Directive 97/68/EC of the European Parliament and of the Council (repealed)Show full title

ANNEX I

SCOPE, DEFINITIONS, SYMBOLS AND ABBREVIATIONS, ENGINE MARKINGS, SPECIFICATIONS AND TESTS, SPECIFICATION OF CONFORMITY OF PRODUCTION ASSESSMENTS, PARAMETERS DEFINING THE ENGINE FAMILY, CHOICE OF THE PARENT ENGINE

1. SCOPE U.K.

[F1 This Directive applies to all engines to be installed in non-road mobile machinery and to secondary engines fitted into vehicles intended for passenger or goods transport on the road.]

This Directive does not apply to engines for the propulsion of:

• vehicles as defined by Directive 70/156/EEC(1), and by Directive 92/61/EEC(2),

• agricultural tractors as defined by Directive 74/150/EEC(3).

Additionally, in order to be covered by this Directive, the engines have to be installed in machinery which meets the following specific requirements:

A.

[F1 [F2 intended and suited, to move, or to be moved with or without road, and with

(i)

a C.I. engine having a net power in accordance with section 2.4. that is higher than or equal to 19 kW but not more than 560 kW and that is operated under intermittent speed rather than a single constant speed; or

(ii)

a C.I. engine having a net power in accordance with section 2.4. that is higher than or equal to 19 kW but not more than 560 kW and that is operated under constant speed. Limits only apply from 31 December 2006 ; or

(iii)

a petrol fuelled S.I. engine having a net power in accordance with section 2.4. of not more than 19 kW; or

(iv)

engines designed for the propulsion of railcars, which are self propelled on-track vehicles specifically designed to carry goods and/or passengers; or

(v)

engines designed for the propulsion of locomotives which are self-propelled pieces of on-track equipment designed for moving or propelling cars that are designed to carry freight, passengers and other equipment, but which themselves are not designed or intended to carry freight, passengers (other than those operating the locomotive) or other equipment. Any auxiliary engine or engine intended to power equipment designed to perform maintenance or construction work on the tracks is not classified under this paragraph but under A(i).]

The Directive is not applicable for the following applications:

B.

[F2 ships, except vessels intended for use on inland waterways;]

C.

[F3 . . . . .]

D.

aircraft;

E.

recreational vehicles, e.g.

• snow mobiles,

• off road motorcycles,

• all-terrain vehicles]

2. DEFINITIONS, SYMBOLS AND ABBREVIATIONS U.K.

For the purpose of this Directive,

2.1. compression ignition (C.I.) engine shall mean an engine which works on the compression-ignition principle (e.g. diesel engine); U.K.

2.2. gaseous pollutants shall mean carbon monoxide, hydrocarbons (assuming a ratio of C₁: H_1.85 and oxides of nitrogen, the last named being expressed in nitrogen dioxide (NO₂ equivalent; U.K.

2.3. particulate pollutants shall mean any material collected on a specified filter medium after diluting C.I. engine exhaust gas with clean filtered air so that the temperature does not exceed 325 K (52 ^oC); U.K.

2.4. net power shall mean the power in ‘EEC kW’ obtained on the test bench at the end of the crankshaft, or its equivalent, measured in accordance with the EEC method of measuring the power of internal combustion engines for road vehicles as set out in Directive 80/1269/EEC(4), except that the power of the engine cooling fan is excluded(5) and the test conditions and reference fuel specified in this Directive are adhered to; U.K.

2.5. rated speed shall mean the maximum full load speed allowed by the governor as specified by the manufacturer; U.K.

2.6. per cent load shall mean the fraction of the maximum available torque at an engine speed; U.K.

2.7. maximum torque speed shall mean the engine speed at which the maximum torque is obtained from the engine, as specified by the manufacturer; U.K.

2.8. intermediate speed shall mean that engine speed which meets one of the following requirements: U.K.

