disbelieve the information.

Liability of persons other than the principal offender
     20. —(1) Where the commission by any person of an offence under regulation 17 is due to an act or default committed by some other person in the course of any business of his, the other person shall be guilty of the offence and may be proceeded against and punished by virtue of this paragraph whether or not proceedings are taken against the first-mentioned person.

    (2) Where a body corporate is guilty of an offence under these Regulations (including where it is so guilty by virtue of paragraph (1)) in respect of any act or default which is shown to have been committed with the consent or connivance of, or to be attributable to any neglect on the part of, any director, manager, secretary or other similar officer of the body corporate or any person who was purporting to act in any such capacity he, as well as the body corporate, shall be guilty of that offence and shall be liable to be proceeded against and punished accordingly.

    (3) Where the affairs of any body corporate are managed by its members, paragraph (2) shall apply in relation to the acts and defaults of a member in connection with his functions of management as if he were a director of the body corporate.

    (4) In this regulation, references to a "body corporate" include references to a partnership in Scotland and, in relation to such partnership, any reference to a director, manager, secretary or other similar officer of a body corporate is a reference to a partner.


John Battle,
Minister for Energy and Industry, Department of Trade and Industry

28th March 1999

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

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

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

     2.9. Symbols and Abbreviations

     2.9.1. Symbols for test parameters

Symbol	Unit	Term
AP	m²	Cross sectional area of the isokinetic sampling probe
AT	m²	Cross sectional area of the exhaust pipe
aver		Weighted average values for:
	m³/h	—volume flow
	kg/h	—mass flow
CI	–	Carbon 1 equivalent hydrocarbon
conc	ppm Vol%	Concentration (with suffix of the component nominating)
concc	ppm Vol%	Background corrected concentration
concd	ppm Vol%	Concentration of dilution air
DF	–	Dilution factor
fa	–	Laboratory atmospheric factor
FFH		Fuel specific factor used for the calulations of wet concentrations from dry concentrations hydrogen to carbon ratio
GAIRW	kg/h	Intake air mass flow rate on wet basis
GAIRD	kg/h	Intake air mass flow rate on dry basis
GDILW	kg/h	Dilution air mass flow rate on wet basis
GEDFW	kg/h	Equivalent diluted exhaust gas mass flow rate on wet basis
GEXHW	kg/h	Exhaust gas mass flow rate on wet basis
GFUEL	kg/h	Fuel mass flow rate
GTOTW	kg/h	Diluted exhaust gas mass flow rate on wet basis
HREF	g/kg	Reference value of absolute humidity 10.71 g/kg for calculation of NOX and particulate humidity correction factors
Ha	g/kg	Absolute humidity of the intake air
Hd	g/kg	Absolute humidity of the dilution air
i	–	Subscript denoting an individual mode
KH	–	Humidity correction factor for NOX
Kp	–	Humidity correction factor for particulate
KW,a	–	Dry to wet correction factor for the intake air
KW,d	–	Dry to wet correction factor for the dilution air
KW,e	–	Dry to wet correction factor for the diluted exhaust gas
KW,r	–	Dry to wet correction factor for the raw exhaust gas
L	%	Percent torque related to the maximum torque for the test speed
mass	g/h	Subscript denoting emissions mass flow rate
MDIL	kg	Mass of the dilution air sample passed through the particulate sampling filters
MSAM	kg	Mass of the diluted exhaust sample passed through the particulate sampling filters
Md	mg	Particulate sample mass of the dilution air collected
Mf	mg	Particulate sample mass collected
Pa	kPa	Saturation vapour pressure of the engine intake air (ISO 3046: Psy = PSY; test ambient)
PB	kPa	Total barometric pressure (ISO 3046: Px = PX Site ambient total pressure Py = PY Test ambient total pressure)
Pd	kPa	Saturation vapour pressure of the dilution air
Ps	kPa	Dry atmospheric pressure
P	kW	Power, brake uncorrected
PAE	kW	Declared total power absorbed by auxiliaries fitted for the test which are not required by paragraph 2.4 of this Annex
PM	kW	Maximum measured power at the test speed under test conditions (see Annex VI, Appendix 1)
Pm	kW	Power measured at the different test modes
q	–	Dilution ratio
r	–	Ratio of cross sectional areas of isokinetic probe and exhaust pipe
Ra	%	Relative humidity of the intake air
Rd	%	Relative humidity of the dilution air
Rf	–	FID response factor
S	kW	Dynamometer setting
Ta	K	Absolute temperature of the intake air
TD	K	Absolute dewpoint temperature
Tref	K	References temperature (of combustion air: 298 K)
VAIRD	m³/h	Intake air volume flow rate on dry basis
VAIRW	m³/h	Intake air volume flow rate on wet basis
VDIL	m³	Volume of the dilution air sample passed through the particulate sample filters
VDILW	m³/h	Dilution air volume flow rate on wet basis
VEDFW	m³/h	Equivalent diluted exhaust gas volume flow rate on wet basis
VEXHD	m³/h	Exhaust gas volume flow rate on dry basis
VEXHW	m³/h	Exhaust gas volume flow rate on wet basis
VSAM	m³	Volume of sample through particulate sampling filters
VTOTW	m³/h	Diluted exhaust gas volume flow rate on wet basis
WF	–	Weighting factor
WFE	–	Effective weighting factor