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

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

• if the declared maximum torque speed is greater than 75 % of the rated speed then the intermediate speed shall be 75 % of rated speed[F1 ,]

• [F4 for engines to be tested on cycle G1, the intermediate speed shall be 85 % of the maximum rated speed (see section 3.5.1.2 of Annex IV);]

[F5 2.8a. volume of 100 m ³ or more with regard to a vessel intended for use on inland waterways means its volume calculated on the formula LxBxT, ‘L’ being the maximum length of the hull, excluding rudder and bowsprit, ‘B’ being the maximum breadth of the hull in metres, measured to the outer edge of the shell plating (excluding paddle wheels, rubbing strakes, etc.) and ‘T’ being the vertical distance between the lowest moulded point of the hull or the keel and the maximum draught line; U.K.

Textual Amendments

F5 Inserted by Directive 2004/26/EC of the European Parliament and of the Council of 21 April 2004 amending Directive 97/68/EC on the approximation of the 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 (Text with EEA relevance).

2.8b. valid navigation or safety certificate shall mean: U.K.

(a)

a certificate proving conformity with the 1974 International Convention for the Safety of Life at Sea (SOLAS), as amended, or equivalent, or

(b)

a certificate proving conformity with the 1966 International Convention on Load Lines, as amended, or equivalent, and an IOPP certificate proving conformity with the 1973 International Convention for the Prevention of Pollution from Ships (MARPOL), as amended;

2.8c. defeat device shall mean a device which measures, senses or responds to operating variables for the purpose of activating, modulating, delaying or deactivating the operation of any component or function of the emission control system such that the effectiveness of the control system is reduced under conditions encountered during the normal non-road mobile machinery use unless the use of such a device is substantially included in the applied emission test certification procedure; U.K.

2.8d. irrational control strategy shall mean any strategy or measure that, when the non-road mobile machinery is operated under normal conditions of use, reduces the effectiveness of the emission control system to a level below that expected in the applicable emission test procedures;] U.K.

[F4 2.9. adjustable parameter shall mean any physically adjustable device, system or element of design which may affect emission or engine performance during emission testing or normal operation; U.K.

2.10. after-treatment shall mean the passage of exhaust gases through a device or system whose purpose is chemically or physically to alter the gases prior to release to the atmosphere; U.K.

2.11. spark ignition (SI) engine shall mean an engine which works on the spark-ignition principle; U.K.

2.12. auxiliary emission control device shall mean any device that senses engine operation parameters for the purpose of adjusting the operation of any part of the emission control system; U.K.

2.13. emission control system shall mean any device, system or element of design which controls or reduces emissions; U.K.

2.14. fuel system shall mean all components involved in the metering and mixture of the fuel; U.K.

2.15. secondary engine shall mean an engine installed in or on a motor vehicle, but not providing motive power to the vehicle; U.K.

2.16. mode length means the time between leaving the speed and/or torque of the previous mode or the preconditioning phase and the beginning of the following mode. It includes the time during which speed and/or torque are changed and the stabilisation at the beginning of each mode;] U.K.

[F5 2.17. test cycle shall mean a sequence of test points, each with a defined speed and torque, to be followed by the engine under steady state (NRSC test) or transient operating conditions (NRTC test);] U.K.

[F2 2.18. Symbols and abbreviations U.K.

2.18.1. Symbols for test parameters U.K.

Symbol	Unit	Term
A/F st	-	Stoichiometric air/fuel ratio
A P	m 2	Cross sectional area of the isokinetic sampling probe
A T	m 2	Cross sectional area of the exhaust pipe
Aver		Weighted average values for:
	m 3 /h	— volume flow
	kg/h	— mass flow
C1	-	Carbon 1 equivalent hydrocarbon
C d	-	Discharge coefficient of the SSV
Conc	ppm	Concentration (with suffix of the component nominating)
Conc c	ppm	Background corrected concentration
Conc d	ppm	Concentration of the pollutant measured in the dilution air
Conc e	ppm	Concentration of the pollutant measured in the diluted exhaust gas
d	m	Diameter
DF	-	Dilution factor
f a	-	Laboratory atmospheric factor
G AIRD	kg/h	Intake air mass flow rate on dry basis
G AIRW	kg/h	Intake air mass flow rate on wet basis
G DILW	kg/h	Dilution air mass flow rate on wet basis
G EDFW	kg/h	Equivalent diluted exhaust gas mass flow rate on wet basis
G EXHW	kg/h	Exhaust gas mass flow rate on wet basis
G FUEL	kg/h	Fuel mass flow rate
G SE	kg/h	Sampled exhaust mass flow rate
G T	cm 3 /min	Tracer gas flow rate
G TOTW	kg/h	Diluted exhaust gas mass flow rate on wet basis
H a	g/kg	Absolute humidity of the intake air
H d	g/kg	Absolute humidity of the dilution air
H REF	g/kg	Reference value of absolute humidity ( 10,71 g/kg)
i	-	Subscript denoting an individual mode (for NRSC test)or an instantaneous value (for NRTC test)
K H	-	Humidity correction factor for NO x
K p	-	Humidity correction factor for particulate
K V	-	CFV calibration function
K W, a	-	Dry to wet correction factor for the intake air
K W, d	-	Dry to wet correction factor for the dilution air
K W, e	-	Dry to wet correction factor for the diluted exhaust gas
K W, r	-	Dry to wet correction factor for the raw exhaust gas
L	%	Percent torque related to the maximum torque for the test speed
M d	mg	Particulate sample mass of the dilution air collected
M DIL	kg	Mass of the dilution air sample passed through the particulate sampling filters
M EDFW	kg	Mass of equivalent diluted exhaust gas over the cycle
M EXHW	kg	Total exhaust mass flow over the cycle
M f	mg	Particulate sample mass collected
M f, p	mg	Particulate sample mass collected on primary filter
M f, b	mg	Particulate sample mass collected on back-up filter
M gas	g	Total mass of gaseous pollutant over the cycle
M PT	g	Total mass of particulate over the cycle
M SAM	kg	Mass of the diluted exhaust sample passed through the particulate sampling filters
M SE	kg	Sampled exhaust mass over the cycle
M SEC	kg	Mass of secondary dilution air
M TOT	kg	Total mass of double diluted exhaust over the cycle
M TOTW	kg	Total mass of diluted exhaust gas passing the dilution tunnel over the cycle on wet basis
M TOTW, I	kg	Instantaneous mass of diluted exhaust gas passing the dilution tunnel on wet basis
mass	g/h	Subscript denoting emissions mass flow (rate)
N P	-	Total revolutions of PDP over the cycle
n ref	min -1	Reference engine speed for NRTC test
n sp	s -2	Derivative of the engine speed
P	kW	Power, brake uncorrected
p 1	kPa	Pressure drop below atmospheric at the pump inlet of PDP
P A	kPa	Absolute pressure
P a	kPa	Saturation vapour pressure of the engine intake air (ISO 3046: ps y =PSY test ambient)
P AE	kW	Declared total power absorbed by auxiliaries fitted for the test which are not required by paragraph 2.4. of this Annex
P B	kPa	Total atmospheric pressure (ISO 3046: P x =PX Site ambient total pressure P y =PY Test ambient total pressure)
p d	kPa	Saturation vapour pressure of the dilution air
P M	kW	Maximum power at the test speed under test conditions (see Annex VII, Appendix 1)
Pm	kW	Power measured on test bed
p s	kPa	Dry atmospheric pressure
q	-	Dilution ratio
Q s	m 3 /s	CVS volume flow rate
r	-	Ratio of the SSV throat to inlet absolute, static pressure
r		Ratio of cross sectional areas of isokinetic probe and exhaust pipe
R a	%	Relative humidity of the intake air
R d	%	Relative humidity of the dilution air
Re	-	Reynolds number
R f	-	FID response factor
T	K	Absolute temperature
t	s	Measuring time
T a	K	Absolute temperature of the intake air
T D	K	Absolute dew point temperature
T ref	K	Reference temperature of combustion air: (298 K)
T sp	N·m	Demanded torque of the transient cycle
t 10	s	Time between step input and 10 % of final reading
t 50	s	Time between step input and 50 % of final reading
t 90	s	Time between step input and 90 % of final reading
Δt i	s	Time interval for instantaneous CFV flow
V 0	m 3 /rev	PDP volume flow rate at actual conditions
W act	kWh	Actual cycle work of NRTC
WF	-	Weighting factor
WF E	-	Effective weighting factor
X 0	m 3 /rev	Calibration function of PDP volume flow rate
Θ D	kg·m 2	Rotational inertia of the eddy-current dynamometer
ß	-	Ratio of the SSV throat diameter, d, to the inlet pipe inner diameter
λ	-	Relative air/fuel ratio, actual A/F divided by stoichiometric A/F
ρ EXH	kg/m 3	Density of the exhaust gas