     2.9.2 Symbols for the chemical components

CO	Carbon monoxide
CO2	Carbon dioxide
HC	Hydrocarbons
NOX	Oxides of nitrogen
NO	Nitric oxide
NO2	Nitrogen dioxide
O2	Oxygen
C2H6	Ethane
PT	Particulate
DOP	Di-octylphthalate
CH4	Methane
C3H8	Propane
H2O	Water
PTFE	Polytetrafluoroethylene

     2.9.3 Abbreviations

FID	Flame ionization detector
HFID	Heated flame ionization detector
NDIR	Non-dispersive infrared analyser
CLD	Chemiluminescent detector
HCLD	Heated chemiluminescent detector
PDP	Positive displacement pump
CFV	Critical flow venturi

     3. ENGINE MARKINGS
          

     3.1 The engine approved as a technical unit must bear:

     3.1.1 the trade mark or trade name of the manufacturer of the engine;

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

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

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

     3.3 These marks must be secured to an engine part necessary for normal engine operation and not normally requiring replacement during engine life.

     3.3.1 These marks must be located so as to be readily visible to the average person after the engine has been completed with all the auxiliaries necessary for engine operation.

     3.3.2 Each engine must be provided with a supplementary movable plate in a durable material, which must bear all data indicated under section 3.1, to be positioned, if necessary, in order to make the marks referred to under section 3.1 readily visible to the average person and easily accessible when the engine is installed in a machine.

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

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

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

     4. SPECIFICATIONS AND TESTS
          

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

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

If a catalytic converter and/or a particulate 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 after-treatment 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 section 5.2.3. A corresponding warranty must be guaranteed to the customer. Systematic replacement of the device, after a certain running time of the engine, is permissible. Any adjustment, repair, disassembly, cleaning, or replacement of engine components or systems which is performed on a periodic basis to prevent malfunction of the engine in context with the after-treatement 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 methods described in Annex V.

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

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

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

     — for particulate emissions, the full flow dilution system, operating 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% agreement of the averages of the weighted cycle emissions values. The cycle to be used shall be that given in Annex III, section 3.6.1.

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

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

Net power	Carbon monoxide	Hydrocabons	Oxides of nitrogen	Particulates
(P)	(CO)	(HC)	(NoX)	(PT)
(kW)	(g/kWh)	(g/kWh)	(g/kWh)	(g/kWh)
130 <= P <= 560	5.0	1.3	9.2	0.54
75 <= P < 130	5.0	1.3	9.2	0.70
37 <= P < 75	6.5	1.3	9.2	0.85

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

     4.2.3. The emissions of the carbon monoxide, the emissions of hydrocarbons, the emissions of the oxides of nitrogen and the emissions of particulates obtained shall for stage II not exceed amounts shown in the table below:

Net power	Carbon monoxide	Hydrocabons	Oxides of nitrogen	Particulates
(P)	(CO)	(HC)	(NoX)	(PT)
(kW)	(g/kWh)	(g/kWh)	(g/kWh)	(g/kWh)
130 <= P <= 560	3.5	1.0	6.0	0.2
75 <= P < 130	5.0	1.0	6.0	0.3
37 <= P < 75	5.0	1.3	7.0	0.4
18 <= P < 37	5.5	1.5	8.0	0.8

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

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

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

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

     5. SPECIFICATION OF CONFORMITY OF PRODUCTION ASSESSMENTS
          

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

     5.2. The holder of the approval shall in particular:

     5.2.1. ensure existence of procedures for the effective control of the quality of the product;

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

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

     5.2.4. analyse the results of each type of test, in order to verify and ensure the stability of the engine characteristics, making allowance for variations in the industrial production process;

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

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

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

     5.3.2. When the quality level appears unsatisfactory or when it seems necessary to verify the validity of the data presented in application of section 4.2, the following procedure is adopted:

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

     5.3.2.2. if the engine taken from the series does not satisfy the requirements of section 5.3.2.1 the manufacturer may ask for measurements to be performed on a sample of engines of the same specification taken from the series and including the engine originally taken. The manufacturer 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:

where:

L is the limit value laid down in section 4.2.1/4.2.3 for each pollutant considered,

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

n	2	3	4	5	6	7	8	9	10
k	0.973	0.613	0.489	0.421	0.376	0.342	0.317	0.296	0.279
n	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

     — 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

     6.8 Miscellaneous features:

     — exhaust gas recirculation

     — water injection/emulsion

     — air injection

     — charge cooling system

     6.9 Exhaust after-treatment:

     — oxidation catalyst

     — reduction catalyst

     — thermal reactor

     — particulates trap

     7. CHOICE OF THE PARENT ENGINE

     7.1 The parent engine of the family shall be selected using the primary criteria of the highest fuel delivery per stroke at the declared maximum torque speed. In the event that two or more engines share this primary criteria, the parent engine shall be selected using the secondary criteria of highest fuel delivery per stroke at rated speed. Under certain circumstances, the approval authority may conclude that the worst case emission rate of the family can best be characterized by testing a second engine. Thus, the approval authority may select an additional engine for test based upon features which indicate that it may have the highest emission levels of the engines within that family.

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

minimum: . . . . . . . . . . . . . . . . . . . . K          

maximum: . . . . . . . . . . . . . . . . . . . . K

     1.16. Pressure charger: yes/no[26]

     1.16.1 Make:

. . . . . . . . . . . . . . . . . . . .

     1.16.2 Type:

. . . . . . . . . . . . . . . . . . . .

     1.16.3 Description of the system (eg max charge pressure, waste-gate, if applicable):

. . . . . . . . . . . . . . . . . . . .

     1.16.4 Intercooler: yes/no[27]

     1.17. Intake system: maximum allowable intake depression at rated engine speed and at 100% load:

. . . . . . . . . . . . . . . . . . . . kPa

     1.18. Exhaust system: maximum allowable exhaust backpressure at rated engine speed and at 100% load:

. . . . . . . . . . . . . . . . . . . . kPa

     2. ADDITIONAL ANTI-POLLUTION DEVICES (if any, and if not covered by another heading)

—Description and/or diagram(s):. . . . . . . . . . . . . . . . . . . .

     3. FUEL FEED

     3.1. Feed pump

Pressure[28] 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: . . . . . . . . . . . . . . . . . . . . and . . . . . . . . . . . . . . . . . . . . mm³[29] per stroke or cycle at full injection at pump speed of: . . . . . . . . . . . . . . . . . . . . rpm (rated) and . . . . . . . . . . . . . . . . . . . . rpm (maximum torque) respectively, or characteristic diagram.

Mention the method used: On engine/on pump bench[30]

     3.2.1.4 Injection advance

3.2.1.4.1. Injection advance curve[31]:

. . . . . . . . . . . . . . . . . . . .

     3.2.1.4.2. Timing[32]:

. . . . . . . . . . . . . . . . . . . .

     3.2.2. Injection piping

     3.2.2.1. Length:

. . . . . . . . . . . . . . . . . . . . mm

     3.2.2.2. Internal diameter:

. . . . . . . . . . . . . . . . . . . . mm

     3.2.3. Injector(s)

     3.2.3.1. Make(s):

. . . . . . . . . . . . . . . . . . . .

     3.2.3.2. Type(s):

. . . . . . . . . . . . . . . . . . . .

     3.2.3.3. Opening pressure[33] or characteristic diagram:

. . . . . . . . . . . . . . . . . . . . kPa

     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[34]:

. . . . . . . . . . . . . . . . . . . . rpm

     3.2.4.4. Maximum no-load speed[35]

. . . . . . . . . . . . . . . . . . . . rpm

     3.2.4.5. Idling speed[36]

. . . . . . . . . . . . . . . . . . . . rpm

     3.3. Cold Start System

     3.3.1 Make(s):

. . . . . . . . . . . . . . . . . . . .

     3.3.2 Type(s):

. . . . . . . . . . . . . . . . . . . .

     3.3.3. Description:

. . . . . . . . . . . . . . . . . . . .

     4. VALVE TIMING

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

. . . . . . . . . . . . . . . . . . . .

     4.2 Reference and/or setting ranges[37]

     — charge cooling system;

     — exhaust gas recirculation:[39]

     — water injection/emulsion:[40]

     — air injection[41]

     1.8. Exhaust after-treatment system[42]

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

     2. ENGINE FAMILY LISTING

     2.1. Name of engine family:

. . . . . . . . . . . . . . . . . . . .

     2.2. Specifications of engines within this family:

					Parent engine[43]
Engine type
No of cylinders
Rated speed (rpm)
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)					100

⁽¹⁾ For full details see Appendix 1.

minimum . . . . . . . . . . . . . . . . . . . . K

maximum . . . . . . . . . . . . . . . . . . . . K

     1.16. Pressure charger: yes/no[49]

     1.16.1. Make:

. . . . . . . . . . . . . . . . . . . .