2.18.2. Symbols for chemical components U.K.

CH 4	Methane
C 3 H 8	Propane
C 2 H 6	Ethane
CO	Carbon monoxide
CO 2	Carbon dioxide
DOP	Di-octylphthalate
H 2 O	Water
HC	Hydrocarbons
NO x	Oxides of nitrogen
NO	Nitric oxide
NO 2	Nitrogen dioxide
O 2	Oxygen
PT	Particulates
PTFE	Polytetrafluoroethylene

2.18.3. Abbreviations U.K.

CFV	Critical flow venturi
CLD	Chemiluminescent detector
CI	Compression ignition
FID	Flame ionisation detector
FS	Full scale
HCLD	Heated chemiluminescent detector
HFID	Heated flame ionisation detector
NDIR	Non-dispersive infrared analyser
NG	Natural gas
NRSC	Non-road steady cycle
NRTC	Non-road transient cycle
PDP	Positive displacement pump
SI	Spark ignition
SSV	Subsonic venturi]

3. ENGINE MARKINGS U.K.

[F1 3.1. Compression ignition engines approved in accordance with this Directive must bear:] U.K.

3.1.1. the trade mark or trade name of the manufacturer of the engine; U.K.

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

3.1.3. the EC type-approval number as described in [F1 Annex VIII] [F2 ;] U.K.

[F5 3.1.4. labels in accordance with Annex XIII, if the engine is placed on the market under flexible scheme provisions.] U.K.

[F4 3.2. Spark-ignition engines approved in accordance with this Directive must bear: U.K.

3.2.1. the trade mark or trade name of the manufacturer of the engine; U.K.

3.2.2. the EC type-approval number as defined in Annex VIII.] U.K.

[F1 3.3.] 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. U.K.

[F1 3.4.] These marks must be secured to an engine part necessary for normal engine operation and not normally requiring replacement during engine life. U.K.

[F1 3.4.1.] 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. U.K.

[F1 3.4.2.] 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. U.K.

[F1 3.5.] 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. U.K.

[F1 3.6.] Before leaving the production line the engines must bear all markings. U.K.

[F1 3.7.] The exact location of the engine markings shall be declared in [F1 Annex VII], Section 1. U.K.

4. SPECIFICATIONS AND TESTS U.K.

[F4 4.1. CI engines] U.K.

[F1 4.1.1.] General U.K.

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 [F1 4.1.2.1], [F1 4.1.2.3] 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 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-treatment device, shall only be done to the extent that is technologically necessary toassure proper functioning of the emission control system. Accordingly scheduled maintenance requirements must be included in the customer's manual, and be covered by the warranty provisions mentioned above, and be approved before an approval is granted. The corresponding extract from the manual 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.

[F5 All engines that expel exhaust gases mixed with water shall be equipped with a connection in the engine exhaust system that is located downstream of the engine and before any point at which the exhaust contacts water (or any other cooling/scrubbing medium) for the temporary attachment of gaseous or particulate emissions sampling equipment. It is important that the location of this connection allows a well mixed representative sample of the exhaust. This connection shall be internally threaded with standard pipe threads of a size not larger than one-half inch, and shall be closed by a plug when not in use (equivalent connections are allowed).]

[F1 4.1.2.] Specifications concerning the emissions of pollutants U.K.

The gaseous and particulate components emitted by the engine submitted for testing shall be measured by the methods described in [F1 Annex VI.

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 VI,

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

• 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 VI].

The determination of system equivalency shall be based on 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.

[F1 4.1.2.1.] 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: U.K.

Net power(P)(kW)	Carbon monoxide(CO)(g/kWh)	Hydrocarbons(HC)(g/kWh)	Oxides of nitrogen(NOx)(g/kWh)	Particulates(PT)(g/kWh)
130 ≤ P ≤ 560	5,0	1,3	9,2	0,54
75 ≤ P < 130	5,0	1,3	9,2	0,7
37 ≤ P < 75	6,5	1,3	9,2	0,85

[F1 4.1.2.2.] The emission limits given in point [F1 4.1.2.1] are engine-out limits and shall be achieved before any exhaust after-treatment device. U.K.

[F1 4.1.2.3.] 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: U.K.

Net power(P)(kW)	Carbon monoxide(CO)(g/kWh)	Hydrocarbons(HC)(g/kWh)	Oxides of nitrogen(NOx)(g/kWh)	Particulates(PT)(g/kWh)
130 ≤ P ≤ 560	3,5	1,0	6,0	0,2
75 ≤ P < 130	5,0	1,0	6,0	0,3
37 ≤ P < 75	5,0	1,3	7,0	0,4
18 ≤ P < 37	5,5	1,5	8,0	0,8

[F5 4.1.2.4. The emissions of carbon monoxide, the emissions of the sum of hydrocarbons and oxides of nitrogen and the emissions of particulates shall for stage III A not exceed the amounts shown in the table below: U.K.

Engines for use in other applications than propulsion of inland waterway vessels, locomotives and railcars: U.K.

Category: Net power (P ) (kW)	Carbon monoxide (CO) (g/kWh)	Sum of hydrocarbons and oxides of nitrogen (HC+NO x ) (g/kWh)	Particulates (PT) (g/kWh)
H: 130 kW ≤ P ≤ 560 kW	3,5	4,0	0,2
I: 75 kW ≤ P < 130 kW	5,0	4,0	0,3
J: 37 kW ≤ P <75 kW	5,0	4,7	0,4
K: 19 kW ≤ P <37 kW	5,5	7,5	0,6

Engines for propulsion of inland waterway vessels U.K.

Category: swept volume/net power (SV/P ) (litres per cylinder/kW)	Carbon monoxide (CO) (g/kWh)	Sum of hydrocarbons and oxides of nitrogen (HC+NO x ) (g/kWh)	Particulates (PT) (g/kWh)
V1:1 SV< 0,9 and P≥37 kW	5,0	7,5	0,4
V1:2 0,9≤SV< 1,2	5,0	7,2	0,3
V1:3 1,2≤SV< 2,5	5,0	7,2	0,2
V1:4 2,5≤SV< 5	5,0	7,2	0,2
V2:1 5≤SV< 15	5,0	7,8	0,27
V2:2 15≤SV< 20 and	5,0	8,7	0,5
V2:3 15≤SV< 20	5,0	9,8	0,5
V2:4 20≤SV< 25	5,0	9,8	0,5
V2:5 25≤SV< 30	5,0	11,0	0,5

Engines for propulsion of locomotives U.K.

Category: Net power (P) (kW)	Carbon monoxide (CO) (g/kWh)	Sum of hydrocarbons and oxides of nitrogen (HC+NO x ) (g/kWh)		Particulates (PT) (g/kWh)
RL A: 130 kW ≤ P ≤ 560 kW	3,5	4,0		0,2
	Carbon monoxide (CO) (g/kWh)	Hydrocarbons (HC) (g/kWh)	Oxides of nitrogen (NO x ) (g/kWh)	Particulates (PT) (g/kWh)
RH A: P > 560 kW	3,5	0,5	6,0	0,2
RH A Engines with P > 2 000 kW and SV > 5 l/cylinder	3,5	0,4	7,4	0,2

Engines for propulsion of railcars U.K.

Category: net power (P) (kW)	Carbon monoxide (CO) (g/kWh)	Sum of hydrocarbons and oxides of nitrogen (HC+NO X ) (g/kWh)	Particulates (PT) (g/kWh)
RC A: 130 kW < P	3,5	4,0	0,2]

[F5 4.1.2.5. The emissions of carbon monoxide, the emissions of hydrocarbons and oxides of nitrogen (or their sum where relevant) and the emissions of particulates shall, for stage III B, not exceed the amounts shown in the table below: U.K.

Engines for use in other applications than propulsion of locomotives, railcars and inland waterway vessels U.K.