     1.16.2. Type:

. . . . . . . . . . . . . . . . . . . .

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

. . . . . . . . . . . . . . . . . . . .

     1.16.4. Intercooler: yes/no[50]

     1.17. Intake system: Maximum allowable exhaust backpressure at rated engine speed and at 100% load:

. . . . . . . . . . . . . . . . . . . . kPa

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

. . . . . . . . . . . . . . . . . . . . kPa

     2. ADDITIONAL ANTI-POLLUTION DEVICES (if any, and if not covered by another heading)

— Description and/or diagram(s):. . . . . . . . . . . . . . . . . . . .

     3. FUEL FEED:

     3.1. Feed pump

Pressure[51] 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: . . . . . . . . . . . . . . . . . . . . and . . . . . . . . . . . . . . . . . . . . mm³[52] per stroke or cycle at full injection at pump speed of: . . . . . . . . . . . . . . . . . . . . rpm (rated) and . . . . . . . . . . . . . . . . . . . . rpm (maximum torque) respectively, or characteristic diagram.

Mention the method used: On engine/on pump bench[53]

     3.2.1.4. Injection Advance

3.2.1.4.1. Injection advance curve[54]

. . . . . . . . . . . . . . . . . . . .

3.2.1.4.2. Timing[55]

. . . . . . . . . . . . . . . . . . . .

     3.2.2. Injection Piping

     3.2.2.1. Length:

. . . . . . . . . . . . . . . . . . . . mm

     3.2.2.2. Internal diameter:

. . . . . . . . . . . . . . . . . . . . mm

     3.2.3. Injector(s)

     3.2.3.1. Make(s):

. . . . . . . . . . . . . . . . . . . .

     3.2.3.2. Type(s):

. . . . . . . . . . . . . . . . . . . .

     3.2.3.3. Opening pressure[56] or characteristic diagram: . . . . . . . . . . . . . . . . . . . . kPa

     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[57]

. . . . . . . . . . . . . . . . . . . . rpm

     3.2.4.4. Maximum no-load speed[58]:

. . . . . . . . . . . . . . . . . . . . rpm

     3.2.4.5. Idling speed[59]:

. . . . . . . . . . . . . . . . . . . . rpm

     3.3. Cold Start System

     3.3.1. Make(s):

. . . . . . . . . . . . . . . . . . . .

     3.3.2. Type(s):

. . . . . . . . . . . . . . . . . . . .

     3.3.3. Description:

. . . . . . . . . . . . . . . . . . . .

     4. VALVE TIMING

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

. . . . . . . . . . . . . . . . . . . .

     4.2. Reference and/or setting ranges:[60]

Regulation 2(3) and 9(1)(a)


(Annex III to Directive 97/68/EC)


TEST PROCEDURE

     1. INTRODUCTION

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

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

     2. TEST CONDITIONS

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

     2.2. Engine test conditions

     2.2.1. The absolute temperature T_a of the engine intake air expressed in Kelvin, and the dry atmospheric pressure p_s, expressed in kPa, shall be measured, and the parameter f_a shall be determined according to the following provisions:

Naturally aspirated and mechanically supercharged engines:

Turbocharged engine with or without cooling of the intake air:

     2.2.2. Test validity
For a test to be recognised as valid, the parameter f_a shall be such that:

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

     2.3 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 sections 1.1.1 and 1.1.2 respectively of Annex VI, Appendix 1.

The fuel temperature at the injection pump inlet shall be 306-316 K (33-43°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 sections 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:

If the ratio,

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

     3. TEST RUN

     3.1 Preparation of the sampling filters
At least one hour before the test, each filter (pair) shall be placed in a closed, but unsealed petri dish and placed in a weighing chamber for stabilization. At the end of the stabilization period, each filter (pair) shall be weighed and the tare weight shall be recorded. The filter (pair) shall then be stored in a closed petri dish or filter holder until needed for testing. If the filter (pair) is not used within eight hours of its removal from the weighing chamber, it must be reweighed before use.

     3.2 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 stablized at full load and rated speed (section 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 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 CO₂ or NO_X concentration controlled systems, the CO₂ or NO_X content of the dilution air must be measured at the beginning and at the end of each test. The pre and post test backround CO₂ or NO_X 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 relevent 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 manufacturer's request background measurements may be omitted.

     3.5. Checking the analysers
The emission analysers shall be set at zero and spanned.

     3.6. Test cycle

     3.6.1. Specification A of machinery according to Section I of Annex 1:

     3.6.1.1. The following 8-mode cycle[