Category: net power (P) (kW)	Carbon monoxide (CO) (g/kWh)	Hydrocarbons (HC) (g/kWh)	Oxides of nitrogen (NO x ) (g/kWh)	Particulates (PT) (g/kWh)
L: 130 kW ≤ P ≤ 560 kW	3,5	0,19	2,0	0,025
M: 75 kW ≤ P < 130 kW	5,0	0,19	3,3	0,025
N: 56 kW ≤ P <75 kW	5,0	0,19	3,3	0,025
		Sum of hydrocarbons and oxides ofnitrogen (HC+NO x ) (g/kWh)
P: 37 kW ≤ P < 56 kW	5,0	4,7		0,025

Engines for propulsion of railcars U.K.

Category: net power (P) (kW)	Carbon monoxide (CO) (g/kWh)	Hydrocarbons (HC) (g/kWh)	Oxides of nitrogen (NO x ) (g/kWh)	Particulates (PT) (g/kWh)
RC B: 130 kW < P	3,5	0,19	2,0	0,025

Engines for propulsion of locomotives: U.K.

Category: net power (P) (kW)	Carbon monoxide (CO) (g/kWh)	Sum of hydrocarbons and oxides of nitrogen (HC + NO x ) (g/kWh)	Particulates (PT) (g/kWh)
RC B: 130 kW < P	3,5	4,0	0,025]

[F5 4.1.2.6. The emissions of carbon monoxide, the emissions of hydrocarbons and oxides of nitrogen (or their sum where relevant) and the emissions of particulates shall for stage IV not exceed the amounts shown in the table below: U.K.

Engines for use in other applications than propulsion of locomotives, railcars and inland waterway vessels U.K.

Category: Net power (P) (kW)	Carbon monoxide (CO) (g/kWh)	Hydrocarbons (HC) (g/kWh)	Oxides of nitrogen (NO x ) (g/kWh)	Particulates (PT) (g/kWh)
Q: 130 kW ≤ P ≤ 560 kW	3,5	0,19	0,4	0,025
R: 56 kW ≤ P < 130 kW	5,0	0,19	0,4	0,025]

[F5 4.1.2.7. The limit values in sections 4.1.2.4, 4.1.2.5. and 4.1.2.6. shall include deterioration calculated in accordance with Annex III, Appendix 5. U.K.

In the case of limit values standards contained in sections 4.1.2.5. and 4.1.2.6, under all randomly selected load conditions, belonging to a definite control area and with the exception of specified engine operating conditions which are not subject to such a provision, the emissions sampled during a time duration as small as 30 s shall not exceed by more than 100 % the limit values of the above tables. The control area to which the percentage not to be exceeded shall apply and the excluded engine operating conditions shall be defined in accordance with the procedure referred to in Article 15.]

[F2 4.1.2.8.] 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. U.K.

[F4 4.2. SI engines U.K.

4.2.1. General U.K.

The components liable to affect the emission of gaseous 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 in accordance with Annex IV, Appendix 4.

4.2.2. Specifications concerning the emissions of pollutants. U.K.

The gaseous components emitted by the engine submitted for testing shall be measured by the methods described in Annex VI (and shall include any after-treatment device).

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 VI,

• for gaseous emissions measured in the dilute exhaust of a full flow dilution system, the system shown in figure 3 of Annex VI.

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

Stage I
Class	Carbon monoxide (CO) (g/kWh)	Hydrocarbons (HC) (g/kWh)	Oxides of nitrogen (NO x ) (g/kWh)	Sum of hydrocarbons and oxides of nitrogen (g/kWh)
				HC + NO x
SH:1	805	295	5,36
SH:2	805	241	5,36
SH:3	603	161	5,36
SN:1	519			50
SN:2	519			40
SN:3	519			16,1
SN:4	519			13,4

4.2.2.2. The emissions of carbon monoxide and the emissions of the sum of hydrocarbons and oxides of nitrogen obtained shall for stage II not exceed the amount shown in the table below: U.K.

Stage II a
a See Annex 4, Appendix 4: deterioration factors included.
Class	Carbon monoxide (CO) (g/kWh)	Sum of hydrocarbons and oxides of nitrogen (g/kWh)
		HC + NO x
SH:1	805	50
SH:2	805	50
SH:3	603	72
SN:1	610	50,0
SN:2	610	40,0
SN:3	610	16,1
SN:4	610	12,1

The NO _x emissions for all engine classes must not exceed 10 g/kWh.

4.2.2.3. Notwithstanding the definition of ‘ hand-held engine ’ in Article 2 of this Directive two-stroke engines used to power snowthrowers only have to meet SH:1, SH:2 or SH:3 standards.] U.K.

4.3. Installation on the mobile machinery U.K.

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; U.K.

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

5. SPECIFICATION OF CONFORMITY OF PRODUCTION ASSESSMENTS U.K.

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. U.K.

5.2. The holder of the approval shall in particular: U.K.

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

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

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; U.K.

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; U.K.

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. U.K.

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

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

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: U.K.

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; U.K.

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 manufacturershall 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: U.K.

(6)

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
k	0,265	0,253	0,242	0,233	0,224	0,216	0,21	0,203	0,198

if n ≥ 20,

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

5.3.4. The normal frequency of inspections authorized by the competent authority shall be one per year. If the requirements of section 5.3.2 are not met, the competent authority shall ensure that all necessary steps are taken to re-establish the conformity of production as rapidly as possible. U.K.

6. PARAMETERS DEFINING THE ENGINE FAMILY U.K.

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: U.K.

• 2 cycle

• 4 cycle

6.2. Cooling medium: U.K.

• air

• water

• oil

[F1 6.3. Individual cylinder displacement, within 85 % and 100 % of the largest displacement within the engine family U.K.

6.4. Method of air aspiration U.K.

6.5. Fuel type U.K.

• Diesel

• Petrol.

6.6. Combustion chamber type/design U.K.

6.7. Valve and porting — configurations, size and number U.K.

6.8. Fuel system U.K.

For diesel:

• pump-line injector

• in-line pump

• distributor pump

• single element

• unit injector.

For petrol:

• carburettor

• port fuel injection

• direct injection.

6.9. Miscellaneous features U.K.

• Exhaust gas recirculation

• Water injection/emulsion

• Air injection

• Charge cooling system

• Ignition type (compression, spark).

6.10. Exhaust after-treatment U.K.

• Oxidation catalyst

• Reduction catalyst

• Three way catalyst

• Thermal reactor

• Particulate trap]

7. CHOICE OF THE PARENT ENGINE U.K.

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. U.K.

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. U.K.

Textual Amendments

F1 Substituted by Directive 2002/88/EC of the European Parliament and of the Council of 9 December 2002 amending Directive 97/68/EC on the approximation of the 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.

F2 Substituted by Directive 2004/26/EC of the European Parliament and of the Council of 21 April 2004 amending Directive 97/68/EC on the approximation of the 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 (Text with EEA relevance).

F3 Deleted by Directive 2004/26/EC of the European Parliament and of the Council of 21 April 2004 amending Directive 97/68/EC on the approximation of the 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 (Text with EEA relevance).

F4 Inserted by Directive 2002/88/EC of the European Parliament and of the Council of 9 December 2002 amending Directive 97/68/EC on the approximation of the 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.

F5 Inserted by Directive 2004/26/EC of the European Parliament and of the Council of 21 April 2004 amending Directive 97/68/EC on the approximation of the 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 (Text with EEA relevance).

(1)

OJ L 42, 23.2.1970, p. 1. Directive as last amended by Directive 93/81/EEC (OJ L 264, 23.10.1993, p. 49).

(2)

OJ L 225, 10.8.1992, p. 72.

(3)

OJ L 84, 28.3.1974, p. 10. Directive as last amended by Directive 88/297/EEC (OJ L 126, 20.5.1988, p. 52).

(4)

OJ L 375, 31.12.1980, p. 46. Directive as last amended by Directive 89/491/EEC (OJ L 238, 15.8.1989, p. 43).

(5)

This means that, contrary to the requirements of section 5.1.1.1 of Annex I to Directive 80/1269/EEC, the engine cooling fan must not be installed during the test for the check of the engine net power; if on the contrary the manufacturer carries out the test with the fan installed on the engine, the power absorbed by the fan itself must be summed up to the power so measured[F4 , except for cooling fans of air cooled engines directly fitted on the crankshaft (see Appendix 3 of Annex VII)].

(6)

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

Textual Amendments

F4 Inserted by Directive 2002/88/EC of the European Parliament and of the Council of 9 December 2002 amending Directive 97/68/EC on the approximation of the 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.